R-08-07-24-10C1 - 7/24/2008RESOLUTION NO. R -08-07-24-10C1
WHEREAS, the City of Round Rock desires to retain professional
consulting services for facilitation and strategic planning advisory
services, and
WHEREAS, Analytica has submitted an Agreement for Professional
Consulting Services to provide said services, and
WHEREAS, the City Council desires to enter into said agreement
with Analytica, Now Therefore
BE IT RESOLVED BY THE COUNCIL OF THE CITY OF ROUND ROCK,
TEXAS,
That the Mayor is hereby authorized and directed to execute on
behalf of the City an Agreement for Professional Consulting Services
for Facilitation and Strategic Planning Advisory Services with
Analytica, a copy of same being attached hereto as Exhibit "A" and
incorporated herein for all purposes.
The City Council hereby finds and declares that written notice
of the date, hour, place and subject of the meeting at which this
Resolution was adopted was posted and that such meeting was open to
the public as required by law at all times during which this
Resolution and the subject matter hereof were discussed, considered
and formally acted upon, all as required by the Open Meetings Act,
Chapter 551, Texas Government Code, as amended
RESOLVED this 24th day of July, 2008.
ALAN MCGRAW, Mayor
City of Round Rock, Texas
ATTEST:
2911VRIL--
SARA L. WHITE, City Secretary
O:\WDOX\RESOLUTI\R80724C 1.DOC irmc
CITY OF ROUND ROCK AGREEMENT FOR
PROFESSIONAL CONSULTING SERVICES FOR
FACILITATION AND STRATEGIC PLANNING ADVISORY SERVICES
WITH ANALYTICA
THIS AGREEMENT for professional consulting services for facilitation and strategic
planning advisory services relating to development of a comprehensive strategic plan
incorporating strategic, leadership, and operational objectives into the City of Round Rock's
"high performance" philosophy (the "Agreement") is made by and between the City of Round
Rock, a Texas home -rule municipal corporation with offices located at 221 East Main Street,
Round Rock, Texas 78664-5299, (the "City") and Analytica (the "Consultant"), with offices
located at Post Office Box 998, Newberry, Florida 32669.
RECITALS:
WHEREAS, City has determined that there is a need for the delineated services; and
WHEREAS, City desires to contract for such professional services; and
WHEREAS, the parties desire to enter into this Agreement to set forth in writing their
respective rights, duties and obligations hereunder;
NOW, THEREFORE, WITNESSETH:
That for and in consideration of the mutual promises contained herein and other good and
valuable consideration, the sufficiency and receipt of which are hereby acknowledged, it is
mutually agreed between the parties as follows:
1.01 EFFECTIVE DATE, DURATION, AND TERM
This Agreement shall be effective on the date this Agreement has been signed by each
party hereto, and shall remain in full force and effect unless and until it expires by operation of
the term indicated herein, or is terminated or extended as provided herein.
The term of this Agreement shall be until full and satisfactory completion of the work
specified herein is achieved, but in no event later than one (1) year from the effective date of this
Agreement.
City reserves the right to review the Agreement at any time, including at the end of any
deliverable or phase or task, and may elect to terminate the Agreement with or without cause or
may elect to continue.
1.02 CONTRACT AMOUNT
In consideration for the professional consulting services to be performed by Consultant,
City agrees to pay Consultant a total sum not to exceed Eighty-three Thousand and No/100
Dollars ($83,000.00), in payment for services and the Scope of Work deliverables as delineated
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EXHIBIT
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in Exhibit "A" and herein in Section 1.03. This amount does not include expenses which
otherwise are reimbursable under this Agreement as delineated in Section 1.04.
1.03 SCOPE OF WORK
For purposes of this Agreement, Consultant has issued its Scope of Work for the
assignments delineated herein, and such Scope of Work is recited in Exhibit "A" attached hereto
and incorporated herein by reference for all purposes. This Agreement shall evidence the entire
understanding and agreement between the parties and shall supersede any prior proposals,
correspondence or discussions. Consultant shall satisfactorily provide all services and
deliverables described under the referenced Scope of Work within the contract term specified in
Section 1.01. Consultant's undertakings shall be limited to performing services for the City
and/or advising the City concerning those matters on which Consultant has been specifically
engaged. Consultant shall perform its services in accordance with this Agreement and in
accordance with the referenced Scope of Work. Consultant shall perform its services in a
professional and workmanlike manner.
