HomeMy WebLinkAbout2023-10-17; City Council; ; Professional Services Master Agreements for Information Technology Services with Avero Advisors, ClientFirst Technology Consulting, and Public Consulting GroupCA Review: JRT
Meeting Date: Oct. 17, 2023
To: Mayor and City Council
From: Scott Chadwick, City Manager
Staff Contact: Maria Callander, Director of Information Technology
maria.callander@carlsbadca.gov, 442-339-2454
Subject: Professional Services Master Agreements for Information Technology
Services with Avero Advisors, ClientFirst Technology Consulting, and
Public Consulting Group
Districts: All
Recommended Actions
1.Adopt a resolution authorizing the City Manager to execute a professional services
master agreement for information technology project management and change
management services with Avero Advisors, LLC for an amount not to exceed $1,500,000
for a five-year period.
2.Adopt a resolution authorizing the City Manager to execute a professional services
master agreement for information technology project management and change
management services with ClientFirst Technology Consulting, LLC for an amount not to
exceed $1,500,000 for a five-year period.
3.Adopt a resolution authorizing the City Manager to execute a professional services
master agreement for information technology project management and change
management services with Public Consulting Group, LLC for an amount not to exceed
$1,500,000 for a five-year period.
Executive Summary
The city will be implementing numerous information technology related projects over the
course of the next five years to carry out the priority technological projects listed in the city’s
Strategic Digital Technology Investment Plan. These projects include upgrading established
software, implementing new software and selecting software to consolidate the city’s core
administrative systems into a single solution.1 The city will need to have consultants available
to help staff manage and complete these complex and interrelated information technology
projects.
1 The specific projects listed in the Stratgegic Plan are Core System Consolidation, expansion of the Digital
Information Network and implementing an enterprise asset management system, as well as developing new tools
for citywide project management.
Oct. 17, 2023 Item #2 Page 1 of 79
Staff are seeking the City Council’s approval of master service agreements with three
consultants qualified to provide these services. These agreements establish the basic terms and
conditions under which the city may call upon these consultants for any needed work. They
require the City Council’s approval under Carlsbad Municipal Code Section 3.28.060 -
Procurement of Professional Services and Services because the services have the potential to
cost the city more than $100,000 per agreement year.
With the City Council’s approval, staff would then give the firms task orders for individual
projects. That work would be paid for from the funding from each individual project
appropriated through the annual budget process or approved separately by the City Council.
Explanation & Analysis
The city will be replacing or upgrading many of our technology systems over the next five years
as part of an ongoing effort to maintain up-to-date, secure and effective digital platforms. The
number of related projects and their projected timelines make it necessary to use consultants
to augment the department’s three full-time project managers.
The Information Technology Department needs project and change management professionals
with experience in completing upgrades and new software implementations to continue its
progress in carrying out the city’s planned investments in technology.
The city published a request for qualifications for information technology project management
and change management technology and services on Sept. 21, 2022. This request was intended
to provide a short list of qualified firms with the ability and capacity to assist the city with for its
information technology projects on an as-needed basis, as individual task arise.
The request included two categories of services:
• Project management professional services
• Change management professional services2
Eleven applicants submitted statements of qualifications in the categories by the Oct. 31, 2022,
deadline.
A selection committee comprised of city staff members reviewed and ranked the companies
using the following criteria:
• Ability to meet challenges and carry out required project and change management
• Case studies of the services provided for one or two other city or government customers
• The cost and value of the proposed work
• Additional benefits beyond the defined challenges and needs
2 Change management is a systematic approach to managing the transition or transformation of an organization's
technologies and helping people to adapt.
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Based on the selection committee’s rankings, and consistent with municipal code Section
3.28.060, staff now recommend the city execute master service agreements with these
selected firms:
Firm name Annual amount
(not to exceed) Five-year term
Avero Advisors $300,000 $1,500,000
ClientFirst Consulting $300,000 $1,500,000
Public Consulting Group $300,000 $1,500,000
The City Council approved similar agreements with ClientFirst Technology Consulting and PCG
in 2019. These agreements are now coming to an end.
The 2019 agreements were for an initial three years with possible one-year extensions. These
prior agreements had a possible total of $5,400,000. Of the $5,400,000 available, just under
$990,000 was awarded for various projects through task orders issued by the city.
The Information Technology Department has found the firms to be very useful partners who
have helped the city to move forward with technology projects in a timelier manner. The new
agreements would replace the agreements approved in 2019 and add an additional firm to the
pool as a new option.
Each project and change management agreement will have an initial five-year term. Staff will
assign the firms task orders for specific projects on an as-needed basis, with the funding to
come from the funding for each individual project.
Fiscal Analysis
The three master agreements for information technology project management and change
management services are for a five-year period each. The maximum compensation under the
agreements will be $300,000 per contract year for a total of $1,500,000 over five years for each
agreement. Funding for each task order will be provided by the associated information
technology project as appropriated by the adoption of the annual budget process or as
approved separately by the City Council.
Next Steps
With the City Council’s approval, staff will execute master service agreements with Avero
Advisors, ClientFirst Technology Consulting, and Public Consulting Group.
Environmental Evaluation
This action does not require environmental review because it does not constitute a project
within the meaning of the California Environmental Quality Act under California Public
Resources Code Section 21065 in that it has no potential to cause either a direct physical
change or a reasonably foreseeable indirect physical change in the environment.
Exhibits
1. City Council resolution - Agreement with Avero Advisors
2. City Council resolution - Agreement with ClientFirst Technology Consultants
3. City Council resolution - Agreement with Public Consulting Group
Oct. 17, 2023 Item #2 Page 3 of 79
RESOLUTION NO. 2023-260
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF CARLSBAD,
CALIFORNIA, AUTHORIZING THE CITY MANAGER TO EXECUTE A
PROFESSIONAL SERVICES MASTER AGREEMENT FOR INFORMATION
TECHNOLOGY PROJECT MANAGEMENT AND CHANGE MANAGEMENT
SERVICES WITH AVERO ADVISORS, LLC FOR AN AMOUNT NOT TO EXCEED
$1,500,000 FOR A FIVE-YEAR PERIOD
WHEREAS, the City Council of the City of Carlsbad, California has determined that having
available project management and change management consultants for professional services that
facilitate the timely completion of information technology projects is needed; and
WHEREAS, the Information Technology Department solicited, received, and reviewed
Statements of Qualifications {SOQs) for professional services consistent with the Carlsbad Municipal
Code Section 3.28.060; and
WHEREAS, following a review and ranking of the SOQs based on a weighted scoring system staff
recommends that Avero Advisors, LLC is qualified and provides the best value to the City of Carlsbad in
the discipline of project management and change management; and
WHEREAS, expenditures for the professional services are subject to availability of budget
appropriations associated with information technology projects.
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 City Council hereby authorizes the City Manager to execute the Professional
Service Master Agreement with Avero Advisors, LLC in an amount not to exceed
$1,500,000 over a five-year period (Attachment A).
Exhibit 1
Oct. 17, 2023 Item #2 Page 4 of 79
PASSED, APPROVED AND ADOPTED at a Regular Meeting of the City Council of the City of
Carlsbad on the 17th day of October, 2023, by the following vote, to wit:
AYES:
NAYS:
ABSTAIN:
ABSENT:
Blackburn, Bhat-Patel, Acosta, Burkholder, Luna.
None.
None.
None.
KEITH BLACKBURN, Mayor
SHERRY�erk �
(SEAL)
Oct. 17, 2023 Item #2 Page 5 of 79
OocuSign Envelope ID: 789O5089-859O-475A-8AC2-2452O2ACE653
MASTER AGREEMENT FOR PROJECT MANAGEMENT AND
CHANGE MANAGEMENT SERVICES
AVERO ADVISORS
1 ~ vt?l
Attachment A
THIS AGREEMENT is made and entered into as of the ______ day of
@l ht.i {IV" , 2023, by and between the CITY OF CARLSBAD, a municipal
corporation, hereinafter referred to as "City", and Avero Advisors a limited liability company,
hereinafter referred to as "Contractor."
RECITALS
A. City requires the professional services of an information technology consulting firm
that is experienced in information technology project management and change management.
B. The professional services are required on a non-exclusive, project-by-project
basis.
C. Contractor has the necessary experience in providing professional services and
advice related to information technology project management and change management.
D. Contractor has submitted a proposal to City and has affirmed its willingness and
ability to perform such work.
NOW, THEREFORE, in consideration of these recitals and the mutual covenants
contained herein, City and Contractor agree as follows:
1. SCOPE OF WORK
City retains Contractor to perform, and Contractor agrees to render, those services (the
"Services") that are defined in attached Exhibit "A", which is incorporated by this reference in
accordance with this Agreement's terms and conditions. To the extent any of the terms in any
exhibit to this Agreement conflict, in whole or part, with the terms of this Agreement, the terms of
this Agreement shall prevail.
Contractor's obligations with respect to any project granted to Contractor under this Agreement
will be as specified in the Task Description for the project (see paragraph 5 below).
2. STANDARD OF PERFORMANCE
While performing the Services, Contractor will exercise the reasonable professional care and skill
customarily exercised by reputable members of Contractor's profession practicing in the
Metropolitan Southern California Area, and will use reasonable diligence and best judgment while
exercising its professional skill and expertise.
3. TERM
The term of this Agreement will be effective for a period of five (5) years from the date first above
written.
4. PROGRESS AND COMPLETION
The work for any project granted to Contractor pursuant to this Agreement will begin within ten
(10) days after receipt of notification to proceed by City and be completed within the time specified
in the Task Description for the project (see paragraph 5 below). Extensions of time for a specific
Task Description may be granted if requested by Contractor and agreed to in writing by the City
Manager or the Division Director as authorized by the City Manager ("Director"). The City
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Manager or Director will give allowance for documented and substantiated unforeseeable and
unavoidable delays not caused by a lack of foresight on the part of Contractor, or delays caused
by City inaction or other agencies' lack of timely action. In no event shall a specific Task
Description exceed the term of this Agreement.
5.COMPENSATION
The cumulative total for all projects allowed pursuant to this Agreement will not exceed three
hundred thousand dollars ($300,000) per Agreement year. If the City elects to extend the
Agreement, the amount shall not exceed five hundred thousand dollars ($300,000) per Agreement
year. The total amount of the Agreement shall not exceed one million five hundred thousand
dollars ($1,500,000) for the initial five-year term. Fees will be paid on a project-by-project basis
and will be based on Contractor’s Schedule of Rates specified in Exhibit “A”. Prior to initiation of
any project work by Contractor, City shall prepare a Project Task Description and Fee Allotment
(the "Task Description") which, upon signature by Contractor and for City, the City Manager or
Director, will be considered a part of this Agreement. The Task Description will include a detailed
scope of services for the particular project being considered and a statement of Contractor's fee
to complete the project in accordance with the specified scope of services. The Task Description
will also include a description of the method of payment and will be based upon an hourly rate,
percentage of project complete, completion of specific project tasks or a combination thereof.
6.STATUS OF CONTRACTOR
Contractor will perform the Services in Contractor's own way as an independent contractor and
in pursuit of Contractor's independent calling, and not as an employee of City. Contractor will be
under control of City only as to the result to be accomplished, but will consult with City as
necessary. The persons used by Contractor to provide services under this Agreement will not be
considered employees of City for any purposes.
The payment made to Contractor pursuant to the Agreement will be the full and complete
compensation to which Contractor is entitled. City will not make any federal or state tax
withholdings on behalf of Contractor or its agents, employees or subcontractors. City will not be
required to pay any workers' compensation insurance or unemployment contributions on behalf
of Contractor or its employees or subcontractors. Contractor agrees to indemnify City within thirty
(30) days for any tax, retirement contribution, social security, overtime payment, unemployment
payment or workers' compensation payment which City may be required to make on behalf of
Contractor or any agent, employee, or subcontractor of Contractor for work done under this
Agreement. At the City’s election, City may deduct the indemnification amount from any balance
owing to Contractor.
7.SUBCONTRACTING
Contractor will not subcontract any portion of the Services without prior written approval of City.
If Contractor subcontracts any of the Services, Contractor will be fully responsible to City for the
acts and omissions of Contractor's subcontractor and of the persons either directly or indirectly
employed by the subcontractor, as Contractor is for the acts and omissions of persons directly
employed by Contractor. Nothing contained in this Agreement will create any contractual
relationship between any subcontractor of Contractor and City. Contractor will be responsible for
payment of subcontractors. Contractor will bind every subcontractor and every subcontractor of
a subcontractor by the terms of this Agreement applicable to Contractor's work unless specifically
noted to the contrary in the subcontract and approved in writing by City.
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8.OTHER CONTRACTORS
The City reserves the right to employ other Contractors in connection with the Services.
9.INDEMNIFICATION
Contractor agrees to indemnify and hold harmless the City and its officers, officials, employees
and volunteers from and against all claims, damages, losses and expenses including attorneys
fees arising out of the performance of the work described herein caused by any 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.
The parties expressly agree that any payment, attorney’s fee, costs or expense City incurs or
makes to or on behalf of an injured employee under the City’s self-administered workers’
compensation is included as a loss, expense or cost for the purposes of this section, and that this
section will survive the expiration or early termination of this Agreement.
10.INSURANCE
Contractor will obtain and maintain for the duration of the Agreement and any and all
amendments, insurance against claims for injuries to persons or damage to property which may
arise out of or in connection with performance of the services by Contractor or Contractor’s
agents, representatives, employees or subcontractors. The insurance will be obtained from an
insurance carrier admitted and authorized to do business in the State of California. The insurance
carrier is required to have a current Best's Key Rating of not less than "A-:VII"; OR with a surplus
line insurer on the State of California’s List of Approved Surplus Line Insurers (LASLI) with a rating
in the latest Best’s Key Rating Guide of at least “A:X”; OR an alien non-admitted insurer listed by
the National Association of Insurance Commissioners (NAIC) latest quarterly listings report.
10.1 Coverages and Limits. Contractor will maintain the types of coverages and minimum limits
indicated below, unless Risk Manager or City Manager approves a lower amount. These minimum
amounts of coverage will not constitute any limitations or cap on Contractor's indemnification
obligations under this Agreement. City, its officers, agents and employees make no representation
that the limits of the insurance specified to be carried by Contractor pursuant to this Agreement
are adequate to protect Contractor. If Contractor believes that any required insurance coverage
is inadequate, Contractor will obtain such additional insurance coverage, as Contractor deems
adequate, at Contractor's sole expense. The full limits available to the named insured shall also
be available and applicable to the City as an additional insured.
10.1.1 Commercial General Liability (CGL) Insurance. Insurance written on an
“occurrence” basis, including personal & advertising injury, with limits no less than $2,000,000 per
occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply
separately to this project/location or the general aggregate limit shall be twice the required
occurrence limit.
10.1.2 Automobile Liability. (if the use of an automobile is involved for Contractor's
work for City). $2,000,000 combined single-limit per accident for bodily injury and property
damage.
10.1.3 Workers' Compensation and Employer's Liability. Workers' Compensation
limits as required by the California Labor Code. Workers' Compensation will not be required if
Contractor has no employees and provides, to City's satisfaction, a declaration stating this.
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10.1.4 Professional Liability. Errors and omissions liability appropriate to
Contractor’s profession with limits of not less than $1,000,000 per claim. Coverage must be
maintained for a period of five years following the date of completion of the work.
10.2. Additional Provisions. Contractor will ensure that the policies of insurance required under
this Agreement contain, or are endorsed to contain, the following provisions:
10.2.1 The City will be named as an additional insured on Commercial General
Liability which shall provide primary coverage to the City.
10.2.2 Contractor will obtain occurrence coverage, excluding Professional
Liability, which will be written as claims-made coverage.
10.2.3 This insurance will be in force during the life of the Agreement and any
extensions of it and will not be canceled without thirty (30) days prior written notice to City sent
by certified mail pursuant to the Notice provisions of this Agreement.
10.3 Providing Certificates of Insurance and Endorsements. Prior to City's execution of this
Agreement, Contractor will furnish certificates of insurance and endorsements to City.
10.4 Failure to Maintain Coverage. If Contractor fails to maintain any of these insurance
coverages, then City will have the option to declare Contractor in breach or may purchase
replacement insurance or pay the premiums that are due on existing policies in order to maintain
the required coverages. Contractor is responsible for any payments made by City to obtain or
maintain insurance and City may collect these payments from Contractor or deduct the amount
paid from any sums due Contractor under this Agreement.
10.5 Submission of Insurance Policies. City reserves the right to require, at anytime, complete
and certified copies of any or all required insurance policies and endorsements.
11.BUSINESS LICENSE
Contractor will obtain and maintain a City of Carlsbad Business License for the term of the
Agreement, as may be amended from time-to-time.
12.ACCOUNTING RECORDS
Contractor will maintain complete and accurate records with respect to costs incurred under this
Agreement. All records will be clearly identifiable. Contractor will allow a representative of City
during normal business hours to examine, audit, and make transcripts or copies of records and
any other documents created pursuant to this Agreement. Contractor will allow inspection of all
work, data, documents, proceedings, and activities related to the Agreement for a period of three
(3) years from the date of final payment under this Agreement.
13.OWNERSHIP OF DOCUMENTS
All work product produced by Contractor or its agents, employees, and subcontractors pursuant
to this Agreement is the property of City. In the event this Agreement is terminated, all work
product produced by Contractor or its agents, employees and subcontractors pursuant to this
Agreement will be delivered at once to City. Contractor will have the right to make one (1) copy
of the work product for Contractor’s records.
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14.COPYRIGHTS
Contractor agrees that all copyrights that arise from the services will be vested in City and
Contractor relinquishes all claims to the copyrights in favor of City.
15.NOTICES
The name of the persons who are authorized to give written notice or to receive written notice on
behalf of City and on behalf of Contractor under this Agreement are:
For City: For Contractor:
Name Maria Callander Name Abhijit Verekar
Title IT Director Title CEO
Dept Information Technology Address 512 W. Broadway Ave.
