Loading...
HomeMy WebLinkAbout2023-10-17; City Council; Resolution 2023-261RESOLUTION 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). 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) DocuSign Envelope ID: D8EFBF40-395F-4O56-8E71-ADBA2A823DC4 MASTER AGREEMENT FOR PROJECT MANAGEMENT AND CHANGE MANAGEMENT SERVICES Attachment A CLIENTFIRST TECHNOLOGY CONSUL TING, LLC / A THIS AGREEMENT is made and entered into as of the 1.,, � day of 0 (. t') b-CIV: , 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 firmthat 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 andadvice related to information technology project management and change management. D. Contractor has submitted a proposal to City and has affirmed its willingness andability 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 COMPLETIONThe 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 specifiedin 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 City Attorney Approved Version 6/12/18 2 City Attorney Approved Version 6/12/18 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. DocuSign Envelope ID: D8EFBF40-395F-4D56-8E71-ADBA2A823DC4 3 City Attorney Approved Version 6/12/18 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 DocuSign Envelope ID: D8EFBF40-395F-4D56-8E71-ADBA2A823DC4 4 City Attorney Approved Version 6/12/18 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. DocuSign Envelope ID: D8EFBF40-395F-4D56-8E71-ADBA2A823DC4 5 City Attorney Approved Version 6/12/18 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. DocuSign Envelope ID: D8EFBF40-395F-4D56-8E71-ADBA2A823DC4 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 DocuSign Envelope ID: D8EFBF40-395F-4D56-8E71-ADBA2A823DC4 □ 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 DocuSign Envelope ID: D8EFBF40-395F-4D56-8E71-ADBA2A823DC4 DocuSign Envelope ID: D8EFBF40-395F-4D56-8E71-ADBA2A823DC4 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 ARLSBAD, a municipal n f h State of California (print name/title) ATTEST: By: 1� � (sign here) Tom Jakobsen senior Partner (print name/title) 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 8 City Attorney Approved Version 6/12/18 9 City Attorney Approved Version 6/12/18 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. DocuSign Envelope ID: D8EFBF40-395F-4D56-8E71-ADBA2A823DC4 10 City Attorney Approved Version 6/12/18 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 DocuSign Envelope ID: D8EFBF40-395F-4D56-8E71-ADBA2A823DC4 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. DocuSign Envelope ID: D8EFBF40-395F-4D56-8E71-ADBA2A823DC4 City Attorney Approved Version 6/12/18 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. DocuSign Envelope ID: D8EFBF40-395F-4D56-8E71-ADBA2A823DC4 Budget/Cost Scope Time/Schedule 13 City Attorney Approved Version 6/12/18 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 DocuSign Envelope ID: D8EFBF40-395F-4D56-8E71-ADBA2A823DC4 14 City Attorney Approved Version 6/12/18 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 DocuSign Envelope ID: D8EFBF40-395F-4D56-8E71-ADBA2A823DC4 15 City Attorney Approved Version 6/12/18 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 DocuSign Envelope ID: D8EFBF40-395F-4D56-8E71-ADBA2A823DC4 16 City Attorney Approved Version 6/12/18 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. DocuSign Envelope ID: D8EFBF40-395F-4D56-8E71-ADBA2A823DC4 Adequate Change Management Inadequate 0-1anga Management l'~rcenta5e of pr:Jccts that h,ve a:h,e'/ed the dem ed n!-:jP.r.tivP. 3co:l :han.~e M3nai:;ement Fxrrllent C:hr,ngP. Mnnr.g~rnP.nt ProjP.c:t ohjP.c:tivP.~ ilrP. morP. likely to be achieved when cho11ge rr1c1nc:1gcHrn:ml is P.ffP.~tivP.ly ,irrliP.rl. 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. DocuSign Envelope ID: D8EFBF40-395F-4D56-8E71-ADBA2A823DC4 18 City Attorney Approved Version 6/12/18 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 DocuSign Envelope ID: D8EFBF40-395F-4D56-8E71-ADBA2A823DC4 19 City Attorney Approved Version 6/12/18 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. DocuSign Envelope ID: D8EFBF40-395F-4D56-8E71-ADBA2A823DC4 20 City Attorney Approved Version 6/12/18 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 DocuSign Envelope ID: D8EFBF40-395F-4D56-8E71-ADBA2A823DC4 Business Need The People Side of Change Successful Change Concept& Design Implementation Post Implementation Phases of a Change Project City Attorney Approved Version 6/12/18 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 DocuSign Envelope ID: D8EFBF40-395F-4D56-8E71-ADBA2A823DC4