Consultant shall not undertake work that is beyond the Scope of Work set forth in Exhibit
"A" and in this Section 1.03. However, either party may make written requests for changes to
the Scope of Work. To be effective, a change to the Scope of Work must be negotiated and
agreed to in all relevant details, and must be embodied in a valid Supplemental Agreement as
described in Section 1.05 hereof.
1.04 PAYMENT FOR SERVICES; REIMBURSABLE EXPENSES
Payment for Services: In consideration for the consulting services to be performed by
Consultant, the City agrees to pay Consultant the following "Payment for Services:"
Fees for the listed deliverables in the total amount of Eighty-three Thousand and No/100
Dollars ($83,000.00) shall be paid by the City in the following manner:
Task 1 Project organization & initial data collection
Task 2 Issues & Opportunities analysis
Task 3 Organizational assessment
Task 4 Issues & Opportunities workshop series I
Task 5 Issues & Opportunities workshop series II
Task 6 Council workshop preparation
Task 7 Council workshop
Task 8 Strategic plan development & testing
Task 9 Strategic plan endorsement
Task 10 Business and operational plan development
Task 11 Strategic budgeting
Task 12 Analytics
Task 13 Organizational structure
Task 14 Continuous high performance
TOTAL
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$ 7,500
$ 7,500
$ 5,000
$ 7,500
$ 7,500
$ 2,500
$ 2,500
$ 6,000
$ 2,500
$22,000
$ 2,500
$ 5,000
$ 2,500
$ 2,500
$83,000
The approximate loading of Analytica's professional time and costs by task is as is
delineated in Exhibit "B" entitled "Timeline" and in Exhibit "C" entitled "Fees," both of which
are attached hereto and incorporated herein by reference for all purposes.
Payment for Reimbursable Expenses: Reimbursable expenses authorized by the City
shall be paid to Consultant at actual cost, upon Consultant properly invoicing for same and
providing documentation for same. Such reimbursable expenses shall not exceed the total
amount of Twenty Thousand Seven Hundred Fifty and No/100 Dollars ($20,750.00).
Not -to -Exceed Total Payment for Services: Unless subsequently changed by
Supplemental Agreement, Consultant's total compensation for consulting services hereunder
shall not exceed Eighty-three Thousand and No/100 Dollars ($83,000.00). This amount
represents the absolute limit of the City's liability to Consultant hereunder unless same shall be
changed by Supplemental Agreement, and the City shall pay, strictly within the not -to -exceed
sum recited herein, Consultant's professional fees for work done on behalf of the City.
Deductions: No deductions shall be made for Consultant's compensation on account of
penalty, liquidated damages or other sums withheld from payments to Consultant.
Additions: No additions shall be made to Consultant's compensation based upon project
claims, whether paid by the City or denied.
1.05 SUPPLEMENTAL AGREEMENT
The terms of this Agreement may be modified by written Supplemental Agreement
hereto, duly authorized by City Council or by the City Manager, if the City determines that there
has been a significant change in (1) the scope, complexity, or character of the services to be
performed; or (2) the duration of the work. Any such Supplemental Agreement must be
executed by both parties within the period specified as the term of this Agreement. Consultant
shall not perform any work or incur any additional costs prior to the execution, by both parties,
of such Supplemental Agreement. Consultant shall make no claim for extra work done or
materials furnished unless and until there is full execution of any Supplemental Agreement, and
the City shall not be responsible for actions by Consultant nor for any costs incurred by
Consultant relating to additional work not directly authorized by Supplemental Agreement.
1.06 INVOICE REQUIREMENTS; TERMS OF PAYMENT
Invoices: To receive payment following delivery of all deliverables, Consultant shall
prepare and submit detailed progress invoices to the City, in accordance with the delineation
contained herein, for services rendered. Such invoices for professional services shall track the
referenced Scope of Work, and shall detail the services performed, along with documentation for
each service performed. Payment to Consultant shall be made on the basis of the invoices
submitted by Consultant and approved by the City. Such invoices shall conform to the schedule
of services and costs in connection therewith.