Maryville, TN 37801
Address 1635 Faraday Ave Phone 440.991.6628
Carlsbad, CA 92008 Email av@averoadvisors.com
Phone 760.602.2454
Each party will notify the other immediately of any changes of address that would require any notice or
delivery to be directed to another address.
16.CONFLICT OF INTEREST
Contractor shall file a Conflict of Interest Statement with the City Clerk in accordance with the
requirements of the City of Carlsbad Conflict of Interest Code. The Contractor shall report investments
or interests as required in the City of Carlsbad Conflict of Interest Code.
Yes No
If yes, list the contact information below for all individuals required to file:
Name Email Phone Number
17.GENERAL COMPLIANCE WITH LAWS
Contractor will keep fully informed of federal, state and local laws and ordinances and regulations whichin any manner affect those employed by Contractor, or in any way affect the performance of the
Services by Contractor. Contractor will at all times observe and comply with these laws, ordinances,and regulations and will be responsible for the compliance of Contractor's services with all applicable
laws, ordinances and regulations.
Contractor will be aware of the requirements of the Immigration Reform and Control Act of 1986 and
will comply with those requirements, including, but not limited to, verifying the eligibility for employment of all agents, employees, subcontractors and consultants whose services are required by this Agreement.
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18.DISCRIMINATION AND HARASSMENT PROHIBITEDContractor will comply with all applicable local, state and federal laws and regulations prohibiting
discrimination and harassment.
19.DISPUTE RESOLUTION
If a dispute should arise regarding the performance of the Services the following procedure will be used
to resolve any questions of fact or interpretation not otherwise settled by agreement between theparties. Representatives of Contractor or City will reduce such questions, and their respective views,to writing. A copy of such documented dispute will be forwarded to both parties involved along with
recommended methods of resolution, which would be of benefit to both parties. The representativereceiving the letter will reply to the letter along with a recommended method of resolution within ten
(10) business days. If the resolution thus obtained is unsatisfactory to the aggrieved party, a letteroutlining the disputes will be forwarded to the City Manager. The City Manager will consider the factsand solutions recommended by each party and may then opt to direct a solution to the problem. In
such cases, the action of the City Manager will be binding upon the parties involved, although nothingin this procedure will prohibit the parties from seeking remedies available to them at law.
20.TERMINATIONIn the event of the Contractor's failure to prosecute, deliver, or perform the Services, City may terminate
this Agreement for nonperformance by notifying Contractor by certified mail of the termination. If Citydecides to abandon or indefinitely postpone the work or services contemplated by this Agreement, City
may terminate this Agreement upon written notice to Contractor. Upon notification of termination,Contractor has five (5) business days to deliver any documents owned by City and all work in progressto City at the address contained in this Agreement. City will make a determination of fact based upon
the work product delivered to City and of the percentage of work that Contractor has performed whichis usable and of worth to City in having the Agreement completed. Based upon that finding City will
determine the final payment of the Agreement.
Either party upon tendering thirty (30) days written notice to the other party may terminate this
Agreement. In this event and upon request of City, Contractor will assemble the work product and put it in order for proper filing and closing and deliver it to City. Contractor will be paid for work performed
to the termination date; however, the total will not exceed the lump sum fee payable under this
Agreement. City will make the final determination as to the portions of tasks completed and the
compensation to be made.
21.COVENANTS AGAINST CONTINGENT FEES
Contractor warrants that Contractor has not employed or retained any company or person, other than
a bona fide employee working for Contractor, to solicit or secure this Agreement, and that Contractorhas not paid or agreed to pay any company or person, other than a bona fide employee, any fee,
commission, percentage, brokerage fee, gift, or any other consideration contingent upon, or resulting
from, the award or making of this Agreement. For breach or violation of this warranty, City will have the
right to annul this Agreement without liability, or, in its discretion, to deduct from the Agreement priceor consideration, or otherwise recover, the full amount of the fee, commission, percentage, brokerage
fees, gift, or contingent fee.
22.CLAIMS AND LAWSUITS
By signing this Agreement, Contractor agrees that any Agreement claim submitted to City must be
asserted as part of the Agreement process as set forth in this Agreement and not in anticipation of
litigation or in conjunction with litigation. Contractor acknowledges that if a false claim is submitted to
City, it may be considered fraud and Contractor may be subject to criminal prosecution. Contractoracknowledges that California Government Code sections 12650 et seq., the False Claims Act applies
to this Agreement and, provides for civil penalties where a person knowingly submits a false claim to a
public entity. These provisions include false claims made with deliberate ignorance of the false
information or in reckless disregard of the truth or falsity of information. If City seeks to recover penaltiespursuant to the False Claims Act, it is entitled to recover its litigation costs, including attorney's fees.
Contractor acknowledges that the filing of a false claim may subject Contractor to an administrative
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debarment proceeding as the result of which Contractor may be prevented to act as a Contractor on
any public work or improvement for a period of up to five (5) years. Contractor acknowledges debarment by another jurisdiction is grounds for City to terminate this Agreement.
23.JURISDICTIONS AND VENUE
Any action at law or in equity brought by either of the parties for the purpose of enforcing a right or
rights provided for by this Agreement will be tried in a court of competent jurisdiction in the County of
San Diego, State of California, and the parties waive all provisions of law providing for a change of
venue in these proceedings to any other county.
24.SUCCESSORS AND ASSIGNS
It is mutually understood and agreed that this Agreement will be binding upon City and Contractor and
their respective successors. Neither this Agreement nor any part of it nor any monies due or to become
due under it may be assigned by Contractor without the prior consent of City, which shall not be
unreasonably withheld.
25.ENTIRE AGREEMENT
This Agreement, together with any other written document referred to or contemplated by it, along with
the purchase order for this Agreement and its provisions, embody the entire Agreement and
understanding between the parties relating to the subject matter of it. In case of conflict, the terms of
the Agreement supersede the purchase order. Neither this Agreement nor any of its provisions may be
amended, modified, waived or discharged except in a writing signed by both parties.
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26. AUTHORITY
The individuals executing this Agreement and the instruments referenced in it on behalf of Contractor
each represent and warrant that they have the legal power, right and actual authority to bind Contractor
to the terms and conditions of this Agreement.
Executed by Contractor this_l _l t_h ___ day of octobe r , 2023.
CONTRACTOR CIT ARLSBAD, a municipal
f he State of California
By: By:
(sign here)
Abhijit Verekar CEO
By:
(print name/title) ATTEST:
(sign here)
City Clerk
(print name/title)
Proper notarial acknowledgment of execution by Contractor must be attached. If a corporation,
Agreement must be signed by one corporate officer from each of the following two groups:
Group A Group B
Chairman, Secretary,
President, or Assistant Secretary,
Vice-President CFO or Assistant Treasurer
Otherwise, the corporation must attach a resolution certified by the secretary or assistant secretary
under corporate seal empowering the officer(s) signing to bind the corporation.
CITY OF CARLSBAD, a municipal corporation of the State of California
APPROVED AS TO FORM:
CINDIE MCMAHON, City Attorney
BY: .~~-Th&
Deputy City Attorney
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EXHIBIT "A"
SCOPE OF SERVICES
Contractor agrees to provide the following services, as needed by the City and as defined
and agreed to on individual task orders:
1) Project management: Within the city's existing project management framework,
assist the city w ith future projects and initiatives with project management related
tasks such as:
• Assessments to identify business, functional and technical requirements
• Assisting in developing, issuing, and evaluating request for proposals
• Business process mapping and improvement
• Providing additional project management staff to augment the city's existing IT
project management team
2) Change Management: Assist the city on large projects to ensure that the city is
intentional in its efforts to prepare the organization for a change, the transition through
the change is as smooth as possible and staff have the training and tools necessary to
leverage the benefits of the project including:
• Providing change management tools and processes that facilitate citywide
communication, knowledge, and the ability for stakeholders to successfully
adopt and maintain change related to city projects and initiatives
• Providing customized on-demand training materials for business processes and
information systems that can be loaded on the city's training platform (Carlsbad
Learn) to support the ongoing training needs for existing and future staff
Contractor will only be compensated for services once a task order is agreed upon by both
Contractor and the City. There will be no compensation for Contractor in advance of a task
order, including any time needed to draft a proposed scope of work for the specific task
order.
City Standards:
The city's standard tool for project management is SmartSheet.
The city's standard tool for project collaboration (file sharing, virtual project meetings, etc.) is
Microsoft Teams.
Statement of Cost Services
Project Team Role Hourly Rate
Project Executive $250
Director of Advisory Services $225
Senior Manager $225
Project Manager $200
Business Analyst $175
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Contractor Methodology/Project Approach
Project Management Services: SOLUTION SELECTION
ENVIRONMENT-FOCUSED
CURRENT-STATE BUSINESS PROCESS MAPPING
Avero will develop Business Process Modeling Notation (BPMN) diagrams detailing a
roadmap of existing business processes based on documentation & feedback gathered
from the City's relevant stakeholders. Avero will assess end-to-end processes to identify
strengths & weaknesses in the current business process practices & processes. This
current-state process mapping activity will help uncover hidden flaws within the current
software and outline a roadmap of what the City envisions to enhance operational
efficiency and mitigate existing limitations. In this step, Avero will:
• Map daily activities to business processes across the City's systems
• Diagram and document workflows
• Identify processes that are particularly challenging for staff
• Identify inefficiencies, such as bottlenecks or duplications
• Identify missing key business activities & essential controls
• Determine undefined or poorly defined process ownership responsibilities
• Identify insufficient or ineffective performance indicators
• Identify structural inefficiencies
• Defi ne inefficient access to data and determine the condition of existing data
Avero will validate the current-state workflow diagrams with the City's project sponsors before
moving forward .
FUTURE-STATE BUSINESS PROCESS MAPPING
Avero will develop optimized future-state workflow diagrams in BPMN format for business
processes across the City's departments that will reflect the "wish list" improvements
gathered during the Future-State Visioning project activity. Avero's Project Team will also
focus on eliminating bottlenecks, duplicated efforts, manual activities, in-house
workarounds, and potential legal & compliance risks within the City's software
environment. We will apply our technical knowledge & skills to ensure that the optimized
business processes harness the functional capacity of workflow automation offered by
modernized software solutions. Furthermore, Avero will map crucial integration points
spanning processes & departments to accurately depict data integration between systems.
Avero will validate the future-state workflow diagrams with the City's project sponsors before
moving forward.
NEEDS ASSESSMENT
Avero will assess the inherent gaps found between the City's current software
environment & the City's ideal software environment by using key findings gathered during
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previous project activities. Our team will focus on bottlenecks, redundant efforts, end-user
concerns & needs, manual activities, regulatory requirements, and associated dataflows
between the existing software system & related software applications. Based on findings
collected from our knowledge base of industry best practices & conventional expertise in
similar engagements, Avero will make develop a thorough Needs Assessment, including
key recommendations from our Project Team to address modernization opportunities &
tackle the various challenges present in the current software environment. The new
software solution must support efficient business processes across all departments and
maximize collaboration , information sharing, and smart utilization of technology.
REQUIREMENTS TRACEABILITY MATRIX
Avero will conduct a series of Requirements Development Workshops with the City's
relevant stakeholders to define the future solution's functional requirements. The business
process maps & Needs Assessment will guide this effort, along with any additional "wish
list" items that may add value to the desired software's functionality. Avero will work
closely with the City's key project stakeholders to ensure that our discussions from the
workshops are properly documented and that all functional requirements of the City's
relevant stakeholders are noted.
Our team will develop a Requirements Traceability Matrix specific to the City's functional
requirements for the prospective solution based on information gathered by our team .
Avero w ill ensure the matrix is built in a logical manner, broken down by functional area
(i.e., each department will have a dedicated space detailing its ow n requirements). By
applying industry best practices & our experience modernizing other government
organizations' technology environments, our Project Team w ill develop a comprehensive
list of critical requirements. Avero will subsequently coordinate a review session with the
City's project sponsors to validate, fi nalize, and approve the Requirements Traceability
Matrix.
RFP DEVELOPMENT & SOLICITATION
Avero w ill conduct the fol lowing activities to prepare for the solicitation of a new solution:
• Identify critical staff across the City's departments for the Evaluation
Committee
• Develop a draft RFP document
• Defi ne a set of evaluation criteria that meets the req uirements outlined in the
pending RFP
• Conduct review session(s) with the City's Evaluation Committee for the
draft RFP document & evaluation criteria
• Revise the RFP document & evaluation criteria as needed, based on
feedback from the review session(s) w ith the City's Evaluation
Committee
• Hold a final review of the RFP document & evaluation criteria with the
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City's Evaluation Committee for finalization & approval
• Collaborate with the City's procurement agent to release the RFP for
response solicitation
Avero will work with the City's Evaluation Committee to plan and coordinate any pre-
proposal conference meetings, Q&A sessions, and/or site visits that are needed while the
RFP is open. Our team w ill either stay onsite or be available remotely to help facilitate
discussions and answer any questions about the information published in the RFP. We
will review all vendor questions and coordinate with the Evaluation Committee to develop
draft responses. Upon completing the draft responses to vendor questions, Avero will
share the answers with the City's project sponsors for review & validation. Our team will
make any changes that the City deems necessary before finalizing and releasing the
responses for publication.
PROPOSAL ANALYSIS
Avero will analyze the proposals received from vendors in response to the City's RFP for
a new solution and appropriately equip the City's Selection Committee with scoring tools
that w ill enable evaluators to appropriately assess the vendors' responses. We will
develop a thorough Vendor Evaluation Sheet for the City's Selection Committee that
includes a written analysis of the vendor proposals received. We will analyze vendors'
provisions for warranty & maintenance of their software, assist the Selection Committee
in scoring and ranking each vendor, and provide our recommendations for the top
vendors that will best meet the City's objectives. The Vendor Evaluation Sheet will
incorporate the scoring & ranking done by the Selection Committee, as well as provide a
synopsis of the group scoring & the potential benefits & shortcomings of each vendor. We
will include potential risks & issues related to the vendor, as well estimated costs of
implementation & post-implementation support, for each vendor. Our Project Team will
also develop a Vendor Requirements Evaluation Summary that captures how capable
each software vendor is in meeting the City's documented requirements.
Based on our discussions with the City's Selection Committee & project sponsors, our
team will add the top software vendors to the Vendor Shortlist. The vendors on the Vendor
Shortlist will be included for the system demos & reference checks.
SYSTEM DEMOS & REFERENCE CHECKS
Avero, along with the City's Selection Committee, will schedule demonstrations for
vendors included on the Vendor Shortlist. Our team will manage the interview &
demonstration process (e.g., supplying demo scripts, scheduling demos, and facilitating
demos). We will document and distribute demo meeting agendas & scripts to the City's
Selection Committee for an overview prior to the demos. These demonstrations from
vendors will enable the Selection Committee to receive hands-on, real-time
demonstrations of solutions and will help the Selection Committee perceive each
solution’s functionalities & workflow capacities, as well as each vendors’ work ethic &
culture, to ensure that core values of the City & the vendor are strategically aligned.
Additionally, Avèro will develop a reference check template to support vendor selection
for all the vendors on the Vendor Shortlist. We will assist the City’s Selection Committee
in scheduling and conducting reference calls with vendors’ system clients on behalf of the
City & the proposed vendors. We will make sure to follow up on references to help the
Selection Committee gain insight on the implementation process.
Avèro will gather feedback from the City’s Selection Committee on the system demos &
reference checks and further discuss the findings of the Vendor Evaluation Sheet &
Vendor Requirements Evaluation Summary with the Selection Committee. Our Project
Team will then obtain official approval on vendor selection.
CONTRACT NEGOTIATIONS
Avèro will develop the vendor’s Statement of Work, including third-party interfaces once
a vendor has been officially chosen. We will work with the City’s project sponsors to
develop a performance-based contract in which milestones are paid for when they’re
accomplished. Avèro will assist with the presentation for the selection & award of the
chosen vendor. If desired by the City, Avèro will lead the negotiation on their behalf for
best value and work with the chosen vendor to develop a “Best and Final Offer” to secure
final pricing, which will result in a final contract. Feedback from the City & the vendor will
be incorporated into the final agreement document, which will also be reviewed &
validated by them. Our team will also assist the City’s project sponsors with the
preparation of any documentation as needed.
Please note that Avèro will perform the project activities for Service #2: Project
Management (Process-Focused) & for Service #3: Change Management (People-
Focused) simultaneously, rather than consecutively.
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Project Management Services: PROJECT MANAGEMENT
PROCESS-FOCUSED
RISK MITIGATION
Avero will develop the following two documents and maintain them throughout the length
of the project in order to monitor, communicate, and troubleshoot potential project risks:
• Risk Register -which will include the stated risk, a technical description of it,
the staff member who identified it (if applicable), the module where it was
located (if applicable), and the date it was identified
• Resolution Register -which will include the individual assigned to address
the risk from the Risk Register, the priority of it, the resolution of it, the staff
member responsible for facilitating the resolution , and the date of
resolution
As risks are assessed & resolutions are considered throughout the project duration, we
will suggest customizations (and note the related budgetary impact, timeline impact, and
stakeholder impact) to the project, as well as carefully review any project customizations
suggested by either the City or the vendor.
VENDOR COLLABORATION
Avero w ill work w ith the City & the selected vendor to ensure project quality standard
compliance via quality assurance (QA) & quality control (QC). We will develop and embed
a set of QA/QC processes to ensure project deliverables meet the City's established
requirements. We will monitor the vendor's compliance with the negotiated contract and
seek to resolve any issues with the vendor's performance.
Furthermore, our team will meet regularly with the vendor to communicate budget &
timeline expectations and ensure the project is meeting these expectations. We will keep
track of the vendor's documentation regarding system configuration, system integration,
system testing, and system maintenance, as well as the vendor's documentation
regarding system support for both the present & future. We will assist the City & the
selected vendor in finalizing and documenting project roles & responsibilities.