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Should additional backup material be requested by the City relative to service
deliverables, Consultant shall comply promptly. In this regard, should the City determine it
necessary, Consultant shall make all records and books relating to this Agreement available to
the City for inspection and auditing purposes.
Payment of Invoices: The City reserves the right to correct any error that may be
discovered in any invoice that may have been paid to Consultant and to adjust same to meet the
requirements of this Agreement. Following approval of an invoice, the City shall endeavor to pay
Consultant promptly, but no later than the time period required under the Texas Prompt Payment
Act described in Section 1.10 herein. Under no circumstances shall Consultant be entitled to
receive interest on payments which are late because of a good faith dispute between Consultant
and the City or because of amounts which the City has a right to withhold under this Agreement
or state law. The City shall be responsible for any sales, gross receipts or similar taxes
applicable to the services, but not for taxes based upon Consultant's net income.
1.07 REQUIRED DRAFT REPORTS AND FINAL REPORT
Consultant agrees to provide the City with draft reports and a detailed final written report,
together with all information gathered and materials developed during the course of the project.
Additionally, Consultant agrees to provide any necessary oral presentations of such written
reports, at the City's designation and at no additional cost to the City.
Consultant agrees to provide the City with ten (10) additional bound copies of the final
written report, with one (1) additional unbound copy being delivered which is suitable for
making additional copies at the sole election of the City. All copies of the written final report
will be on 8-1/2" x 11" or 8-1/2" x 17" paper, will be primarily in black and white, will be spiral
bound, and will contain color pages, images, photos, and diagrams as necessary. Consultant
shall also deliver two (2) reproducible CDs to the City, all at no additional cost to the City.
1.08 LIMITATION TO SCOPE OF WORK
Consultant and the City agree that the scope of services to be performed is enumerated in
Exhibit "A" and in Section 1.03 herein, and may not be changed without the express written
agreement of the parties. Notwithstanding anything herein to the contrary, the parties agree that
the City retains absolute discretion and authority for all funding decisions, such to be based
solely on criteria accepted by the City which may be influenced by but not be dependent on
Consultant's work.
1.09 NON -APPROPRIATION AND FISCAL FUNDING
This Agreement is a commitment of the City's current revenues only. It is understood and
agreed that the City shall have the right to terminate this Agreement at the end of any City fiscal
year if the governing body of the City does not appropriate funds sufficient to purchase the
services as determined by the City's budget for the fiscal year in question. The City may effect
such termination by giving Consultant a written notice of termination at the end of its then -
current fiscal year.
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1.10 PROMPT PAYMENT POLICY
In accordance with Chapter 2251, V.T.C.A., Texas Government Code, any payment to be
made by the City to Consultant will be made within thirty (30) days of the date the City receives
goods under this Agreement, the date the performance of the services under this Agreement are
completed, or the date the City receives a correct invoice for the goods or services, whichever is
later. Consultant may charge interest on an overdue payment at the "rate in effect" on September
1 of the fiscal year in which the payment becomes overdue, in accordance with V.T.C.A., Texas
Government Code, Section 2251.025(b). This Prompt Payment Policy does not apply to
payments made by the City in the event:
(a)
There is a bona fide dispute between the City and Consultant, a contractor,
subcontractor, or supplier about the goods delivered or the service performed
that cause the payment to be late; or
(b) There is a bona fide dispute between Consultant and a subcontractor or
between a subcontractor and its supplier about the goods delivered or the
service performed that causes the payment to be late; or
(c) The terms of a federal contract, grant, regulation, or statute prevent the City
from making a timely payment with federal funds; or
(d) The invoice is not mailed to the City in strict accordance with any instruction
on the purchase order relating to the payment.
1.11 TERMINATION; DEFAULT
Termination: It is agreed and understood by Consultant that the City may terminate this
Agreement for the convenience of the City, upon fifteen (15) days' written notice to Consultant,
with the understanding that immediately upon receipt of said notice all work being performed
under this Agreement shall cease. Consultant shall invoice the City for work satisfactorily
completed and shall be compensated in accordance with the terms hereof for work accomplished
prior to the receipt of said noticeof termination. Consultant shall not be entitled to any lost or
anticipated profits for work terminated under this Agreement. Unless otherwise specified in this
Agreement, all data, information, and work product related to this project shall become the
property of the City upon termination of this Agreement, and shall be promptly delivered to the
City in a reasonably organized form without restriction on future use, subject to the conditions
set forth in the Standard Proposal Addendum. Should the City subsequently contract with a new
consultant for continuation of service on the project, Consultant shall cooperate in providing
information.
Termination of this Agreement shall extinguish all rights, duties, and obligations of the
City and the terminated party to fulfill contractual obligations. Termination under this section
shall not relieve the terminated party of any obligations or liabilities which occurred prior to
termination.
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Nothing contained in this section shall require the City to pay for any work which it
deems unsatisfactory or which is not performed in compliance with the terms of this Agreement.
Default: Either party may terminate this Agreement, in whole or in part, for default if
the Party provides the other Party with written notice of such default and the other fails to
satisfactorily cure such default within ten (10) business days of receipt of such notice (or a
greater time if agreed upon between the Parties).
If default results in termination of this Agreement, then the City shall give consideration
to the actual costs incurred by Consultant in performing the work to the date of default. The cost
of the work that is useable to the City, the cost to the City of employing another firm to complete
the useable work, and other factors will affect the value to the City of the work performed at the
time of default. Neither party shall be entitled to any lost or anticipated profits for work
terminated for default hereunder.
The termination of this Agreement for default shall extinguish all rights, duties, and
obligations of the terminating Party and the terminated Party to fulfill contractual obligations.
Termination under this section shall not relieve the terminated party of any obligations or
liabilities which occurred prior to termination.
Nothing contained in this section shall require the City to pay for any work which it
deems unsatisfactory, or which is not performed in compliance with theterms of this Agreement.
1.12 INDEPENDENT CONTRACTOR STATUS
Consultant is an independent contractor, and is not the City's employee. Consultant's
employees or subcontractors are not the City's employees. This Agreement does not create a
partnership, employer-employee, or joint venture relationship. No party has authority to enter
into contracts as agent for the other party. Consultant and the City agree to the following rights
consistent with an independent contractor relationship:
(1) Consultant has the right to perform services for others during the term hereof.
(2) Consultant has the sole right to control and direct the means, manner and method
by which it performs its services required by this Agreement.
(3) Consultant has the right to hire assistants as subcontractors, or to use employees
to provide the services required by this Agreement.
(4) Consultant or its employees or subcontractors shall perform services required
hereunder, and the City shall not hire, supervise, or pay assistants to help
Consultant.
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(5)
Neither Consultant nor its employees or subcontractors shall receive training from
the City in skills necessary to perform services required by this Agreement.
(6) City shall not require Consultant or its employees or subcontractors to devote full
time to performing the services required by this Agreement.
Neither Consultant nor its employees or subcontractors are eligible to participate
in any employee pension, health, vacation pay, sick pay, or other fringe benefit
plan of the City.
(7)
1.13 NON -SOLICITATION
Except as may be otherwise agreed in writing, during the term of this Agreement and for
twelve (12) months thereafter, neither the City nor Consultant shall offer employment to or shall
employ any person employed then or within the preceding twelve (12) months by the other or
any affiliate of the other if such person was involved, directly or indirectly, in the performance of
this Agreement. This provision shall not prohibit the hiring of any person who was solicited
solely through a newspaper advertisement or other general solicitation.
1.14 CITY'S RESPONSIBILITIES
Full information: The City shall provide full information regarding project
requirements. The City shall have the responsibility of providing Consultant with such
documentation and information as is reasonably required to enable Consultant to provide the
services called for. The City shall require its employees and any third parties who are otherwise
assisting, advising or representing the City to cooperate on a timely basis with Consultant in the
provision of its services. Consultant may rely upon written information provided by the City and
its employees and agents as accurate and complete. Consultant may rely upon any written
directives provided by the City or its designated representative concerning provision of services
as accurate and complete.
Required materials: Consultant's performance requires receipt of all requested
information reasonably necessary to provision of services. The City shall furnish information
which includes but is not limited to pertinent correspondence with other local municipal and
planning officials, previous market analyses or feasibility studies, and other pertinent
information. Consultant agrees, within ten (10) days of the effective date of this Agreement, to
provide the City with a comprehensive and detailed information request list.