DEVELOPMENT OF PROJECT DOCUMENTS
Avero will collaborate with the City's project sponsors, including the IT Project Manager,
IT Enterprise Applications Manager, and/or other department managers, to develop the
following plans to utilize during the project:
• Communications Plan -w hich will include the type of communication, the
group who will be communicated with, the purpose of the communication,
the frequency of the communication, and the method of communication
• Stakeholder Engagement Plan -which w ill outline the steps for keeping
stakeholders engaged & informed throughout the implementation of the
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new solution
• Training Plan -which will include the training approach, format, participant
groupings, and schedule for end-user training
o Including training materials to address both current & future trainings to
assist current end-users & future end-users (i.e., new staff when hired)
understand the functionalities of the new system
o Including user manuals, which will detail specific instructions for how
employees will complete tasks in the new system
OVERSIGHT OF SYSTEM CONFIGURATION & INTEGRATION
Avero will coordinate with the City & the selected vendor to ensure workflows are properly
configured across all modules with in the new system. This activity will ensure that the
optimized business processes are aligned with the functional capacity of the newly-
implemented system to maximize efficiency across the City. Our team will also work with
the City & the selected vendor to ensure that all required current systems in place at the
City are properly integrated with the new system. This activity will ensure that all critical
systems are integrated so that the City can benefit from streamlined functionalities
configured in the software system.
OVERSIGHT OF DATA CONVERSION, MIGRATION, & VALIDATION
Avero w ill assist the City & the selected vendor with the conversion, migration, and
validation of the City's data that will be moved to the new system. We will analyze the
condition of the City's existing data, as well as its existing data-related policies &
procedures, in terms of best practices for operational data governance. The following
activities will be conducted by our team as part of the data conversion, migration, and
validation task:
• Review the data & data types being converted and understand information,
such as:
o The amount, type, and quality of data
o The original & target sources & formats
o Any cross-reference complexities
• Identify the criticality of the City's data and determine how the data
conversion, migration, and validation will be performed, along w ith costs,
schedules, tools, and any required staff involvement from the City & the
vendor
• Evaluate and identify City staff & vendor staff to perform the data
conversion, migration, and validation based on their expertise &
experience
• Review any other planning considerations with the City's project
sponsors, such as communication, education, data normalization,
QA/QC, and data accuracy & completeness
OVERSIGHT OF SYSTEM TESTING, USER ACCEPTANCE TESTING
(UAT), & END-USER TESTING (EUT)
Avèro will assist the City & the selected vendor with the testing of all system requirements
in accordance with the contract that the City has with the vendor. This activity will ensure
that the required system functionalities across all system modules are operable & that
automated workflows are functioning correctly. Any system requirements that are not
executable by the Avèro system testers will be documented and reported to the vendor
for required system maintenance before UAT with City staff.
Additionally, Avèro will coordinate with the City & the selected vendor to choose a group
of stakeholders for UAT across the City’s departments to test all system requirements,
across all system modules, in accordance with the City’s contract with the vendor. By
project managing UAT, Avèro will monitor the user experience that involves the execution
of key system functionalities, general system navigation, and automated workflows. Any
system requirements that are not executable by the system testing team designated to
UAT will be documented and reported to the vendor for required system maintenance
before completion of UAT with City staff. Our team will also provide guidance on change
management so that the system implementation will be handled most appropriately across
the City.
Avèro will also work with the City & the selected vendor to provide interactive EUT in a
format that best meets the training needs of the City’s end-user community. By project
managing EUT, Avèro will ensure that power users receive the training required to develop
the operational knowledge base needed to act as the software system “point people” in
their respective departments. Avèro will also collaborate with the vendor & power users to
facilitate subsequent training sessions to review system navigation, key functionalities, and
workflow execution within the new software system.
GO-LIVE SUPPORT & POST GO-LIVE SUPPORT
Avèro will coordinate with the City & the selected vendor to provide onsite or virtual support
during the Go-Live event for each module of the new software system and address any
identified project risks. By project managing Go-Live, Avèro will serve as the support liaison
between the City & the vendor. Avèro will document any problems that the City staff
experience related to system functionality, navigation, workflow execution, or integration and
then manage the resolution of all documented issues with the vendor.
In addition, Avèro will work with the City & the selected vendor to provide onsite or virtual
support during the Post Go-Live period. By project managing Post Go-Live, Avèro will
continue to act as a support liaison between the City & the vendor. Avèro will continue to
document any issues that City staff experience related to system functionality, navigation,
workflow execution, or integration for a period following the Go-Live event. Our team will
manage the resolution of all documented issues with the vendor. Furthermore, we will
authorize system acceptance for the project closeout.
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CHANGE MANGEMENT SERVICES: CHANGE
MANAGEMENT
CHANGE MANAGEMENT PLANNING
Avero will develop a thorough Change Management Plan, which w ill outline key elements of what City
staff can expect from the solution implementation process. Specifically, the Change Management Plan
will outline the processes necessary to appropriately prepare the City staff who will be using the new
system for the changes ahead, set appropriate expectations for these users, and describe how our team
will monitor & manage any resistance identified from these users. The Change Management Plan will
also serve as a guide for the various City department managers who will be guiding their staff through
the implementation of the new solution.
IMPLEMENTATION PLANNING
Avero will develop a comprehensive Implementation Plan to outline each phase of the solution
implementation so that the City's project sponsors, including the IT Project Manager, IT Enterprise
Applications Manager, and/or other department managers, will have a solid understanding of what to
expect. The plan will include estimated costs & timeframes, as well as necessary City staff resources, to
implement the new solution properly. This detailed plan will consider how to balance the City staff
members' current workloads with the workload demands that are connected with the implementation.
STAFF PREPARATION
Avero will assist w ith the training associated with the implementation of the new solution. Once the
Training Plan has been developed, we will utilize it to prepare City staff for the system implementation &
the relevant implications. Our team will assist with providing specific train ing to various staff levels, from
entry-level employees to executive leaders. We will consistently monitor the user experience involving
the execution of key system functionalities, general system navigation, and automated workflows. We
will be available for City staff to share their feedback on which of their project-related expectations are
not being met, and we will seek to find solutions to better prepare & advise them for the system
implementation.
RESOLUTION NO. 2023-261
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF CARLSBAD,
CALIFORNIA, AUTHORIZING THE CITY MANAGER TO EXECUTE A
PROFESSIONAL SERVICES MASTER AGREEMENT FOR INFORMATION
TECHNOLOGY PROJECT MANAGEMENT AND CHANGE MANAGEMENT
SERVICES WITH CLIENTFIRST TECHNOLOGY CONSULTING, LLC FOR AN
AMOUNT NOT TO EXCEED $1,500,000 FOR A FIVE-YEAR PERIOD
WHEREAS, the City Council of the City of Carlsbad, California has determined that having
available project management and change management consultants for professional services that
facilitate the timely completion of information technology projects is needed; and
WHEREAS, the Information Technology Department solicited, received, and reviewed
Statements of Qualifications (SOQs) for professional services consistent with the Carlsbad Municipal
Code Section 3.28.060; and
WHEREAS, following a review and ranking of the SOQs based on a weighted scoring system staff
recommends that ClientFirst Technology Consulting, LLC is qualified and provides the best value to the
City of Carlsbad in the discipline of project management and change management; and
WHEREAS, expenditures for the professional services are subject to availability of budget
appropriations associated with information technology projects.
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 City Council hereby authorizes the City Manager to execute the Professional
•Service Master Agreement with ClientFirst Technology Consulting, LLC in an amount not
to exceed $1,500,000 over a five-year period (Attachment A).
Exhibit 2
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PASSED, APPROVED AND ADOPTED at a Regular Meeting of the City Council of the City of
Carlsbad on the 17th day of October, 2023, by the following vote, to wit:
AYES:
NAYS:
ABSTAIN:
ABSENT:
Blackburn, Bhat-Patel, Acosta, Burkholder, Luna.
None.
None.
None. l
KEITH BLACKBURN, Mayor
SHERRY FREISINGER, City Clerk
(SEAL)
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MASTERAGREEMENTFORPROJECTMANAGEMENTAND
CHANGE MANAGEMENT SERVICES
Attachment A
CLIENTFIRST TECHNOLOGY CONSUL TING, LLC /,)._
THIS AGREEMENT is made and entered into as of the 1,,, 6 day of
0 Ct\> b :!N'.: , 2023, by and between the CITY OF CARLSBAD, a municipal
corporation, hereinafter referred to as "City", and ClientFirst Technology Consulting, LLC a limited
liability company, hereinafter referred to as "Contractor."
RECITALS
A. City requires the professional services of an information technology consulting firm
that is experienced in information technology project management and change management.
B. The professional services are required on a non-exclusive, project-by-project
basis.
C. Contractor has the necessary experience in providing professional services and
advice related to information technology project management and change management.
D. Contractor has submitted a proposal to City and has affirmed its willingness and
ability to perform such work.
NOW, THEREFORE, in consideration of these recitals and the mutual covenants
contained herein, City and Contractor agree as follows:
1. SCOPE OF WORK
City retains Contractor to perform, and Contractor agrees to render, those services {the
"Services") that are defined in attached Exhibit "A", which is incorporated by this reference in
accordance with this Agreement's terms and conditions. To the extent any of the terms in any
exhibit to this Agreement conflict, in whole or part, with the terms of this Agreement, the terms of
this Agreement shall prevail.
Contractor's obligations with respect to any project granted to Contractor under this Agreement
will be as specified in the Task Description for the project (see paragraph 5 below).
2. STANDARD OF PERFORMANCE
While performing the Services, Contractor will exercise the reasonable professional care and skill
customarily exercised by reputable members of Contractor's profession practicing in the
Metropolitan Southern California Area and will use reasonable diligence and best judgment while
exercising its professional skill and expertise.
3. TERM
The term of this Agreement will be effective for a period of five (5) years from the date first above
written.
4. PROGRESS AND COMPLETION
The work for any project granted to Contractor pursuant to this Agreement will begin within ten
(10) days after receipt of notification to proceed by City and be completed within the time specified
in the Task Description for the project (see paragraph 5 below). Extensions of time for a specific
Task Description may be granted if requested by Contractor and agreed to in writing by the City
Manager or the Division Director as authorized by the City Manager ("Director"). The City
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Manager or Director will give allowance for documented and substantiated unforeseeable and
unavoidable delays not caused by a lack of foresight on the part of Contractor, or delays caused
by City inaction or other agencies' lack of timely action. In no event shall a specific Task
Description exceed the term of this Agreement.
5.COMPENSATION
The cumulative total for all projects allowed pursuant to this Agreement will not exceed three
hundred thousand dollars ($300,000) per Agreement year. The total amount of the Agreement
shall not exceed one million five hundred thousand dollars ($1,500,000) for the five-year term.
Fees will be paid on a project-by-project basis and will be based on Contractor’s Schedule of
Rates specified in Exhibit “A”. Prior to initiation of any project work by Contractor, City shall
prepare a Project Task Description and Fee Allotment (the "Task Description") which, upon
signature by Contractor and for City, the City Manager or Director, will be considered a part of
this Agreement. The Task Description will include a detailed scope of services for the particular
project being considered and a statement of Contractor's fee to complete the project in
accordance with the specified scope of services. The Task Description will also include a
description of the method of payment and will be based upon an hourly rate, percentage of project
complete, completion of specific project tasks or a combination thereof.
6.STATUS OF CONTRACTOR
Contractor will perform the Services in Contractor's own way as an independent contractor and
in pursuit of Contractor's independent calling, and not as an employee of City. Contractor will be
under control of City only as to the result to be accomplished but will consult with City as
necessary. The persons used by Contractor to provide services under this Agreement will not be
considered employees of City for any purposes.
The payment made to Contractor pursuant to the Agreement will be the full and complete
compensation to which Contractor is entitled. City will not make any federal or state tax
withholdings on behalf of Contractor or its agents, employees or subcontractors. City will not be
required to pay any workers' compensation insurance or unemployment contributions on behalf
of Contractor or its employees or subcontractors. Contractor agrees to indemnify City within thirty
(30) days for any tax, retirement contribution, social security, overtime payment, unemployment
payment or workers' compensation payment which City may be required to make on behalf of
Contractor or any agent, employee, or subcontractor of Contractor for work done under this
Agreement. At the City’s election, City may deduct the indemnification amount from any balance
owing to Contractor.
7.SUBCONTRACTING
Contractor will not subcontract any portion of the Services without prior written approval of City.
If Contractor subcontracts any of the Services, Contractor will be fully responsible to City for the
acts and omissions of Contractor's subcontractor and of the persons either directly or indirectly
employed by the subcontractor, as Contractor is for the acts and omissions of persons directly
employed by Contractor. Nothing contained in this Agreement will create any contractual
relationship between any subcontractor of Contractor and City. Contractor will be responsible for
payment of subcontractors. Contractor will bind every subcontractor and every subcontractor of
a subcontractor by the terms of this Agreement applicable to Contractor's work unless specifically
noted to the contrary in the subcontract and approved in writing by City.
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8.OTHER CONTRACTORS
The City reserves the right to employ other Contractors in connection with the Services.
9.OTHER PUBLIC AGENCY OPTION
It is intended that any other public agency (i.e., city, district, public authority, public agency,
municipal utility and other political subdivision or public corporation of California) located in the
State of California shall have the option to participate in a similar services contract and/or
purchases being offered in this Agreement under the same terms and conditions.
CONSULTANT has the option to agree or disagree to such contracts and/or purchases on a
case-by-case basis. CONSULTANT agrees to extend the same pricing, terms, and conditions
as stated in this Agreement. The City shall incur no financial responsibility in connection with
any contract and/or purchase by another public agency. The public agency shall accept sole
responsibility for placing order or payments to the vendor.
10.INDEMNIFICATION
Contractor agrees to indemnify and hold harmless the City and its officers, officials, employees
and volunteers from and against all claims, damages, losses and expenses including attorney's
fees arising out of the performance of the work described herein caused by any 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.
The parties expressly agree that any payment, attorney’s fee, costs or expense City incurs or
makes to or on behalf of an injured employee under the City’s self-administered workers’
compensation is included as a loss, expense or cost for the purposes of this section, and that this
section will survive the expiration or early termination of this Agreement.
11.INSURANCE
Contractor will obtain and maintain for the duration of the Agreement and any and all
amendments, insurance against claims for injuries to persons or damage to property which may
arise out of or in connection with performance of the services by Contractor or Contractor’s
agents, representatives, employees or subcontractors. The insurance will be obtained from an
insurance carrier admitted and authorized to do business in the State of California. The insurance
carrier is required to have a current Best's Key Rating of not less than "A-:VII"; OR with a surplus
line insurer on the State of California’s List of Approved Surplus Line Insurers (LASLI) with a rating
in the latest Best’s Key Rating Guide of at least “A:X”; OR an alien non-admitted insurer listed by
the National Association of Insurance Commissioners (NAIC) latest quarterly listings report.
11.1 Coverages and Limits. Contractor will maintain the types of coverages and minimum limits
indicated below, unless Risk Manager or City Manager approves a lower amount. These minimum
amounts of coverage will not constitute any limitations or cap on Contractor's indemnification
obligations under this Agreement. City, its officers, agents and employees make no representation
that the limits of the insurance specified to be carried by Contractor pursuant to this Agreement
are adequate to protect Contractor. If Contractor believes that any required insurance coverage
is inadequate, Contractor will obtain such additional insurance coverage, as Contractor deems
adequate, at Contractor's sole expense. The full limits available to the named insured shall also
be available and applicable to the City as an additional insured.
11.1.1 Commercial General Liability (CGL) Insurance. Insurance written on an
“occurrence” basis, including personal & advertising injury, with limits no less than $2,000,000 per
occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply
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separately to this project/location or the general aggregate limit shall be twice the required
occurrence limit.
11.1.2 Automobile Liability. (if the use of an automobile is involved for Contractor's
work for City). $2,000,000 combined single-limit per accident for bodily injury and property
damage.
11.1.3 Workers' Compensation and Employer's Liability. Workers' Compensation
limits as required by the California Labor Code. Workers' Compensation will not be required if
Contractor has no employees and provides, to City's satisfaction, a declaration stating this.
11.1.4 Professional Liability. Errors and omissions liability appropriate to
Contractor’s profession with limits of not less than $1,000,000 per claim. Coverage must be
maintained for a period of five years following the date of completion of the work.
11.2. Additional Provisions. Contractor will ensure that the policies of insurance required under
this Agreement contain, or are endorsed to contain, the following provisions:
11.2.1 The City will be named as an additional insured on Commercial General
Liability which shall provide primary coverage to the City.
11.2.2 Contractor will obtain occurrence coverage, excluding Professional
Liability, which will be written as claims-made coverage.
11.2.3 This insurance will be in force during the life of the Agreement and any
extensions of it and will not be canceled without thirty (30) days prior written notice to City sent
by certified mail pursuant to the Notice provisions of this Agreement.
11.3 Providing Certificates of Insurance and Endorsements. Prior to City's execution of this
Agreement, Contractor will furnish certificates of insurance and endorsements to City.
11.4 Failure to Maintain Coverage. If Contractor fails to maintain any of these insurance
coverages, then City will have the option to declare Contractor in breach or may purchase
replacement insurance or pay the premiums that are due on existing policies in order to maintain
the required coverages. Contractor is responsible for any payments made by City to obtain or
maintain insurance and City may collect these payments from Contractor or deduct the amount
paid from any sums due Contractor under this Agreement.
11.5 Submission of Insurance Policies. City reserves the right to require, at any time, complete
and certified copies of any or all required insurance policies and endorsements.
12.BUSINESS LICENSE
Contractor will obtain and maintain a City of Carlsbad Business License for the term of the
Agreement, as may be amended from time-to-time.
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13.ACCOUNTING RECORDS
Contractor will maintain complete and accurate records with respect to costs incurred under this
Agreement. All records will be clearly identifiable. Contractor will allow a representative of City
during normal business hours to examine, audit, and make transcripts or copies of records and
any other documents created pursuant to this Agreement. Contractor will allow inspection of all
work, data, documents, proceedings, and activities related to the Agreement for a period of three
(3) years from the date of final payment under this Agreement.
14.OWNERSHIP OF DOCUMENTS
All work product produced by Contractor or its agents, employees, and subcontractors pursuant
to this Agreement is the property of City. In the event this Agreement is terminated, all work
product produced by Contractor or its agents, employees and subcontractors pursuant to this
Agreement will be delivered at once to City. Contractor will have the right to make one (1) copy
of the work product for Contractor’s records.
15.COPYRIGHTS
Contractor agrees that all copyrights that arise from the services will be vested in City and
Contractor relinquishes all claims to the copyrights in favor of City.
16.NOTICES
The name of the persons who are authorized to give written notice or to receive written notice on
behalf of City and on behalf of Contractor under this Agreement are:
For City: For Contractor:
Name Maria Callander Name David Krout
Title IT Director Title Managing Partner
Dept Information Technology Address 980 Montecito Drive, Suite 209
CITY OF CARLSBAD CORONA, CA 92879
Address 1635 Faraday Ave Phone 951-739-7989
Carlsbad, CA 92008 Email dkrout@clientfirstcg.com
Phone 760.602.2454
Name Tom Jakobsen
Title Managing Partner
Address 980 Montecito Drive, Suite 209
CORONA, CA 92879
Phone 951-739-7989
Email tjakobsen@clientfirstcg.com
Each party will notify the other immediately of any changes of address that would require any
notice or delivery to be directed to another address.
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I I
I I
I I
I
~ -===---------
-===-----I~-===-----
6 City Attorney Approved Version 6/12/18
17.CONFLICT OF INTEREST
Contractor shall file a Conflict of Interest Statement with the City Clerk in accordance with the
requirements of the City of Carlsbad Conflict of Interest Code. The Contractor shall report
investments or interests as required in the City of Carlsbad Conflict of Interest Code.
Yes No
If yes, list the contact information below for all individuals required to file:
Name Email Phone Number
18.GENERAL COMPLIANCE WITH LAWSContractor will keep fully informed of federal, state and local laws and ordinances and regulations
which in any manner affect those employed by Contractor, or in any way affect the performanceof the Services by Contractor. Contractor will at all times observe and comply with these laws,
ordinances, and regulations and will be responsible for the compliance of Contractor's serviceswith all applicable laws, ordinances and regulations.
Contractor will be aware of the requirements of the Immigration Reform and Control Act of 1986 and will comply with those requirements, including, but not limited to, verifying the eligibility for
employment of all agents, employees, subcontractors and consultants whose services are required by this Agreement.
19.DISCRIMINATION AND HARASSMENT PROHIBITEDContractor will comply with all applicable local, state and federal laws and regulations prohibiting
discrimination and harassment.
20.DISPUTE RESOLUTION
If a dispute should arise regarding the performance of the Services the following procedure will
be used to resolve any questions of fact or interpretation not otherwise settled by agreementbetween the parties. Representatives of Contractor or City will reduce such questions, and theirrespective views, to writing. A copy of such documented dispute will be forwarded to both parties
involved along with recommended methods of resolution, which would be of benefit to bothparties. The representative receiving the letter will reply to the letter along with a recommendedmethod of resolution within ten (10) business days. If the resolution thus obtained is unsatisfactory
to the aggrieved party, a letter outlining the disputes will be forwarded to the City Manager. TheCity Manager will consider the facts and solutions recommended by each party and may then opt
to direct a solution to the problem. In such cases, the action of the City Manager will be bindingupon the parties involved, although nothing in this procedure will prohibit the parties from seekingremedies available to them at law.
21.TERMINATION
In the event of the Contractor's failure to prosecute, deliver, or perform the Services, City mayterminate this Agreement for nonperformance by notifying Contractor by certified mail of the
termination. If City decides to abandon or indefinitely postpone the work or services contemplatedby this Agreement, City may terminate this Agreement upon written notice to Contractor. Uponnotification of termination, Contractor has five (5) business days to deliver any documents owned
by City and all work in progress to City at the address contained in this Agreement. City will makea determination of fact based upon the work product delivered to City and of the percentage of
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7 City Attorney Approved Version 6/12/18
work that Contractor has performed which is usable and of worth to City in having the Agreement completed. Based upon that finding City will determine the final payment of the Agreement.
Either party upon tendering thirty (30) days written notice to the other party may terminate this Agreement. In this event and upon request of City, Contractor will assemble the work product and
put it in order for proper filing and closing and deliver it to City. Contractor will be paid for work
performed to the termination date; however, the total will not exceed the lump sum fee payable under this Agreement. City will make the final determination as to the portions of tasks completed
and the compensation to be made.
22.COVENANTS AGAINST CONTINGENT FEES
Contractor warrants that Contractor has not employed or retained any company or person, other
than a bona fide employee working for Contractor, to solicit or secure this Agreement, and that
Contractor has not paid or agreed to pay any company or person, other than a bona fide
employee, any fee, commission, percentage, brokerage fee, gift, or any other considerationcontingent upon, or resulting from, the award or making of this Agreement. For breach or violation
of this warranty, City will have the right to annul this Agreement without liability, or, in its discretion,
to deduct from the Agreement price or consideration, or otherwise recover, the full amount of the
fee, commission, percentage, brokerage fees, gift, or contingent fee.
23.CLAIMS AND LAWSUITS
By signing this Agreement, Contractor agrees that any Agreement claim submitted to City must
be asserted as part of the Agreement process as set forth in this Agreement and not in anticipationof litigation or in conjunction with litigation. Contractor acknowledges that if a false claim is
submitted to City, it may be considered fraud and Contractor may be subject to criminal
prosecution. Contractor acknowledges that California Government Code sections 12650 et seq.,
the False Claims Act applies to this Agreement and, provides for civil penalties where a personknowingly submits a false claim to a public entity. These provisions include false claims made
with deliberate ignorance of the false information or in reckless disregard of the truth or falsity of
information. If City seeks to recover penalties pursuant to the False Claims Act, it is entitled to
recover its litigation costs, including attorney's fees. Contractor acknowledges that the filing of afalse claim may subject Contractor to an administrative debarment proceeding as the result of
which Contractor may be prevented to act as a Contractor on any public work or improvement for
a period of up to five (5) years. Contractor acknowledges debarment by another jurisdiction is
grounds for City to terminate this Agreement.
24.JURISDICTIONS AND VENUE
Any action at law or in equity brought by either of the parties for the purpose of enforcing a right
or rights provided for by this Agreement will be tried in a court of competent jurisdiction in the
County of San Diego, State of California, and the parties waive all provisions of law providing for
a change of venue in these proceedings to any other county.
25.SUCCESSORS AND ASSIGNS
It is mutually understood and agreed that this Agreement will be binding upon City and Contractor
and their respective successors. Neither this Agreement nor any part of it nor any monies due or
to become due under it may be assigned by Contractor without the prior consent of City, which
shall not be unreasonably withheld.
26.ENTIRE AGREEMENT
This Agreement, together with any other written document referred to or contemplated by it, along
with the purchase order for this Agreement and its provisions, embody the entire Agreement and
understanding between the parties relating to the subject matter of it. In case of conflict, the terms
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of the Agreement supersede the purchase order. Neither this Agreement nor any of its provisions
may be amended, modified, waived or discharged except in a writing signed by both parties.
27. AUTHORITY
The individuals executing this Agreement and the instruments referenced in it on behalf of
Contractor each represent and warrant that they have the legal power, right and actual authority
to bind Contractor to the terms and conditions of this Agreement.
CONTRACTOR
By: 04\AV ~t
(sign here)
DAVID KROUT Managing Partner
(print name/title)
By:
1~
(sign here)
Tom Jakobsen senior Pa rtner
(print name/title)
ARLSBAD, a municipal
n f h State of California
ATTEST:
~
SHERRY FREISINGER
City Clerk
Proper notarial acknowledgment of execution by Contractor must be attached. If a corporation,
Agreement must be signed by one corporate officer from each of the following two groups:
Group A Group B
Chairman, Secretary,
President, or Assistant Secretary,
Vice-President CFO or Assistant Treasurer
Otherwise, the corporation must attach a resolution certified by the secretary or assistant
secretary under corporate seal empowering the officer(s) signing to bind the corporation.
CITY OF CARLSBAD, a municipal corporation of the State of California
APPROVED AS TO FORM:
CINDIE MCMAHON, City Attorney
BY: ~W ~-Thµ.,
Deputy City Attorney
Oct. 17, 2023
8 City Attorney Approved Version 6/12/18
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EXHIBIT “A”
SCOPE OF SERVICES
Contractor agrees to provide the following services, as needed by the City and as defined and
agreed to on individual task orders:
1) Project management: Within the city’s existing project management framework, assist the city
with future projects and initiatives with project management related tasks such as:
Assessments to identify business, functional and technical requirements
Assisting in developing, issuing, and evaluating request for proposals
Business process mapping and improvement
Providing additional project management staff to augment the city’s existing IT project
management team
2) Change Management: Assist the city on large projects to ensure that the city is intentional in
its efforts to prepare the organization for a change, the transition through the change is as
smooth as possible and staff have the training and tools necessary to leverage the benefits of
the project including:
Providing change management tools and processes that facilitate citywide
communication, knowledge, and the ability for stakeholders to successfully adopt and
maintain change related to city projects and initiatives
Providing customized on-demand training materials for business processes and
information systems that can be loaded on the city’s training platform (Carlsbad Learn)
to support the ongoing training needs for existing and future staff
Contractor will only be compensated for services once a task order is agreed upon by both
Contractor and the City. There will be no compensation for Contractor in advance of a task
order, including any time needed to draft a proposed scope of work for the specific task order.
City Standards:
The city’s standard tool for project management is SmartSheet.
The city’s standard tool for project collaboration (file sharing, virtual project meetings, etc.) is
Microsoft Teams.
Statement of Cost Services
Professional fees and expenses are based on the scope and approach outlined in a task order.
Standard billing rates for these types of services reflect the levels and skill sets of the consultant(s)
assigned to specific aspects of the project. ClientFirst will limit annual hourly rates to not more
than 3% per year.
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Contractor Methodology/Project Approach
Project Management Services
We have extensive experience in assisting clients with project management and implementation
for various information technology systems. To that end, we have developed the following
methodology to assist the City with the implementation and project management for improved
processes, application systems, infrastructure, communications, and cybersecurity. Depending
on the specific individual project needs, our project management services can include:
Assist the City in managing vendor work efforts
Provide detailed design specifications where necessary
Manage the change-order process and provide recommendations on specific change-order
requests
Identify project risks and develop risk-mitigation plans
Maintain project schedules and action items and provide ongoing follow up
Inspect vendor work efforts and manage vendor documentation and project close-out
activities
Supplement City staff as necessary to assist in on-schedule and on-budget project
completion
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Personnel
David Krout
Tom Jakobsen
Jamie Shell
Cindy Belcher
Tatjana Meser
Craig Williams
Chad Griewahn
Michael Redmond
Janet Federioo
Michael Truncale
Cyndi Hoxie
Tam Ly
Aaron Ayala
Pete Graziano
John Lambert
Toby Soto
Thomas Weiman
Marcia Struwing
Staff
Title
Partner, Management Consulting Practice Leader
Partner, IT Infrastructure and Operations Consulting Practice Leader
Director. Enterprise Applications Consulting
ns Consulting
ons Consulting
Director, Enterprise Applicatio
Manager, Enterprise Applicati
Director, Infrastructure Consu
Director, Infrastructure Consu
Manager, IT Infrastructure Co
Management Consultant
Senior Management Consulta
Management Consultant
Management Consultant
Senior Consultant
Senior Network Engineer
Practice Leader
!ting Services
!ting Services
nsulting
nt
Senior GIS Consultant
Enterprise Communications C
Senior Teleoommunications C
onsulting Practice Leader
onsultant
-
Hourly Rate
$ 235
$235
$ 215
$ 215
$ 205
$ 215
$ 215
$ 215
$195
$195
$195
$185
$195
$195
$225
$195
$ 215
$195
11 City Attorney Approved Version 6/12/18
PROJECT MANAGEMENT METHODOLOGY
ClientFirst will provide project management services to assist
the City of Carlsbad with the successful implementation of
technology projects. ClientFirst’s Project Management
services utilize PMI industry best practices and follow a
structured methodology to insure the successful completion of
projects on time and within budget. Each of these project
process groups, and potential activities and services provided
are described below.
Project Initiation Phase
The initiation phase of a Project is an important step when formulating
the business case and authorization to begin a project. For any typical
technology project, this process begins with the development of a
Project Charter and an assessment of the impacted groups
(stakeholders).
ClientFirst Project Management oversight begins with the development
of a project charter to identify the following:
Project definition and impacted stakeholders
Identification of Project Sponsors and authority of Project Manager
Preliminary scope and estimated timeline
Business objectives and measurement matrix
Once a City of Carlsbad project has been authorized and the initial Project Charter developed,
the ClientFirst Project Manager will continue to work with City staff to develop the detailed
components of the Project Management Plan during the Project Planning Phase.
Project Planning Phase Knowledge Areas
The planning phase of a project plays a critical role in its overall
success. ClientFirst’s extensive project management experience
with a variety of City technology projects will play a critical role to
ensure that all the Project Management Plan components are
addressed and accurately reflect the goals and objectives of the
project. Each of these plan components will be skillfully laid out to
account for the time, budget, and scope constraints identified
during this planning phase. Below is a brief description of
tasks/inputs for each of these knowledge areas.
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Scope Management Plan
A ClientFirst scope management plan begins with collecting details on the specific requirements
that are needed to meet the project’s business objectives. Depending upon the specific project,
this process usually begins with needs assessment activities, such as workshops, interviews,
surveys, observations, to document the specific needs, organizational impacts, as well as
resources that will be needed for the project.
Time (Schedule) and Resource Management Plans
Based on the scope of the project that has been identified, a baseline schedule is determined
that considers the available resources and activities required to be completed. These plans
require the following inputs to be identified during the planning process:
Define specific activities/actions to be performed to meet deliverables
Define sequencing of activities to be completed and identify interdependencies
Estimate activity resources (quantity, duration, schedule availability)
Develop baseline project schedule
Risk Management Plan
For significant projects, risks need to be identified early on to avoid major delays and budget
overruns. The purpose of a risk management plan is to identify potential risks, assess the
impact of the risk on the project and determine potential mitigation strategies to address each of
the risks identified. Some risks have more substantial impacts on a project and require
aggressive actions, while others are low impact risks that only require monitoring and
awareness. The goal of the risk management plan is to be proactive in dealing with potential
issues on the project and adjusting accordingly to the overall Project Management Plan.
Cost Management Plan (Budget)
Based on the initial scope and resource plans identified, a cost management plan will be
identified for each project. There is a direct correlation between time, scope, and costs to every
project. This is commonly referred to as the Project Manager’s Triple-Constraint Triangle. The
idea being that an adjustment to one of these areas will have a
positive/negative effect on the other elements within the
constraint triangle. For example, if the project schedule needs
to be extended, there will be a direct impact on the cost of the
project.
By doing a thorough analysis of requirements and project scope
during the planning phase of the project, significant budget
overruns can be avoided later in the project and/or can be
accommodated within contingency plans identified as part of the
project risk assessment.
ClientFirst’s experience with similar technology projects will play
a significant role in identifying costs and resources needed for
these types of projects. Our expertise in navigating similar initiatives will help to identify
potential costs and risks more accurately to further plan strategies to mitigation unforeseen
problems or roadblocks on any City IT project.
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Budget/Cost
Scope Time/Schedule
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Quality Assurance Plan
A Quality Assurance plan and associated detailed test plans are not just nice to have, but rather
an essential success factor for all project initiatives.
As part of the overall Project Management Plan, a well-conceived Quality Assurance process
needs to be identified and implemented to meet the business objectives for the project.
Change Management Plan
A Change Management Plan specifically addresses the methodology and approach needed to
assist project participants manage the change of processes, tools, and organizational culture.
Communication Plan
The Communications Plan deals with the “people-side of change” and plays an integral part in
the success of any project.
As part of the overall Project Management responsibilities provided by ClientFirst to the City of
Carlsbad, a realistic communications plan will be developed to keep all levels of
participants/stakeholders informed about the project’s status, deliverables, and activities.
Based on the initial stakeholder assessment completed as part of the Project initiation activities,
a mutually agreeable communications plan will be developed for each project. The
communication plan will identify the means, frequency, and audience of the various types of
communication channels desired for the type of project initiated (e.g., bi-monthly status calls,
monthly Executive Sponsor hi-level briefings (project dashboards), detailed action item lists,
etc.)
Execution / Monitoring and Controlling Project Phases
Based on all the planning work completed during the initiation and planning phases of the
projects, the execution phase focuses on deploying and executing each of the above discussed
components of the Project Management Plan.
These activities include the day-to-day deployment of activities and deliverables, in concert with
the execution of the communications plan and stakeholder management plans.
Depending on the type of project, the execution phase could also include the formal
procurement process for selecting a vendor with the best fit to requirements identified early in
the project.
Throughout the execution phase of the Project, there will most likely be changes identified to
scope, resources needed, project schedule, and potential costs. All these types of adjustments
will be managed and addressed by the CLIENTFIRST Project Manager through a formal, agreed-
upon change control process.
The success/completion metrics established during the planning phase will also be used to
monitor the health and progress of the projects. Project plan documents will be updated and
maintained throughout the lifecycle of the project.
Other types of project assistance include:
Executing the Quality Assurance plan
Third-Party Vendor Management – contract negotiations, Statement of Work review and
development, resource scheduling, budget controls
Execution of communications plan
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Monitoring change management initiatives, including stakeholder training
Monitoring project costs, deliverables, resources, schedules, and update plans accordingly
Maintain and update Project Risk Management Plan as needed
Coach, mentor, and motivate team members and contractors, and influence them to take
positive action and accountability for their assigned work
Providing escalation assistance to address critical issues before, during, and after they may
arise to determine contingency/mitigation strategies
Project Closure
The final project process group is Project Closure. On any given project, there are always
lessons to be learned and processes identified that could be improved that would benefit future
initiatives.
This final project phase is an opportunity to compile lessons learned, conduct a final project
analysis against metrics established early on, as well as archive project documentation and
supporting materials for future reference.