1.15 CONFIDENTIALITY; AND MATERIALS OWNERSHIP
Any and all programs, data, or other materials furnished by the City for use by Consultant
in connection with services to be performed under this Agreement, and any and all data and
information gathered by Consultant, shall be held in confidence by Consultant as set forth
hereunder. Each party agrees to take reasonable measures to preserve the confidentiality of any
proprietary or confidential information relative to this Agreement, and to not make any use
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thereof other than for the performance of this Agreement, provided that no claim may be made
for any failure to protect information that occurs more than three (3) years after the end of this
Agreement.
The parties recognize and understand that the City is subject to the Texas Public
Information Act and its duties run in accordance therewith.
All data relating specifically to the City's business and any other information which
reasonably should be understood to be confidential to City is confidential information of City.
Consultant's proprietary software, tools, methodologies, techniques, ideas, discoveries,
inventions, know-how, and any other information which reasonably should be understood to be
confidential to Consultant is confidential information of Consultant. The City's confidential
information and Consultant's confidential information is collectively referred to as "Confidential
Information." Each party shall use Confidential Information of the other party only in
furtherance of the purposes of this Agreement and shall not disclose such Confidential
Information to any third party without the other party's prior written consent, which consent
shall not be unreasonably withheld. Each party agrees to take reasonable measures to protect the
confidentiality of the other party's Confidential Information and to advise their employees of the
confidential nature of the Confidential Information and of the prohibitions herein.
Notwithstanding anything to the contrary contained herein, neither party shall be
obligated to treat as confidential any information disclosed by the other party (the "Disclosing
Party") which: (1) is rightfully known to the recipient prior to its disclosure by the Disclosing
Party; (2) is released by the Disclosing Party to any other person or entity (including
governmental agencies) without restriction; (3) is independently developed by the recipient
without any reliance on Confidential Information; or (4) is or later becomes publicly available
without violation of this Agreement or may be lawfully obtained by a party from any non-party.
Notwithstanding the foregoing, either party will be entitled to disclose Confidential Information
of the other to a third party as may be required by law, statute, rule or regulation, including
subpoena or other similar form of process, provided that (without breaching any legal or
regulatory requirement) the party to whom the request is made provides the other with prompt
written notice and allows the other party to seek a restraining order or other appropriate relief.
Subject to Consultant's confidentiality obligations under this Agreement, nothing herein
shall preclude or limit Consultant from providing similar services for other clients.
Neither the City nor Consultant will be liable to the other for inadvertent or accidental
disclosure of Confidential Information if the disclosure occurs notwithstanding the party's
exercise of the same level of protection and care that such party customarily uses in safeguarding
its own proprietary and confidential information.
Notwithstanding anything to the 'contrary in this Agreement, the City will own as its sole
property all written materials created, developed, gathered, or originally prepared expressly for
the City and delivered to the City under the terms of this Agreement (the "Deliverables"); and
Consultant shall own any general skills, know-how, expertise, ideas, concepts, methods,
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techniques, processes, software, or other similar information which may have been discovered,
created, developed or derived by Consultant either prior to or as a result of its provision of
services under this Agreement (other than the Deliverables). Consultant's working papers and
Consultant's Confidential Information (as described herein) shall belong exclusively to
Consultant. The City shall have a non-exclusive, non -transferable license to use Consultant's
Confidential Information for the City's own internal use and only for the purposes for which they
are delivered to the extent that they form part of the Deliverables.
1.16 LIMITATION OF LIABILITY
Should any of Consultant's services not conform to the requirements of the City or of this
Agreement, then and in that event the City shall give written notification to Consultant;
thereafter, (a) Consultant shall either promptly re -perform such services to the City's satisfaction
at no additional charge, or (b) if such deficient services cannot be cured within the cure period
set forth herein in Section 1.11, then this Agreement may be terminated for default.
In no event will Consultant be liable for any loss, damage, cost or expense attributable to
negligence, willful misconduct or misrepresentations by the City, its directors, employees or
agents.
In no event shall Consultant be liable to the City, by reason of any act or omission
relating to the services provided under this Agreement (including the negligence of Consultant),
whether a claim be in tort, contract or otherwise, (a) for any consequential, indirect, lost profit,
punitive, special or similar damages relating to or arising from the services, or (b) in any event,
in the aggregate, for any amount in excess of the total professional fees paid by the City to
Consultant under this Agreement, except to the extent determined to have resulted from
Consultant's gross negligence, willful misconduct or fraudulent acts relating to the service
provided hereunder.