Typical Project Management Scope and Work Steps
This project will require coordination of City personnel, selected vendors, and the ClientFirst
team. Following are the typical work steps for technology projects:
1.Project Management and Routine Planning Meetings
The selected vendor will be required to provide a proposed implementation schedule. We will
review the schedule and recommend modifications, as necessary.
Project Planning Meetings – We will work with the City and the selected vendor to
customize this plan to meet the City requirements and cause as little disruption as possible.
The process will require discussions and planning meetings on the best method to convert,
modify, and enhance existing infrastructure and associated services.
Routine Project Meetings and Calls – We will conduct meetings with the equipment and
telecom service vendors and maintain ongoing communications to ensure that the
implementation of the system goes as smoothly as possible.
Implementation Status – We will monitor the status of the equipment installation at various
points during the project. We anticipate at least weekly meetings/conference calls
throughout the implementation.
Change Order Monitoring – Part of this process will be to monitor any change orders and
proposed upgrades or modifications to the system design and configuration. Our work will
also include routine meetings with the City regarding the status of the project and budget.
2.Project Management Duties – Ensuring that projects follow the City's long-
term objectives
We will work with the selected equipment vendor to design and implement the solution.
Manage overall project scope and change control procedures for the City
Provide recommended next steps and impact analysis when required
Provide project oversight, guiding activities that meet City goals
Identify critical due dates and deliverables
Highlight risks and assist with mitigation as appropriate
Maintain a high-level project plan
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Monitor the execution of change management plans
Assist the City in identifying and developing communications plans
Perform quality assurance checks and develop benchmarks to instill project integrity
3.Vendor Management – Saving money through best-practice vendor controls
We will work with the selected vendors to coordinate the implementation of the new systems
services and the conversion of the existing services.
Assist the City in the definition of vendor scopes of work, or bills of materials
Follow City procurement ordinances and policies and best practices
Assist the City in procuring IT infrastructure equipment and services
Assist the City in directing and coordinating vendor activities
Review and validate vendor documentation
Review vendor implementation work efforts and provide feedback to City
Create punch lists and communicate with vendors as necessary
Assist the City in determining payment schedules and timing
4.Implementation Assistance – Creating project momentum
When necessary, we will assist City staff in key implementation tasks to maintain project
momentum and prevent delays.
Monitor project progress to completion
Assist in the coordination of vendor implementation activities
Assist in the execution of change management plans
Develop communications for implementations
Assist in the creation of policies and procedures in support of implementation activities
Develop standard operating procedures and other documentation in support of vendor
implementation activities
Review and comment on vendor-provided documentation
Implement phased payment methodology to ensure consistency of duties performed by
vendor
5.Project Close-Out – Ensuring compliance with contract, legal, and code
requirements
Part of any project is “close-out,” which includes verifying all project requirements are met
documentation, final vendor payments, and knowledge transfer. We will work with the City to
validate final vendor service delivery steps and make sure that the City receives proper
documentation and support to reduce ongoing costs.
Assist in project close-out activities
Finalize documentation and procedures
Assist in vendor payment and quality assurance discussions
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Change Management Services
When embarking on technology improvements that involve switching to a new system, change
is inevitable. A structured change management methodology is critical to help staff from
multiple departments come together and adopt new processes and embrace these changes.
ClientFirst provides change management services in various scopes and approaches to fit the
individual project needs, agency resources and budgets. We have developed the
following philosophies and methodology to fit those needs.
Background
Change management is often thought of as being
part of the project management process when
selecting and implementing new technology within
an organization. While both involve structured
strategies and complement each other, there is a
distinct difference between the two. Project
management refers to the technical process of
completing a project on time and on budget.
Change management specifically has to do with
helping people manage the change of processes,
tools, and organizational culture.
Understanding the scope and impact of a technology change to an organization’s culture and
business processes is the starting point for developing an effective change management plan.
Implementing a change management plan involves effectively communicating this vision to
employees and receiving buy-in and acceptance of these changes. The successful
implementation of change management strategies plays a significant role in the success of any
project.
Extensive research has been conducted on this topic which has consistently found that there is
a direct correlation between projects being completed on time, on budget, and achieving
identified objectives/benefits when a structured change management plan is implemented.
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Adequate
Change Management
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17 City Attorney Approved Version 6/12/18
An organization can purchase a system that includes every imaginable feature and function.
However, unless the employees understand (1) why processes will be changing, (2) the benefits
of these changes, and 3) how the changes will impact the way they will do their jobs in the
future, the benefit of new technology may never be realized and implemented. Worse yet, the
project may end up costing more than anticipated and take years to implement.
Common Misconceptions and Change Management Mistakes
In today’s technology world, change is inevitable, and use is rapidly increasing. Consider the
advances made in the last two decades alone. The Internet and cell phone technology have
forever changed the way we access information and entertainment.
Organizations that have a formal change management plan/strategy are better equipped to deal
with the evolution of technology in today’s world. In order to adopt a successful change
management strategy, these are some key considerations and common mistakes to consider.
The software vendor is not responsible for your
organization’s adoption of changes.
Many organizations make the mistake of thinking that
the software vendor is responsible for making the
software work according to how the organization does
business. Unless you have specifically identified in
the contract and/or RFP, using detailed and specific
language about the desired software behavior, the
vendor’s system could perform in a different intended
manner to fulfill the same requirement.
Most of the public sector software implementation projects today involve configurable
commercial off-the-shelf products. This means that with the exception of some configurable
options, the software is not going to be customized and modified through development efforts
without potential significant costs, if at all. Inevitably, this will require changes to business
processes along the way. It is the organization’s responsibility to ascertain how these changes
will impact how business is done and the best way to address these changes with staff. It is not
the vendor’s responsibility to do this, however, it is a critical step in the process of having a
successful project and adoption of the new system.
Employees will not necessarily accept the new system on their own and do what they are
told.
Every employee responds to change differently. Some will embrace it, some will resist it, while
others will retire before going through the change process. For example, in a military and law
enforcement environment, there is a no-questions-asked mentality that works well in certain
cases. However, failure to address the people side of change and consider the process each
individual must go through to accept and embrace business process changes will only make the
implementation more difficult. By establishing a structured change management plan involving
all stakeholders throughout the process and communicating the goals and rewards of the
change, a successful implementation is possible.
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Proactively developing a change management plan from the project’s inception is the
best strategy.
It is never too late to develop a change management strategy/plan. However, it is more
productive and less costly to be proactive from the start rather than waiting until the project is
over budget and delayed. A change management plan should be developed at the inception of
a project prior to evaluation, vendor selection, and beginning the implementation phase. It goes
hand in hand with identifying project resources, how long it will take to implement the system
(scheduling), identifying additional costs over time, and identifying tasks needed to be
scheduled and completed as part of the process. In addition, by involving stakeholders early on
in the process, it is more likely to facilitate early adoption of changes needed and ensure that
requirements are adequately identified prior to selecting and implementing a new vendor.
Executive Management needs to be involved in the details of the day-to-day activities of
the implementation, not just escalations.
One of the biggest misconceptions when implementing new technology is that executives and
higher-level management are only responsible to secure the appropriate funding for a project
and get involved during escalations, delegating lower-level decisions and tasks to the next
management tier/level.
It is extremely important for executives to remain active and visible throughout the duration of
the project to communicate the organizational goals and objectives and show support in
obtaining these goals. They must remain informed regularly as to the critical transformational
changes that will be needed and be a part of continually communicating those objectives
throughout the organization. Mid-level managers will also require executive-level support,
because they will be the ones dealing with the individual direct report’s change process.
Results of an Effective Change Management Strategy
For the organization and project, the result of an effective change management plan will be
savings of time, money, and resources. Research shows that the advantage of an effectively
implemented change management plan will:
Make the project six times more likely to achieve project goals
Make the project five times more likely to be finished on or before the completion deadline
Make the project two times more likely to stay on or below budget
The impact of an effective change management plan also extends to the individual staff level.
Some of these effects include:
Employees adapt to change more quickly
Employees are more motivated, productive, and efficient
Employees feel included and engaged
Employees understand why the change is taking place
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Basic Principles of an Effective Change Management Plan
What is Enterprise Change Management?
It is the systematic deployment of change management skills, tools, and processes throughout
an organization with the following goals in mind:
Improve the utilization of human capital
Ensure all projects deliver people-dependent ROI
Mitigate change saturation and its detrimental effects
Instill organizational agility and the ability to respond to increasing amounts of change
Create competitive advantage and be an innovation leader
Change management is a critical component of organizational agility. As organizations tackle
more change today than ever before, the ability to react quickly and efficiently is critical for
success.
For individual project applications, change management plans should be integrated with project
management activities. It should be presented as a unified front for deploying change, rather
than being an add-on or “nice to have” when time permits.
Change management should be initiated when a new project or change is introduced, not well
into the project lifecycle or during the implementation phase. By doing so, this allows for the
creation of a common language for change so that people in roles across the organization share
an understanding and dialect when discussing changes.
Who Needs to be Involved in the Change Management Plan?
The entire organization will be involved with the change management plan. However, each
level will serve different roles in the adoption of change. While organizations differ, the following
groups generally need to understand what change management is, know why it is important,
and be able to develop their own competencies to effectively engage in change.
Senior leaders (Change Managers)
Project leaders and team members (Change Navigators)
HR, training, and organizational development professionals (Change Navigators)
Managers and supervisors (Change Agents)
Front-line employees
When an organization builds change capability, the individuals in that organization consider
effectively managing change to be one of their job responsibilities. They understand their
unique role and fulfill it when changes happen.
On a project-by-project basis, a change management team will need to be established. These
individuals will be responsible for conducting the change activities for the project,
communications, and support of training, managing resistance, and adoption of the change.
When is the time to Initiate a Change Management Plan?
The sooner the better. In fact, innovative organizations are looking beyond project-by-project
applications, developing enterprise-wide change management capabilities.
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What is a Change Management Plan?
It is important to understand that organizational change occurs only when individual people
adopt the change. Each person responds differently to change. There are many change
management theories and methodologies. By following a structured process, such as the
Prosci methodology, individual change management and organizational change management
are uniquely integrated to ensure that business results are achieved. This methodology follows
a three-phase process:
Phase 1 – Preparing for change
Phase 2 – Managing change
Phase 3 – Reinforcing change
Phase 1 – Preparing for Change
The first phase provides the situational
awareness that is critical for creating an
effective Change Management Plan. By
using proven tools and techniques, this phase
will help provide insight into the scope, size,
and impact of the change at hand. The key
activities in this phase include in-depth
assessments of staffing requirements,
assessing the level of impact on the
organization by functional areas as well as on
individuals, and identifying potential
challenges to mitigate resistance.
Phase 2 – Managing Change
The second phase of creating a Change Management Plan is to develop the strategy and action
plan based upon the assessment findings in Phase 1. This plan will integrate and work hand in
hand with the Master Project Plan. The components of this plan will articulate the steps that will
be taken to support the individuals impacted by the project. There are five suggested
components to this plan which include:
Communications Plan
Sponsor Roadmap
Training Plan
Coaching Plan
Resistance Management Plan
Implementation of these plans will be successful if the organization can achieve the following:
Articulate and communicate a clear vision for the change as often as necessary
Include and engage legacy system experts early in the process
Communicate the risks of not changing
Eliminate uncertainty through transparency
Involve team members in the decision-making
Provide a sounding board for employee’s concerns
Create learning opportunities for the team/employees
Celebrate small wins along the way
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Business
Need
The People Side of Change
Successful Change
Concept&
Design Implementation Post
Implementation
Phases of a Change Project
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Phase 3 – Reinforcing Change
It is not enough to implement the plans without really understanding if they are having a positive
effect. Constant feedback and communication are needed to reinforce the change process and
assess how individuals are progressing through the stages of adoption.
The three critical activities during this phase include:
Collecting and analyzing feedback
Diagnosing gaps and managing resistance
Implementing corrective actions and celebrating successes
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..... RESOLUTION NO. 2023-262
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF CARLSBAD,
CALIFORNIA, AUTHORIZING THE CITY MANAGER TO EXECUTE A
PROFESSIONAL SERVICES MASTER AGREEMENT FOR INFORMATION
TECHNOLOGY PROJECT MANAGEMENT AND CHANGE MANAGEMENT
SERVICES WITH PUBLIC CONSULTING GROUP, LLC FOR AN AMOUNT NOT TO
EXCEED $1,500,000 FOR A FIVE-YEAR PERIOD
WHEREAS, the City Council of the City of Carlsbad, California has determined that having
available project management and change management consultants for professional services that
facilitate the timely completion of information technology projects is needed; and
WHEREAS, the Information Technology Department solicited, received, and reviewed
Statements of Qualifications (SOQs) for professional services consistent with the Carlsbad Municipal
Code Section 3.28.060; and
WHEREAS, following a review and ranking of the SOQs based on a weighted scoring system staff
recommends that Public Consulting Group, LLC is qualified and provides the best value to the City of
Carlsbad in the discipline of project management and change management; and
WHEREAS, expenditures for the professional services are subject to availability of budget
appropriations associated with information technology projects.
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 City Council hereby authorizes the City Manager to execute the Professional
Service Master Agreement with Public Consulting Group, LLC in an amount not to exceed
$1,500,000 over a five-year period (Attachment A).
Exhibit 3
Oct. 17, 2023 Item #2 Page 46 of 79
PASSED, APPROVED AND ADOPTED at a Regular Meeting of the City Council of the City of
Carlsbad on the 17th day of October, 2023, by the following vote, to wit:
AYES:
NAYS:
ABSTAIN:
ABSENT:
Blackburn, Bhat-Patel, Acosta, Burkholder, Luna.
None.
None.
None.
KEITH BLACKBURN, Mayor
SHERRY FREISINGER, City Clerk
(SEAL)
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MASTERAGREEMENTFORPROJECTMANAGEMENTAND
CHANGE MANAGEMENT SERVICES
PUBLIC CONSUL TING GROUP, LLC
Attachment A
,., ? vJ...
THIS AGREEMENT is made and entered into as of the __ v_"---day of
0 l,'1'U bw I 2023, by and between the CITY OF CARLSBAD, a municipal
corporation, hereinafter referred to as "City", and Public Consulting Group, LLC a limited liability
company, hereinafter referred to as "Contractor."
RECITALS
A. City requires the professional services of an information technology consulting firm
that is experienced in information technology project management and change management.
B. The professional services are required on a non-exclusive, project-by-project
basis.
C. Contractor has the necessary experience in providing professional services and
advice related to information technology project management and change management.
D. Contractor has submitted a proposal to City and has affirmed its willingness and
ability to perform such work.
NOW, THEREFORE, in consideration of these recitals and the mutual covenants
contained herein, City and Contractor agree as follows:
1. SCOPE OF WORK
City retains Contractor to perform, and Contractor agrees to render, those services (the
"Services") that are defined in attached Exhibit "A", which is incorporated by this reference in
accordance with this Agreement's terms and conditions. To the extent any of the terms in any
exhibit to this Agreement conflict, in whole or part, with the terms of this Agreement, the terms of
this Agreement shall prevai l.
Contractor's obligations with respect to any project granted to Contractor under this Agreement
will be as specified in the Task Description for the project (see paragraph 5 below).
2. STANDARD OF PERFORMANCE
While performing the Services, Contractor will exercise the reasonable professional care and skill
customarily exercised by reputable members of Contractor's profession practicing in the
Metropolitan Southern California Area, and will use reasonable diligence and best judgment while
exercising its professional skill and expertise.
3. TERM
The term of this Agreement will be effective for a period of five (5) years from the date first above
written.
4. PROGRESS AND COMPLETION
The work for any project granted to Contractor pursuant to this Agreement will begin within ten
(10) days after receipt of notification to proceed by City and be completed within the time specified
in the Task Description for the project (see paragraph 5 below). Extensions of time for a specific
Task Description may be granted if requested by Contractor and agreed to in writing by the City
Manager or the Division Director as authorized by the City Manager ("Director''). The City
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Manager or Director will give allowance for documented and substantiated unforeseeable and
unavoidable delays not caused by a lack of foresight on the part of Contractor, or delays caused
by City inaction or other agencies' lack of timely action. In no event shall a specific Task
Description exceed the term of this Agreement.
5. COMPENSATION
The cumulative total for all projects allowed pursuant to this Agreement will not exceed three
hundred thousand dollars ($300,000) per Agreement year. If the City elects to extend the
Agreement, the amount shall not exceed three hundred thousand dollars ($300,000) per
Agreement year. The total amount of the Agreement shall not exceed one million five hundred
thousand dollars ($1,500,000) for the initial five year term. Fees will be paid on a project-by-
project basis and will be based on Contractor’s Schedule of Rates specified in Exhibit “A”. Prior
to initiation of any project work by Contractor, City shall prepare a Project Task Description and
Fee Allotment (the "Task Description") which, upon signature by Contractor and for City, the City
Manager or Director, will be considered a part of this Agreement. The Task Description will include
a detailed scope of services for the particular project being considered and a statement of
Contractor's fee to complete the project in accordance with the specified scope of services. The
Task Description will also include a description of the method of payment and will be based upon
an hourly rate, percentage of project complete, completion of specific project tasks or a
combination thereof.
6. STATUS OF CONTRACTOR
Contractor will perform the Services in Contractor's own way as an independent contractor and
in pursuit of Contractor's independent calling, and not as an employee of City. Contractor will be
under control of City only as to the result to be accomplished, but will consult with City as
necessary. The persons used by Contractor to provide services under this Agreement will not be
considered employees of City for any purposes.
The payment made to Contractor pursuant to the Agreement will be the full and complete
compensation to which Contractor is entitled. City will not make any federal or state tax
withholdings on behalf of Contractor or its agents, employees or subcontractors. City will not be
required to pay any workers' compensation insurance or unemployment contributions on behalf
of Contractor or its employees or subcontractors. Contractor agrees to indemnify City within thirty
(30) days for any tax, retirement contribution, social security, overtime payment, unemployment
payment or workers' compensation payment which City may be required to make on behalf of
Contractor or any agent, employee, or subcontractor of Contractor for work done under this
Agreement. At the City’s election, City may deduct the indemnification amount from any balance
owing to Contractor.