1.17 INDEMNIFICATION
Consultant and the City each agree to indemnify, defend and hold harmless the other
from and against amounts payable under any judgment, verdict, court order or settlement for
death or bodily injury or the damage to or loss or destruction of any real or tangible property to
the extent arising out of the indemnitor's negligence in the performance of this Agreement.
Consultant agrees to indemnify, defend and hold harmless the City from and against any
and all amounts payable under any judgment, verdict, court order or settlement for Third Party
claims of infringement of any trade secrets, copyrights, trademarks or trade names alleged to
have occurred and arising from the deliverables provided by Consultant to the City in connection
with the performance of this Agreement. Should the City's use of such deliverables be
determined to have infringed, Consultant may, at its option: (i) procure for the City the right to
continue using such deliverables provided or (ii) replace or modify them to make their use non -
infringing while yielding substantially equivalent results. If neither of the above options is or
would be available on a basis that is commercially reasonable, then Consultant may terminate
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this Agreement, the City shall return such deliverables provided, and Consultant will refund to
the City the fees paid for the deliverables provided. This infringement indemnity does not cover
claims arising from the combination of such deliverables with products or services not provided
by Consultant; the modification of such deliverables by any person other than Consultant;
deliverables complying with or based upon (1) designs provided by or at the direction of the City
or (2) specifications or other information provided by or at the direction of the City; or use of
systems, materials or work performed in a manner not permitted hereunder or by another
obligation of the City to Consultant.
The indemnities in this section are contingent upon: (1) the indemnified party promptly
notifying the indemnifying party in writing of any claim which gives rise to a claim for
indemnification hereunder; (2) the indemnifying party being allowed to participate in the defense
and settlement of such claim; and (3) the indemnified party cooperating with all reasonable
requests of the indemnifying party (at the indemnifying party's expense) in defending or settling
a claim. The indemnified party shall have the right, at its option and expense, to participate in
the defense of any suit or proceeding through counsel.
1.18 ASSIGNMENT AND DELEGATION
The parties each hereby bind themselves, their successors, assigns and legal
representatives to each other with respect to the terms of this Agreement. Neither party may
assign any rights or delegate any duties under this Agreement without the other party's prior
written approval, which approval shall not be unreasonably withheld.
1.19 LOCAL, STATE AND FEDERAL TAXES
Consultant shall pay all income taxes, and FICA (Social Security and Medicare taxes)
incurred while performing services under this Agreement. The City will not do the following:
(1) Withhold FICA from Consultant's payments or make FICA payments on its
behalf;
(2) Make state and/or federal unemployment compensation contributions on
Consultant's behalf; or
(3)
Withhold state or federal income tax from any of Consultant's payments.
If requested, the City shall provide Consultant with a certificate from the Texas State
Comptroller indicating that the City is a non-profit corporation and not subject to State of Texas
Sales and Use Tax.
1.20 INSURANCE
Insurance. Consultant, at Consultant's sole cost, shall have and maintain during the
term of this Agreement professional liability insurance coverage in the minimum amount of One
Million Dollars from a company authorized to do insurance business in Texas and otherwise
acceptable to the City.
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Subconsultant Insurance. Without limiting any of the other obligations or liabilities of
Consultant, Consultant shall require each subconsultant performing work under this Agreement
to maintain during the term of the Agreement, at the subconsultant's own expense, the same
stipulated minimum insurance required in the immediately preceding paragraph, including the
required provisions and additional policy conditions as shown below. As an alternative,
Consultant may include its subconsultants as additional insureds on its own coverages as
prescribed under these requirements. Consultant's certificate of insurance shall note in such
event that the subconsultants are included as additional insureds.
Consultant shall obtain and monitor the certificates of insurance from each subconsultant
in order to assure compliance with the insurance requirements. Consultant must retain the
certificates of insurance for the duration of this Agreement, and shall have the responsibility of
enforcing these insurance requirements among its subconsultants. The City shall be entitled,
upon request and without expense, to receive copies of these certificates of insurance.