7. SUBCONTRACTING
Contractor will not subcontract any portion of the Services without prior written approval of City.
If Contractor subcontracts any of the Services, Contractor will be fully responsible to City for the
acts and omissions of Contractor's subcontractor and of the persons either directly or indirectly
employed by the subcontractor, as Contractor is for the acts and omissions of persons directly
employed by Contractor. Nothing contained in this Agreement will create any contractual
relationship between any subcontractor of Contractor and City. Contractor will be responsible for
payment of subcontractors. Contractor will bind every subcontractor and every subcontractor of
a subcontractor by the terms of this Agreement applicable to Contractor's work unless specifically
noted to the contrary in the subcontract and approved in writing by City.
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8. OTHER CONTRACTORS
The City reserves the right to employ other Contractors in connection with the Services.
9. INDEMNIFICATION
Contractor agrees to indemnify and hold harmless the City and its officers, officials, employees
and volunteers from and against all claims, damages, losses and expenses including attorneys
fees arising out of the performance of the work described herein caused by any 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.
The parties expressly agree that any payment, attorney’s fee, costs or expense City incurs or
makes to or on behalf of an injured employee under the City’s self-administered workers’
compensation is included as a loss, expense or cost for the purposes of this section, and that this
section will survive the expiration or early termination of this Agreement.
10. INSURANCE
Contractor will obtain and maintain for the duration of the Agreement and any and all
amendments, insurance against claims for injuries to persons or damage to property which may
arise out of or in connection with performance of the services by Contractor or Contractor’s
agents, representatives, employees or subcontractors. The insurance will be obtained from an
insurance carrier admitted and authorized to do business in the State of California. The insurance
carrier is required to have a current Best's Key Rating of not less than "A-:VII"; OR with a surplus
line insurer on the State of California’s List of Approved Surplus Line Insurers (LASLI) with a rating
in the latest Best’s Key Rating Guide of at least “A:X”; OR an alien non-admitted insurer listed by
the National Association of Insurance Commissioners (NAIC) latest quarterly listings report.
10.1 Coverages and Limits. Contractor will maintain the types of coverages and minimum limits
indicated below, unless Risk Manager or City Manager approves a lower amount. These minimum
amounts of coverage will not constitute any limitations or cap on Contractor's indemnification
obligations under this Agreement. City, its officers, agents and employees make no representation
that the limits of the insurance specified to be carried by Contractor pursuant to this Agreement
are adequate to protect Contractor. If Contractor believes that any required insurance coverage
is inadequate, Contractor will obtain such additional insurance coverage, as Contractor deems
adequate, at Contractor's sole expense. The full limits available to the named insured shall also
be available and applicable to the City as an additional insured.
10.1.1 Commercial General Liability (CGL) Insurance. Insurance written on an
“occurrence” basis, including personal & advertising injury, with limits no less than $2,000,000 per
occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply
separately to this project/location or the general aggregate limit shall be twice the required
occurrence limit.
10.1.2 Automobile Liability. (if the use of an automobile is involved for Contractor's
work for City). $2,000,000 combined single-limit per accident for bodily injury and property
damage.
10.1.3 Workers' Compensation and Employer's Liability. Workers' Compensation
limits as required by the California Labor Code. Workers' Compensation will not be required if
Contractor has no employees and provides, to City's satisfaction, a declaration stating this.
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10.1.4 Professional Liability. Errors and omissions liability appropriate to
Contractor’s profession with limits of not less than $1,000,000 per claim. Coverage must be
maintained for a period of five years following the date of completion of the work.
10.2. Additional Provisions. Contractor will ensure that the policies of insurance required under
this Agreement contain, or are endorsed to contain, the following provisions:
10.2.1 The City will be named as an additional insured on Commercial General
Liability which shall provide primary coverage to the City.
10.2.2 Contractor will obtain occurrence coverage, excluding Professional
Liability, which will be written as claims-made coverage.
10.2.3 This insurance will be in force during the life of the Agreement and any
extensions of it and will not be canceled without thirty (30) days prior written notice to City sent
by certified mail pursuant to the Notice provisions of this Agreement.
10.3 Providing Certificates of Insurance and Endorsements. Prior to City's execution of this
Agreement, Contractor will furnish certificates of insurance and endorsements to City.
10.4 Failure to Maintain Coverage. If Contractor fails to maintain any of these insurance
coverages, then City will have the option to declare Contractor in breach, or may purchase
replacement insurance or pay the premiums that are due on existing policies in order to maintain
the required coverages. Contractor is responsible for any payments made by City to obtain or
maintain insurance and City may collect these payments from Contractor or deduct the amount
paid from any sums due Contractor under this Agreement.
10.5 Submission of Insurance Policies. City reserves the right to require, at anytime, complete
and certified copies of any or all required insurance policies and endorsements.
11. BUSINESS LICENSE
Contractor will obtain and maintain a City of Carlsbad Business License for the term of the
Agreement, as may be amended from time-to-time.
12. ACCOUNTING RECORDS
Contractor will maintain complete and accurate records with respect to costs incurred under this
Agreement. All records will be clearly identifiable. Contractor will allow a representative of City
during normal business hours to examine, audit, and make transcripts or copies of records and
any other documents created pursuant to this Agreement. Contractor will allow inspection of all
work, data, documents, proceedings, and activities related to the Agreement for a period of three
(3) years from the date of final payment under this Agreement.
13. OWNERSHIP OF DOCUMENTS
All work product produced by Contractor or its agents, employees, and subcontractors pursuant
to this Agreement is the property of City. In the event this Agreement is terminated, all work
product produced by Contractor or its agents, employees and subcontractors pursuant to this
Agreement will be delivered at once to City. Contractor will have the right to make one (1) copy
of the work product for Contractor’s records.
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14. COPYRIGHTS
Contractor agrees that all copyrights that arise from the services will be vested in City and
Contractor relinquishes all claims to the copyrights in favor of City.
15. NOTICES
The name of the persons who are authorized to give written notice or to receive written notice on
behalf of City and on behalf of Contractor under this Agreement are:
For City: For Contractor:
Name Maria Callander Name Yvonne De la Rosa
Title IT Director Title Engagement Manager
Dept Information Technology Address 6261 Hazel Avenue, #1330
Orangevale, CA 95662
Address 1635 Faraday Ave Phone 916.565.8090
Carlsbad, CA 92008 Email services@pcg.com
Phone 760.602.2454
Each party will notify the other immediately of any changes of address that would require any
notice or delivery to be directed to another address.
16. CONFLICT OF INTEREST
Contractor shall file a Conflict of Interest Statement with the City Clerk in accordance with the
requirements of the City of Carlsbad Conflict of Interest Code. The Contractor shall report
investments or interests as required in the City of Carlsbad Conflict of Interest Code.
Yes No
If yes, list the contact information below for all individuals required to file:
Name Email Phone Number
17. GENERAL COMPLIANCE WITH LAWS
Contractor will keep fully informed of federal, state and local laws and ordinances and regulations which in any manner affect those employed by Contractor, or in any way affect the performance of the Services by Contractor. Contractor will at all times observe and comply with these laws,
ordinances, and regulations and will be responsible for the compliance of Contractor's services with all applicable laws, ordinances and regulations.
Contractor will be aware of the requirements of the Immigration Reform and Control Act of 1986 and will comply with those requirements, including, but not limited to, verifying the eligibility for
employment of all agents, employees, subcontractors and consultants whose services are required by this Agreement.
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18. DISCRIMINATION AND HARASSMENT PROHIBITED Contractor will comply with all applicable local, state and federal laws and regulations prohibiting
discrimination and harassment.
19. DISPUTE RESOLUTION
If a dispute should arise regarding the performance of the Services the following procedure will
be used to resolve any questions of fact or interpretation not otherwise settled by agreement between the parties. Representatives of Contractor or City will reduce such questions, and their respective views, to writing. A copy of such documented dispute will be forwarded to both parties
involved along with recommended methods of resolution, which would be of benefit to both parties. The representative receiving the letter will reply to the letter along with a recommended method of resolution within ten (10) business days. If the resolution thus obtained is unsatisfactory
to the aggrieved party, a letter outlining the disputes will be forwarded to the City Manager. The City Manager will consider the facts and solutions recommended by each party and may then opt
to direct a solution to the problem. In such cases, the action of the City Manager will be binding upon the parties involved, although nothing in this procedure will prohibit the parties from seeking remedies available to them at law.
20. TERMINATION
In the event of the Contractor's failure to prosecute, deliver, or perform the Services, City may terminate this Agreement for nonperformance by notifying Contractor by certified mail of the
termination. If City decides to abandon or indefinitely postpone the work or services contemplated by this Agreement, City may terminate this Agreement upon written notice to Contractor. Upon notification of termination, Contractor has five (5) business days to deliver any documents owned
by City and all work in progress to City at the address contained in this Agreement. City will make a determination of fact based upon the work product delivered to City and of the percentage of
work that Contractor has performed which is usable and of worth to City in having the Agreement completed. Based upon that finding City will determine the final payment of the Agreement.
Either party upon tendering thirty (30) days written notice to the other party may terminate this
Agreement. In this event and upon request of City, Contractor will assemble the work product and
put it in order for proper filing and closing and deliver it to City. Contractor will be paid for work
performed to the termination date; however, the total will not exceed the lump sum fee payable under this Agreement. City will make the final determination as to the portions of tasks completed
and the compensation to be made.
21. COVENANTS AGAINST CONTINGENT FEES
Contractor warrants that Contractor has not employed or retained any company or person, other
than a bona fide employee working for Contractor, to solicit or secure this Agreement, and that
Contractor has not paid or agreed to pay any company or person, other than a bona fide
employee, any fee, commission, percentage, brokerage fee, gift, or any other consideration contingent upon, or resulting from, the award or making of this Agreement. For breach or violation
of this warranty, City will have the right to annul this Agreement without liability, or, in its discretion,
to deduct from the Agreement price or consideration, or otherwise recover, the full amount of the
fee, commission, percentage, brokerage fees, gift, or contingent fee.
22. CLAIMS AND LAWSUITS
By signing this Agreement, Contractor agrees that any Agreement claim submitted to City must
be asserted as part of the Agreement process as set forth in this Agreement and not in anticipation of litigation or in conjunction with litigation. Contractor acknowledges that if a false claim is
submitted to City, it may be considered fraud and Contractor may be subject to criminal
prosecution. Contractor acknowledges that California Government Code sections 12650 et seq., the False Claims Act applies to this Agreement and, provides for civil penalties where a person
knowingly submits a false claim to a public entity. These provisions include false claims made
with deliberate ignorance of the false information or in reckless disregard of the truth or falsity of
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information. If City seeks to recover penalties pursuant to the False Claims Act, it is entitled to
recover its litigation costs, including attorney's fees. Contractor acknowledges that the filing of a
false claim may subject Contractor to an administrative debarment proceeding as the result of which Contractor may be prevented to act as a Contractor on any public work or improvement for
a period of up to five (5) years. Contractor acknowledges debarment by another jurisdiction is
grounds for City to terminate this Agreement.
23. JURISDICTIONS AND VENUE
Any action at law or in equity brought by either of the parties for the purpose of enforcing a right
or rights provided for by this Agreement will be tried in a court of competent jurisdiction in the
County of San Diego, State of California, and the parties waive all provisions of law providing for
a change of venue in these proceedings to any other county.
24. SUCCESSORS AND ASSIGNS
It is mutually understood and agreed that this Agreement will be binding upon City and Contractor
and their respective successors. Neither this Agreement nor any part of it nor any monies due or
to become due under it may be assigned by Contractor without the prior consent of City, which
shall not be unreasonably withheld.
25. ENTIRE AGREEMENT
This Agreement, together with any other written document referred to or contemplated by it, along
with the purchase order for this Agreement and its provisions, embody the entire Agreement and
understanding between the parties relating to the subject matter of it. In case of conflict, the terms
of the Agreement supersede the purchase order. Neither this Agreement nor any of its provisions
may be amended, modified, waived or discharged except in a writing signed by both parties.
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26. AUTHORITY
The individuals executing this Agreement and the instruments referenced in it on behalf of
Contractor each represent and warrant that they have the legal power, right and actual authority
to bind Contractor to the terms and conditions of this Agr nt.
CONTRACTOR
(sign here)
Gary Garofalo chief operating officer
(print name/title) ATTEST:
By: fd{Vl
(sign here) SHERRY FREISINGER
City Clerk
(print name/title)
Proper notarial acknowledgment of execution by Contractor must be attached. If a corporation,
Agreement must be signed by one corporate officer from each of the following two groups:
Group A Group B
Chairman, Secretary,
President, or Assistant Secretary,
Vice-President CFO or Assistant Treasurer
Otherwise, the corporation must attach a resolution certified by the secretary or assistant
secretary under corporate seal empowering the officer(s) signing to bind the corporation.
CITY OF CARLSBAD, a municipal corporation of the State of California
APPROVED AS TO FORM:
CINDIE MCMAHON, City Attorney
BY: ~lAlAifir t :txw crDeputy City Attorney
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EXHIBIT “A”
SCOPE OF SERVICES
Contractor agrees to provide the following services, as needed by the City and as
defined and agreed to on individual task orders:
1) Project management: Within the city’s existing project management framework,
assist the city with future projects and initiatives with project management related tasks
such as:
Assessments to identify business, functional and technical requirements
Assisting in developing, issuing, and evaluating request for proposals
Business process mapping and improvement
Providing additional project management staff to augment the city’s existing IT
project management team
2) Change Management: Assist the city on large projects to ensure that the city is
intentional in its efforts to prepare the organization for a change, the transition through
the change is as smooth as possible and staff have the training and tools necessary to
leverage the benefits of the project including:
Providing change management tools and processes that facilitate citywide
communication, knowledge, and the ability for stakeholders to successfully adopt
and maintain change related to city projects and initiatives
Providing customized on-demand training materials for business processes and
information systems that can be loaded on the city’s training platform (Carlsbad
Learn) to support the ongoing training needs for existing and future staff
Contractor will only be compensated for services once a task order is agreed upon by
both Contractor and the City. There will be no compensation for Contractor in advance
of a task order, including any time needed to draft a proposed scope of work for the
specific task order.
City Standards:
The city’s standard tool for project management is SmartSheet.
The city’s standard tool for project collaboration (file sharing, virtual project meetings,
etc.) is Microsoft Teams.
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Statement of Cost Services
The table below provides our hourly professional fees at different staff levels, based on project
assignments and nature of the work.
MAXIMUM
TITLE ROLE DESCRIPTION HOURLY
RATE
Engagement Provides services for initial project identification, Manager/Program setup, goals, and assists with contract procurement. $225
Manager
Provides senior level Project Management support,
Senior Project Manager from project initiation/setup phases through to $205 implementation. May also include program and
portfolio management direction as needed.
Provides project coordination support for specific
project efforts, tasks and needs. Project coordinators
Project Coordinator can be especially helpful when additional project $185
oversight and support is needed after initial project
setup, to drive outcomes and delivery.
Provides senior level Change Management strategy
and support, from initial project phases, through all
stages of Change Management work. Senior
Senior Change Change Management consultants are especially $205 Management Consultant helpful in the beginning of projects to determine
strategy and approach, as well as consulting along
the way -or to assist in the navigation of project or
organizational challenges.
Change Management Provides direct Change Management support for
Consultant change activities and assists in driving specific $185
(identified) strategies forward to completion .
Contractor Methodology/Project Approach
PCG is a recognized national leader in the delivery of Project Management services. We are
proud of our Business Solutions Center of Excellence (CoE) and Project Management
Methodology (PMM) which bolster the knowledge and support of our consultants in the delivery
of successful, time-tested Project Management services.
Our consultants are formally trained to support their Project Management certification efforts. Our
experienced staff mentor more junior staff on Project Management Institute (PMI) Project
Management Body of Knowledge (PMBOK®) and other industry standards and best practices.
We have more than 40 PM l-certified Project Management Practitioners within our Technology
Consulting practice alone.
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PCG’s PMM has four (4) basic objectives that we believe are the foundation of any sound project
methodology which we will use to support development of our deliverables to the City of Carlsbad.
Without these in place, control methods, procedures, and other Project Management best
practices will not be effective. Our specific objectives include:in place, control methods,
procedures, and other project management best practices will not be effective. Our specific
objectives include:
High-Quality Work – Deliver high quality services and work products that address the
business objectives and meet the requirements of the City of Carlsbad.
On-Time Delivery – Complete deliverables on schedule and within budget.
Effective Communication – Timely and accurate communication to the City of Carlsbad
project participants and stakeholders throughout the entire project.
Proactive Management – Identify potential problems before they develop and initiate
appropriate corrective action.
The PCG PMM ensures that various review activities are conducted, work teams and deliverables
are coordinated, and high-quality work products are delivered to the City of Carlsbad. This
includes meeting the agreed-to timeline for each deliverable.
All the consultants that will be used under this agreement are seasoned project management
professionals with many years of experience. Working on many projects and juggling different
timelines means knowing how to prioritize. Projects will have different priorities, and tasks within
those projects will also have different priorities. PCG staff know how to prioritize and understand
what is really important and what may be just a nice to have. As evidenced by staff resumes, our
project managers have worked in program management offices (California Employment
Development Department, for example) and have served on multiple projects at the same time.
Our approach is built on three principles that serve as its cornerstone and reinforce the notion
that projects require a commitment that starts from the very beginning:
Understand the Goal – Success will begin with an understanding of the City’s projects.
PCG Project Managers are active listeners, avid consumers of information, and facilitators
of structured discussion that results in a common understanding of the project goals by
both PCG and city staff.
Be Proactive and Stay on Task – PCG maintains progress by planning ahead,
communicating actively, being collaborative, and leading decisively as well as accepting
responsibility for outcomes.
Deliver Results – PCG will work collaboratively with the City of Carlsbad to successfully
deliver on time, within scope, and on budget while exceeding expectations.
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Figure 1. PCG’s PMM Knowledge Areas
PROJECT MANAGEMENT PRODUCTS AND SERVICES
In providing project management support to the city, PCG will employ a wide range of products
and services to help project teams effectively plan for and manage the implementation of selected
products. Our PM practitioners are trained to select the appropriate tools and services as the
project progresses throughout the project life cycle. PCG practitioners are trained on a wide range
of specialized templates and tools to help support effective Project Management on all types of
projects. The ability to identify PM needs and customize the right product, service, and template
is an important component of our approach.
Some of the specialized products, services, tools are listed below:
Deliverables (with associated templates)
o Project Charter
o Project Management Plan
o Communications Plan
o Stakeholder Management Plan
o Kickoff Meeting presentation
o Requirements Management Plan
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o Procurement Management Plan
o Testing Plan
o Training Plan
o Cutover Plan
Services
o Includes services across all of the PMBOK areas: integration, scope, schedule,
cost, quality, human resources (HR), communications, risk, procurement, and
stakeholder management.
Goals of Project Management Services
Working closely with the city, PCG’s goal is to be focused on the success of the city’s goals and
objectives. We have always worked hard to help ensure a mutual beneficial relationship is
established and maintained throughout our engagement and beyond in order to achieve the
desired outcomes despite changes in funding, setbacks, and delays which one or the other is
usually challenged.
Additionally, defining and regularly measuring our progress against a set of critical success factors
will guide us to successfully build a partnership, a highly functioning team that will complete what
is needed to deliver a successful project for the City of Carlsbad. PCG will not only provide staff
who are qualified and experienced resources, we will:
Foster a functional relationship approach – PCG treats our clients as partners. We
view our partnership with the City of Carlsbad as truly collaborative, where we are both
mutually invested in not only the successful completion of a competitive procurement but
also in the successful implementation of a procured solution that will support the City of
Carlsbad for years to come.
Develop and maintain trust – Trust is key to any relationship, and PCG will work with
the City of Carlsbad to build and maintain trust. PCG will demonstrate confidence in our
team members by continuously following through with the services we provide the City. It
is important to PCG that we not only build trust with the City of Carlsbad’s team but also
become a trusted advisor to the City. PCG has selected staff who are not only experts in
their industry but also trusted advisors to their clients.
Demonstrate follow through – PCG believes that follow through is a critical success
factor to fostering a functional relationship. PCG encourages its staff to be in close contact
with clients and to demonstrate their ability to deliver on our commitments.
Provide continuity of staff – PCG strives to maintain staff continuity. Consistent, long-
term staffing of PCG resources will help to ensure the success of relationship
management.
With a customer-centric approach and our dedication and continued commitment to your
program’s success, our team can provide the City of Carlsbad with the required programmatic
planning, comprehensive project services and experienced resources, to help the department’s
ability to plan and deliver projects that add true value to an organization.
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Scope of Project Management Services
The scope of PCG’s Project Management services is to focus on the ten PMBOK Guide
knowledge areas – integration, scope, schedule, cost, quality, human resources (HR),
communications, risk, procurement, and stakeholder. Our PMM includes plans and templates for
each of the knowledge areas based on industry standards and best practices and can be
customized to best fit the needs of a project based on the project size, scope, and other factors.
These knowledge area plans and templates are designed to integrate with existing client
processes or function as standalone processes if required.
Approach to Project Management Services
We believe effective Project Management and the ability to expertly manage multiple current
projects (or program management) begin with a structured, disciplined, and repeatable approach
utilizing industry standards and best practices.
These components provide the foundation for project success; however, Project Management is
more than building a schedule, assigning tasks, and monitoring progress. Project management
requires looking at a challenge, understanding the goal, assessing the resources available,
plotting a course, and keeping things on track until completion. Project management is about
finding solutions within given constraints and focusing on adding value to the organization by
maximizing return on investment. To this end, we have developed PCG’s proven Project
Management Methodology (PMM), which:
Draws upon formal processes and standards established by industry leaders such as the
Project Management Institute (PMI®) and the Institute of Electrical and Electronics
Engineers (IEEE)
Supports the life cycle definition and processes and tools for all ten PMI knowledge areas
that support comprehensive Project Management
Adheres to the Project Management Body of Knowledge (PMBOK Guide) for Project
Management practices
Incorporates industry standards such as the Capability Maturity Model Integration (CMMI)
and Information Technology Infrastructure Library (ITIL)
Is customizable based on our hands-on project delivery experience and expertise
Acknowledges that each project is unique
Assures the flexibility to respond to specific needs and challenges
Our PMM Foundational Values and Principles
Our PMM is built on the foundational values of guiding principles, clear objectives, and being
standards-based. We have carefully identified and developed these values by drawing on project
retrospectives and work completed in numerous engagements to help ensure that high-quality
Project Management services are delivered.
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We will closely with the city to develop a collaborative relationship emphasizing objectivity,
balance, and support. We will provide direction, daily management, and pro-active communication
to help ensure the project's success and develop high-quality deliverables in a timely and efficient
manner.
At the beginning of the project, we will work with the City, any additional vendors, and project
stakeholders to establish a set of critical success factors the project must address. The business
objectives of the project will be identified and highlighted. We will also keep a close watch on
technical and process activities and challenges to provide a clear and accurate status of the
project’s progress.
The Project Management delivery life cycle describes the high-level process of delivering a project
and the clear, repeatable steps taken to make a project happen. The life cycle of a project starts
by defining the problem and understanding what needs to be delivered. In PMBOK, this effort is
focused on the Initiating phase of a project, where a solution to fixing that problem or defining
what needs to be delivered is defined, and an approach to executing it is created (Planning). That
plan must then be put into action (Executing) while being tracked to ensure objectives are being
achieved (Monitoring & Controlling). The project is then deployed, performance is evaluated, and
the project is then complete (Closing).
Our Framework for Full Delivery Life Cycle Management
There are several approaches for managing project activities, including Phased, Lean, Agile, and
Iterative. Regardless of the methodology employed, careful consideration must be given to all
phases through the full delivery life cycle. PCG’s unique approach to Project Management
includes three tenets, which distinguish five key Project Management processes, all of which is
informed by three best-practice resources. It is PCG’s “3-5-3” PMM Approach, as shown in Figure
2.
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PCG'S 3-5-3 PMM Approach
Understand the Goal Be Proactive Deliver Results
-----PMBOK
IEEE
SEICMMI
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Figure 2: PCG's 3-5-3 PMM Approach
The PCG “3-5-3” PMO approach starts with industry best practices, derived from three primary
sources: The Project Management Institute’s (PMI®) Project Management Body of Knowledge
(PMBOK), The Institute of Electrical and Electronics Engineers, Inc. (IEEE) Standards, and The
Software Engineering Institute (SEI): The Capability Maturity Model Integration (CMMI).
With those three sources as a foundation, PCG solidifies its approach around five key project
management processes which are as recognizable as they are fundamentally sound. We rely on
these five key project management processes time and again to bring order and maintain
discipline on every engagement. They are:
Initiating: Begins at project conceptualization and focuses on building the foundation of the
project
Planning: Centers on formalizing the project plan, budget and schedule, including employment
of project management tools
Execution: Occurs throughout the life of the project. Execution is an iterative process that often
requires re-planning to accommodate unforeseen changes in priority or scope.
Controls: Also occurs throughout the life of the project. The focus here is on tracking process
against the plan, while controlling for scope, schedule, budget and human resource needs.
Closeout: Formalizes acceptance of the project. Lessons learned are documented, transition
activities are completed, and all documentation is formally accepted and transitioned to operations
support.
Initially, PCG’s “3-5-3” PMO approach carries many industry similarities. However, the PCG
differentiator is the last component of our approach, the three “tenets.” These tenets describe not
just an approach but an attitude, the attitude we bring to technology project management
engagements. It is how we view our responsibilities; it is how we conduct ourselves; it is how we
interact with our client and project stakeholders, the solution providers, and others; and it is how
we hold ourselves accountable, working as your project management agent. These tenets are:
Understand the Goal: Success begins with an understanding of the project. Project management
staff must be active listeners, avid consumers of information, and effective facilitators of
discussions that result in a common understanding of the project goals by all parties. We work
with our clients to understand their goals and objectives, both initially and over the course of the
engagement, and manage their projects towards a successful implementation.
Be Proactive: Progress is maintained by thinking ahead, communicating actively, being
collaborative, leading decisively, and accepting responsibility for outcomes. PCG will be working
closely with project leadership and key stakeholders, anticipating pain points, managing project
risk, and ensuring that they remain informed every step of the way.
Deliver Results: For PCG, success is realized when a project is delivered on time, in scope, on
budget and PCG has exceeded our clients’ expectations. We believe that our Project
Management Framework and approach ensures that we can achieve these objectives.
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To help ensure the utmost adherence to the project scope, our PMM focuses on the ten PMBOK
Guide knowledge areas – integration, scope, schedule, cost, quality, human resources (HR),
communications, risk, procurement, and stakeholder. Our PMM includes plans and templates for
each of the knowledge areas based on industry standards and best practices and can be
customized to best fit the needs of a project based on the project size, scope, and other factors.
These knowledge area plans and templates are designed to integrate with existing client
processes or function as standalone processes if required.
The plans from each of the ten knowledge areas are compiled together to form the Project
Management Plan – this plan dictates all Project Management protocol for the project. The project
management plan is made available to all stakeholders to help ensure there is a common Project
Management methodology across the complete project life cycle.
Additional Processes and Documentation
Our PMM is a well-tested methodology that provides a project with all the necessary Project
Management plans and other documents for project success. In addition to the knowledge area
plans described in the previous section, the PMM also includes several key processes and
documents that PCG believes are critical for the project's success. These value-add processes
and tools include:
Requirements Management
Change Control Management
Deliverable Management
Release Management
As with the knowledge area plans, PCG’s PMM comes with customizable templates for each of
the value-add plans that will be tailored to meet the specific needs of the project.
PCG‘s PMM Requirements Management
Another output from the Scope Management process is a Requirements Management Plan. The
PMM recognizes this as a key plan for successful projects. Requirements help define the purpose
of a project and are the foundation of the project. The stated requirements determine what is to
be produced or achieved. They represent project capabilities to which a project outcome should
conform by defining the scope of a project and what the system must do, as well as help describe
the criteria for project success. One of the primary reasons that projects fail is because
requirements are incomplete or incorrect. If the requirements are inaccurate or incomplete, the
project is likely to fail no matter what is done in subsequent phases. Requirements Management
details the processes and procedures to ensure proper Requirements Management, including
how requirements are gathered, analyzed, organized, approved, and managed.
The PMM process leverages best practices and industry standards with tools for gathering,
analyzing, organizing, approving, and managing requirements and includes:
Requirements Management Development Process
Requirements Management Traceability Process
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Requirements Management Change Management Process
Requirements Management Best Practices
Requirements Management Tools
PCG has worked with many requirements management tools, such as Jira, TFS, GitHub, and
Azure DevOps.
PCG’s PMM Change Control Management
The PMBOK Guide discusses Integrated Change Control in the Project Integration Management
section. PCG’s PMM methodology recognizes product and system change control as an important
project activity and therefore includes processes that involve systematic management of all
changes. Change Control Management is the process of defining how changes to the project
(scope, deliverables, timeline, etc.) will be managed. The Change Management process is the
mechanism used to initiate, record, assess, approve, and resolve proposed project changes. If
any unexpected circumstances or variances arise on the project, the Change Control Plan assists
the project manager and stakeholders in assessing what corrective action to take. All project
changes should be managed through a formal change control process that includes change
control procedures for all items that can affect the project scope, schedule and/or cost. Typically,
a Change Control Board is formed with those who collectively possess the authority for making
decisions regarding the proposed changes.
Strategies available to a project for dealing with proposed changes include reducing scope,
adding more resources, or accepting the fact that the scope has increased by updating the project
schedule and creating a new baseline. Any change should be documented in a formal change
request and analyzed for project impact. The use of a formal change control management
procedure is necessary when any project changes are requested as it is often difficult to tell initially
whether a proposed change is limited to a change in scope or affects the schedule and or cost. A
formal change control management process should include the following steps.
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Figure 3: PCG’s PMM Change Control Process
PCG’s process leverages best practices and industry standards to ensure that all changes to the
project are reviewed and approved in advance, all changes are coordinated across the entire
project and that all stakeholders are notified of the approved changes to the project.
PCG has used several tools to manage change control, including some of the tools mentioned in
Requirements Management above, such as Jira, TFS, GitHub, and Azure DevOps.
PCG’s PMM Deliverable Management
Although the PMBOK Guide does not call out Deliverable Management as a Project Management
process, our PMM recognizes that ensuring that the project has a well-defined process for
managing the life cycle of deliverables from definition through acceptance is an important project
activity. Managing assigned project deliverables identified by the Statement of Work, will be
critical to ensuring a complete project plan, schedule, and supporting a successful delivery.
Deliverables management is the process of defining the deliverables that are a part of the project.
A deliverable is a product or service given to the client and usually has a due date and is tangible,
measurable, and specific. Examples include software products, documentation, and training.
Our PMM includes a well-defined process for managing the life cycle of deliverables to ensure
that the City of Carlsbad’s expectations are met. At a high level, the process of deliverables
management includes the steps of:
Checklist Development
Deliverable Expectations Document
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~deotlfv ood documeot the reqoi"'" <hMge J
• Verify the change is valid and requires management
• Dec_ide whether to execute the change
• Execute decision, including revision to project plans if necessary
• Verify that action is complete and close change request
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Deliverable Production
Draft Submission
Client Walkthrough
Formal Review
Defect Correction
Deliverable Acceptance
The tools that PCG normally uses for Deliverable Management include an overview and a
checklist for Deliverable Review and Acceptance.
PCG’s PMM Release Management
While the PMBOK Guide does not call out Release Management as a Project Management
process, our PMM recognizes that the packaging and controlled release of new and enhanced
functionality is an important project activity. Release Management is the process of planning and
implementing an integrated set of functional components and processes in a controlled manner.
This helps to ensure that there is a transparent and integrated view for both business and IT
plans, more stable production release and creates predictability in delivery timeframes, costs, and
support requirements, and can assist with resource utilization consistent with corporate priorities.
The PMM processes leverage ITIL best practices to provide a robust release management
approach and to help ensure that the client’s expectations are met. At a high level, this includes:
Release identification and release naming
Control and approval processes
Deployment activities and communication
Release procedures and planning
System monitoring and acceptance
An important component to Release Management is understanding the different types of releases
and how they can support the different project and client needs. Our project team is flexible
enough to support frequent releases in an agile environment and partner with clients on “big bang”
or all-at-once style releases. In projects such as the City of Carlsbad’s Portfolio Management
effort, the “big bang” style release is the most appropriate to meet stakeholder, user, and
technology needs. Our project team has extensive experience supporting complex, multi-faceted
IT projects with the need to release functionality at one time.
PCG’s project team understands and employs key strategies for big-bang releases such as
comprehensive and complete project schedules, careful risk/issue management, regular
reporting, and maintaining critical milestones to show progress. Our experience with large-scale
IT projects and one-time, big-bang implementations (as demonstrated through the provided
project examples) makes PCG the perfect partner for the Portfolio Management Project.
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PCG uses the following tools for Release Management: Comprehensive and complete project
schedules, risk/issue management, regular reporting to leadership, and maintaining critical
milestones to show progress. PCG’s experience in guiding and supporting our clients through
various type of releases can be of great value to the City of Carlsbad. Our ability to assess what
each release needs and quickly working to apply templates and strategies will be of immediate
help in developing a consistent framework for releases across multiple areas and project lines.
With a foundation rooted in IT service delivery, our team understands the importance of
maintaining a high level of quality in the projects and products we deliver. To assist the City of
Carlsbad’s IT Department, quality will be implemented at two levels - our processes and
methodologies used to execute and deliver projects, and our highly qualified and industry certified
professional consultant team. This dual approach allows IT department leadership to feel
confident in the knowledge that comes with working with a vendor with a demonstrated history of
high-quality services.
Our practices help ensure that perspectives from multiple disciplines are considered, vetted, and
built upon to deliver a superior result. Our unrivaled and proven methodologies, such as the
Project Management Methodology (PMM), pictured in Figure 4, were developed specifically to
support IT project work like those requested by City of Carlsbad’s IT Department. These
methodologies, which incorporate industry standards such as those from the PMI, industry best
practices, and the collective experience of previous PMO projects, were developed to provide a
consistent level of maturity to support project success.
CHANGE MANAGEMENT PRODUCTS AND SERVICES
In providing change management support to our clients, PCG has a wide range of products and
services to assist leadership and project teams effectively plan for, manage, and reinforce
change. Our trained practitioners work closely with clients selecting the appropriate tools and
services in each of the three change phases, as well as within organizational change
management work for departments. Often, working with state and county clients, we find that
certain tools and templates find their way into multiple phases – to build a customized strategy to
meet individual needs.
PCG’s blend of Change Management services and tools reduce risks and shapes the outcomes
of change by identifying and supporting the people, processes, and technologies that must be
involved. Our ability to deliver what is needed for success across all areas of operation ensures
that moving from the current state to the future state is smooth, successful, and achieves lasting
benefits.
It is also important to consider PCG practitioners are trained on a wide range of additional and
specialized templates and tools to help support effective Change Management in all types of One
of PCG’s most important services is our ability to work closely and collaboratively with leadership
and project teams to devise a customized solution to provide a CM approach that will projects
and organizations. The ability to identify CM needs and customize the right product, service, and
template is an important component of our approach. work best for a particular organization,
project, or scenario. Our team has the “right balance” of client experience (to make
recommendations for templates and tools), along with the ability to look at each client and situation
in a new light to devise the “best” approach, services, and tools to meet unique needs and
opportunities.
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Goals of Change Management Services
Developing strong goals early in an engagement is a critical component to Change Management
work. Our team of trained Change Management consultants work closely with leadership at the
beginning of every engagement to devise clear goals and a strategy that aligns with exactly what
our clients want to achieve.
The overall goal of our Change Management services is to help our clients understand and
embrace – employing a strong Change Management approach enables an organization to
achieve far greater results and the ability to drive adoption throughout an organization. We will
partner with the City of Carlsbad to bring Change Management services that will enable better
results and outcomes by preparing, equipping, and supporting individuals through their change
journey, and driving adoption, usage, and improving overall initiative success.
PCG has develop a wide range of tools and templates to help clients like the City of Carlsbad. An
example of one such tool, the Four P’s, allows our consultants to work with leadership to clearly
define and articulate change management goals for a project. Using our framework and
templates, change consultants can partner with clients to assist in the development of strong
goals early in the project effort.
Figure 4: Change Management "Four Ps" Method for Goal Identification
Our project team will quickly integrate with leadership and project teams on a given project, to
identify and capture specific goals for providing Change Management services. Identifying,
capturing, and analyzing goal areas will provide strong data and strategy to help the City of
Carlsbad meet organizational and project needs. We understand the City of Carlsbad needs to
quickly focus on key areas such as the following.
Provide information, analysis, and strategy recommendations for both organizational and
project change impacts people and teams
Help an organization and project teams better plan for and deliver critical change
Identify gaps between requirements and results, and provide ideas to address
Limit variability in an organization’s approach to change
Create a culture of assisting people through change
Increase the likelihood of project efficiency and success
Help to grow the City of Carlsbad project and portfolio teams to be able to embrace and
thrive in a change-driven world
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Change Management is the discipline that guides how we prepare, equip and support individuals
to successfully adopt change to drive organizational success and outcomes. Our approach to
supporting the City of Carlsbad can have numerous benefits throughout the organization – and
even impact end-users or the City of Carlsbad’s community.
Our team looks to partner with the City of Carlsbad to establish and deliver on strategies that help
support individuals (at many different levels and areas) through their individual and group change
journeys. We will work with the city to devise strategies that will achieve the following marks.
Address different impacts on people and teams - The City’s projects and initiatives have
a significant impact on the ways individual people do their work on a day-to-day basis.
Change can impact processes, systems, tools, job roles, workflows, mindsets, behaviors
and more. And each change impacts different groups within your organization differently.
To manage these impacts during times of change, our Change Management professionals
employ a structured approach that includes helpful knowledge, processes, and tools.
Deliver people-dependent return on investment or ROI - Organizations undertake
initiatives to capitalize on an opportunity, solve a problem, or improve performance. You
can achieve some of the desired outcomes simply by installing the solution. However,
much of the benefit is tied to people changing the way they do their jobs. Applying Change
Management prepares, equips, and supports people, so they can successfully change
how they do their jobs. This enables organizations like the City of Carlsbad to capture the
adoption contribution and people-dependent portion of the project's true value.
Close the gap between requirements and results - All too often, organizational changes
end up meeting requirements without delivering expected results. They deliver the
necessary outputs without delivering expected outcomes. This is what happens when the
organization focuses efforts on the solution itself, rather than its benefits. Closing the gap
between requirements and results, between outputs and outcomes, and between
solutions and benefits requires focusing on the people who must use the change every
day. How will you reap benefits from a solution if people do not adopt and use it? Applying
Change Management enables you to close the gaps by preparing, equipping, and
supporting people through the change, so they can bring it to life in their daily work.
Increase the likelihood of project success - Change management data and current
research consistently shows that initiatives with excellent Change Management are six
times more likely to meet objectives than those with poor Change Management. In fact,
by simply moving from “poor” to “fair,” Change Management increases the likelihood of
meeting objectives three-fold. The better you apply Change Management, the more likely
you are to deliver on project objectives.
Mitigate mission-critical risk - Ignoring the people side of change creates both costs and
risks. When you ignore adoption and usage of a solution, you focus exclusively on meeting
technical requirements. This leads to what Prosci identifies as costs from redesigning,
reworking, revisiting, redoing, retraining, rescoping, and in some cases, retreating. Failing
to plan for and address the people side of change leads to greater absenteeism and
attrition, reduced productivity, lower morale, and disengaged employees. And customers
feel the impacts along with the organization. Change management helps you mitigate
mission-critical risks.
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Limit variability in change - Change is difficult. To the extent possible, you want to remove
the chance or variability associated with project changes and initiatives. Project
management accomplishes this through sequencing milestones, deliverables, activities
and resources over the project or initiative's life cycle. But these actions only address the
technical side of a change as you design, develop, and deliver it. Unless you proactively
support and guide people through the impacts from project changes, you leave success
to chance. Change management mitigates or removes variability by preparing, equipping,
and supporting employees, so they can engage, adopt, and use the change successfully.
The “right way” to treat people - How many times have we heard, “Our employees are our
most important asset”? Yet, when a change gets implemented, employees typically
receive an email on Monday for training on Tuesday and go-live on Wednesday. That is
not the right way to treat people—especially your organization's most valuable asset. By
proactively engaging, equipping, and supporting people during times of change, you
demonstrate in words and deeds that you truly value them. And the entire organization
benefits as a result.
Scope of Change Management Services
PCG understands the challenges many organizations face when attempting to integrate Change
Management into project work or organizational structures. One of the first challenges is the
consideration of scope – how do we appropriately factor in the scope of Change Management for
projects, portfolios, and to our organization as a whole?
Our team brings the experience to sit with clients, listen, and truly understand what is really
needed at the organization, portfolio, and project levels. We then dive in to help each client and
project establish a strong Change Management scope and determine factors such as the
following.
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Figure 5: Change Management Scope Questions
Some of the hallmarks of our approach to scoping Change Management efforts that we feel will
be extremely beneficial in helping the City of Carlsbad include the following.
• Benefits of Establishing Scope: As with any discipline or methodology, it is important to
distinguish between the activities that fall within the scope of Change Management and the
Project Management activities that occur in parallel or in collaboration with Change Management.
• Risks of Not Establishing Change Management Scope: In addition, there is an inherent risk of
not clearly establishing scope. It becomes very easy for one group to believe that they are
responsible for work that falls under the work responsibilities of another group, resulting in
confusion and ineffective workstreams. Understanding the respective scope and boundaries
enables both disciplines to work effectively together while avoiding any overlap of activities that
may create conflicts for the project. The boundaries also enable the separation of solution design,
development and implementation from the actions required to manage the technical side and
people side of that solution's deployment.
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• Creating a Unified Value Proposition for Scope Determination: The PCG Change Management
approach and framework utilizes the Prosci Unified Value Proposition Model to identify and bring
forward the key elements of implementing a change within an organization. This model helps to
identify and communicate how the technical side of change (Project Management) and people
side of change (Change Management) must come together to deliver success for a change
initiative. Success is defined as meeting or exceeding project objectives and realizing
organizational benefits.
PCG’s Prosci-certified Change Management practitioners assist organizations in building out their
own unified value proposition models, to identify key factors the organization should consider in
bringing about change. For the City of Carlsbad, factors such as – various organizations
managing projects in different ways, the need for more data driven decisions in portfolio
management, moving towards more sustainability in project approaches, and a future state of
even greater customer service. Using this Prosci model is of great benefit to organizations when
working on questions of Change Management scope.
Figure 6: Consideration of the Technical and People Side of Change
Approach to Change Management Services
PCG recognizes the City of Carlsbad’s need to completely revolutionize their approach to
Project, Portfolio, and Change Management services; our experience, knowledge, and
innovative approaches to these types of large-scale changes make us an ideal partner for this
endeavor. As City leadership assesses various approaches to this change, one thing is clear:
Change Management support for processes, departments, and the individuals doing daily work,
will be a critical component. In addition to providing solutions, our team can help establish a
strong organizational Change Management approach to support the move of teams and
individuals to this new way of conceptualizing work. Our approach to providing support in
Change Management services can directly help the City of Carlsbad in the following ways.
Clearly identify the goals and drivers of the changes, to clearly communicate to various
audiences – as well as collect feedback to drive adjustments to strategy, creating a
feedback “loop” to better meet needs.
Help form a vision and plan that meets leadership needs and is clear to teams.
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Drive buy-in and engagement and help improve understanding at all levels and areas
Provide a comprehensive approach to communication and training, critical to transition
success.
Use readiness assessments to provide data on areas needing additional work.
Partner with leadership to identify and prioritize areas of need.
Help to drive an ongoing strategy and environment of change and development for all
departments and levels, in a connected and consistent way.
Our experience in partnering with clients for project and organizational change management
endeavors has provided us with a clear understanding of helping organizations through changes
and becoming a more agile, growth-centered entities. This experience will help us partner with
the City of Carlsbad to identify needs and develop a customized plan to quickly deliver success
through Change Management areas.
Accelerating our client’s ability to deliver on their mission through people-engagement,
enablement and empowerment strategies is what drives us, which is why our PCG OCM
Service Line maintains a training and certification program that provides our consultants with the
tools, processes, and guidance needed to ensure a consistent application and delivery of high-
quality services for driving change in state government.
Our team of highly experienced OCM consultants are certified in the Prosci Model of Change
Management and collectively has more than a century of experience delivering OCM services in
various levels and capacities on state and local government projects across the country. We
know we can partner with the City of Carlsbad for effective Change Management strategies, as
we have helped other clients with similar challenges.
At PCG, we are passionate about getting results for our clients like the City of Carlsbad and
delivering Solutions that Matter. PCG’s Organizational Change Management (OCM) Service
Line was created to help ensure every engagement is approached and delivered with the same
reliability and success our clients have come to expect from us. Within this service line, we
maintain a training and certification program for our OCM practitioners that provides our
employees with the tools needed to fully support our clients in providing quality services and
deliverables.
The Prosci methodology is a proven industry standard model that organizes change into a 3-
phase process with each phase building on the previous. The three phases are:
1. Preparing for Change
2. Managing Change
3. Reinforcing Change
This model, in concert with the PCG OCM toolset, can be tailored to design a comprehensive,
person-centric approach that inspires your stakeholders to adopt new behaviors, processes,
and technologies. An overview of PCG’s approach and deliverables typically associated with
each phase is described below.
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Figure 7: Prosci Phase Methodology
Preparing for Change
The Preparation phase includes the tasks associated with scoping and defining the change
strategy, engaging the sponsor, identifying, and assembling change champions to support the
transition and assessing stakeholders. PCG will apply a checklist of activities to understand what
efforts may have already been completed prior to starting its work.
Design the Change Management Strategy
Working with the Project Management team, PCG will design a Change Management strategy
that is appropriate and effective for the project. We begin by reviewing project source materials
to gain an understanding of the project. From there, we engage the primary sponsor to confirm
the project's vision and success measures. Next, we develop an initial list of stakeholders as well
identify key business experts to provide insights into the organization's current operations. With
this information, PCG will analyze and categorize the stakeholders and begin documenting how
the organization's stakeholders will be affected.
Building upon our extensive history in state and local government systems implementations and
conversations with your organization, PCG will produce a strategy document and roadmap that
describes the scope of the effort, stakeholder assessments, high-level organizational impacts and
recommendations that accelerate adoption.
Figure 8: Prosci Phase Methodology
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Assess Stakeholders and Engage the Sponsor
A key component to enabling able project success is managing stakeholders and their
expectations. To do this, PCG will partner with your organization to identify who the stakeholders
are and understand their roles within the organization. From there, we will determine their needs
and concerns which becomes the foundation of an engagement roadmap. The engagement
roadmap will define the activities used to enable and promote stakeholder participation.
Sponsors are the most powerful proponents of the project – they have committed the organization
and its resources toward business transformation and are critical to accelerating adoption. As we
work to understand how the sponsors view the project, PCG will conduct a structured sponsor
interview to find out what is different between today and the future state. The output of this
exercise helps us craft the messaging and prepare sponsors for managing the transition.
Deliverables and work products typically completed for the Preparing for Change phase:
Change Management Strategy Document
Status Reports as agreed
Oral Presentations as needed
Facilitating and Managing Change
The Manage phase is the execution of organizational change activities, which includes
communicating the change, engaging stakeholders, and supporting training activities. The
primary goal of this phase is targeting the right change activity to the right stakeholder at the right
time. PCG will produce the planning and execution tools and will customize them appropriately to
fit the needs of the project.
Develop and Implement Change Management Plans
The Master Change Management Plan (MCM) is composed of a collection of plans that stand
alone as discrete tools for specific activities associated with guiding stakeholders through the
transition. However, as a collection, the plans represent a comprehensive toolset for guiding
organizational change management. PCG will produce plans that will include executive
summaries, overviews, target audiences, business reasons for each segment, and objective
measures for success for each segment. The MCM will include the following discrete plans
(descriptions of each plan below):
Communications plan
Engagement roadmap
Training management plan
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Communications Plan
PCG will develop the Communications Plan by working with the project team and identified
stakeholders. In creating the Communications Plan, it will be key to consider current mechanisms
and past communications. These considerations will optimize the impact of project messaging
and drive stakeholders closer to adopting the change.
The Communications Plan will identify the audiences, key messages, and timing, and will
determine content packaging, delivery method, frequency, and sender. The messages will be
organized by their timing in the project, and each phase has specific key messages. The
messages are assigned a delivery mechanism and a sender that effectively conveys that
message. The communication activity will occur at a specific date and time to help ensure that
the right messages are received at the right time in the project.
Training Management Plan
PCG will partner with the city’s internal training team in the development of a cohesive, robust
training strategy that will include:
Training needs assessment support – providing organizational impacts to help determine
who should be trained and the information to be taught.
Training curriculum and materials review – sharing best practices and feedback on course
materials and instructional methods.
Training pilot activities – supporting pilot development and participating in pilot activities.
Training delivery and deployment schedule support – sharing insights gleaned from
engagement ctivities to ensure workforce constraints are considered.
User training feedback review – collecting and discussing training participant feedback
and determining the best approach for incorporating input into training materials.
Deliverables and work products typically completed for the Managing Change phase:
Master Change Management Plan
Schedule of the Change Management activities
Change management plan implementation checklists
Status reports
Oral presentations
Reinforcing and Sustaining Change
The final phase in managing change is evaluating engagement, monitoring performance,
addressing resistance, and celebrating success. During this phase, PCG will review the success
measures defined at the beginning of the project with the primary sponsor and establish a
cadence of collecting and evaluating data. As part of monitoring performance, PCG will audit
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compliance with new processes, systems, and roles. Compliance auditing includes focus group
feedback, observation and usage reports that will gauge user adherence. Our findings will
highlight what is working well and where there are opportunities for improvement. With this
knowledge, sponsors and leaders will be well-equipped to address stakeholders.
Deliverables and work products typically completed for the Reinforcing Change phase:
• Feedback and compliance report
• Transition plan
• Status reports
• Oral Presentations as needed
While a solid framework and methodology is important, we recognize that the City of Carlsbad
needs experienced change consultants who are able to customize this strategy for the specific
projects and challenges the City faces. Both our Project and Change Management approaches
provide a solid foundation and framework – while remaining flexible enough to be customized for
our client’s needs. Our trained consultants work daily with project and organizational teams to
take these frameworks and bring them to life – to match up with specific client needs.
With an understanding of our solid yet flexible approaches, we move forward to share our Goals
for Project Management and Change Management services.
Timeline for Change Management Services
Timing is a critical component of Change Management services. Our experienced Change
Management team understands that successful Change Management efforts and outcomes
hinge significantly on timing. The City of Carlsbad has identified the desire and need for a
structured and integrated approach to helping prepare end-users for change; the identification of
this need is one of the most crucial factors to integrating CM services and support – often and
early.
Employees need to understand the purpose of the project or business transformation as well as
the vital role they play. In other words, what will be expected of them throughout the project and
after implementation?
Our Change Management and project experience has helped us understand – in many
organizations and environments, communicating information only a few times does not make it
stick. Our approach recommends and supports providing employees plenty of time to process
organizational changes before implementation begins. This way, they feel involved and know that
their input matters.
In our experience supporting clients with Change Management has demonstrated there are many
advantages to beginning Change Management efforts early in the project cycle.
1) Provides Time to Assess Business Readiness: Before beginning any business transformation,
it’s essential to conduct a business readiness assessment. This single step can help you
determine if your organization has the expertise, resources, and culture necessary to support and
sustain a major shift.
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Initial business readiness assessments include discussions on defining portfolio and project
strategies, alignment of these strategies with enterprise-wide goals, helping to identify and
articulate the scope of change, assessing levels of buy-in and support for the change, and
resource recommendations. Through these discussions, our goal is to assist clients in determining
if the team or organization is ready to embrace the change to come.
2) Helps an Organization to Avoid Change Fatigue: One of the most common sources of change
resistance is change fatigue – this is the sense of apathy or resignation that employees feel when
an organization enacts multiple changes in a short period of time without proper planning or
communication. Feelings of fatigue are especially common when changes are sprung on
employees without warning. While implementing multiple changes at once may be unavoidable,
you can minimize change fatigue by at least giving employees time to prepare for upcoming
changes, so they do not feel rushed or overwhelmed.
3) Drives Buy-In and Engagement: Waiting until later in the project cycle to start informing end
users of change creates several issues for a project, organization, and overall end-user adoption.
When organizations wait till right before a change goes live to inform employees that there are
major changes coming – employee resistance and pushback is a natural response. Our
consultants understand these factors and have helped organizations avoid this situation, by
working with projects to develop communication plans as early as possible.
While initial buy-in is important, you need a supportive, involved workforce for all phases of your
project. For example, before implementation, you will need employee involvement in business
process reengineering efforts. In addition, after go-live, a supportive workforce is essential as they
will be more likely to effectively use new software, which ensures you achieve expected benefits.
4) Technical Project Tasks Can Distract from Change Management Efforts: If you are planning to
implement new technology, your project team is likely to be focused on hands-on technical
activities to migrate data and deploy the new system. This is not the ideal time to try to develop a
Change Management Plan. While you may have a dedicated Change Management team that can
solely focus on the human aspect of change, this team will need the support of other project team
members to truly develop and execute an effective plan.
There are several strong reasons for an early start to Change Management activities, as well as
ensuring Change Management is “baked into” all project phases and states. When you begin
Change Management early in the project cycle, you have plenty of time to integrate it into your
overall project plan so team members know what people-focused activities will be essential
during implementation and how they can support these efforts. If you begin Change
Management early, you are not rushing to try to fit in organizational assessments, focus groups,
training, communication, and other essential activities into a few short months.
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