Insurance Policy Endorsements. Each insurance policy hereunder shall include the
following conditions by endorsement to the policy:
(1)
Each policy shall require that thirty (30) days prior to the expiration, cancellation,
non -renewal or any material change in coverage, a notice thereof shall be given to
City by mail to:
City Manager, City of Round Rock
221 East Main Street
Round Rock, Texas 78664
Consultant shall also notify City, within ten (10) days of receipt, of any notices of
expiration, cancellation, non -renewal, or material change in coverage it receives
from its insurer.
(2) Companies issuing the insurance policies shall have no recourse against City for
payment of any premiums or assessments for any deductibles which all are at the
sole responsibility and risk of Consultant.
(3)
Terms "the City" or "the City of Round Rock" shall include all authorities, boards,
commissions, departments, and officers of City and individual members, employees
and designated agents in their official capacities, or while acting on behalf of the
City of Round Rock.
(4) The policy clause "Other Insurance" shall not apply to any insurance coverage
currently held by City, to any future coverage, or to City's Self -Insured Retentions
of whatever nature.
(5)
Consultant and City mutually waive subrogation rights each may have against the
other for loss or damage, to the extent same is covered by the proceeds of insurance.
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Cost of Insurance. The cost of all insurance required herein to be secured and
maintained by Consultant shall be borne solely by Consultant, with certificates of insurance
evidencing such minimum coverage in force to be filed with the City.
1.21 COMPLIANCE WITH LAWS, CHARTER AND ORDINANCES
Consultant, its consultants, agents, employees and subcontractors shall use best efforts to
comply with all applicable federal and state laws, the Charter and Ordinances of the City of
Round Rock, as amended, and with all applicable rules and regulations promulgated by local,
state and national boards, bureaus and agencies. Consultant shall further obtain all permits,
licenses, trademarks, or copyrights required in the performance of the services contracted for
herein, and same shall belong solely to the City at the expiration of the term of this Agreement.
1.22 FINANCIAL INTEREST PROHIBITED
Consultant covenants and represents that Consultant, its officers, employees, agents,
consultants and subcontractors will have no financial interest, direct or indirect, in the purchase
or sale of any product, materials or equipment that will be recommended or required hereunder.
1.23 DESIGNATION OF REPRESENTATIVES
The City hereby designates the following representative authorized to act in its behalf
with regard to this Agreement:
James Nuse, P.E.
City Manager
City of Round Rock
221 East Main Street
Round Rock, Texas 78664
Consultant hereby designates the following representative authorized to act in its behalf
with regard to this Agreement:
Dr. Herbert A. Marlowe, Jr., Principal
Analytica
Post Office Box 998
Newberry, Florida 32669
1.24 NOTICES
All notices and other communications in connection with this Agreement shall be in
writing and shall be considered given as follows:
(1) When delivered personally to recipient's address as stated herein; or
(2) Three (3) days after being deposited in the United States mail, with postage
prepaid to the recipient's address as stated in this Agreement.
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Notice to Consultant:
Dr. Herbert A. Marlowe, Jr., Principal
Analytica
Post Office Box 998
Newberry, FL 32669
Notice to City:
City Manager, City of Round Rock
221 East Main Street
Round Rock, TX 78664
AND TO:
Stephan L. Sheets, City Attorney
309 East Main Street
Round Rock, TX 78664
Nothing contained in this section shall be construed to restrict the transmission of routine
communications between representatives of the City and Consultant.
1.25 APPLICABLE LAW; ENFORCEMENT AND VENUE
This Agreement shall be enforceable in Round Rock, Texas, and if legal action is
necessary by either party with respect to the enforcement of any or all of the terms or conditions
herein, exclusive venue for same shall lie in Williamson County, Texas. This Agreement shall
be governed by and construed in accordance with the laws and court decisions of Texas.
1.26 EXCLUSIVE AGREEMENT
The terms and conditions of this Agreement, including exhibits, constitute the entire
agreement between the parties and supersede all previous communications, representations, and
agreements, either written or oral, with respect to the subject matter hereof. The parties
expressly agree that, in the event of any conflict between the terms of this Agreement and any
other writing, this Agreement shall prevail. No modifications of this Agreement will be binding
on any of the parties unless acknowledged in writing by the duly authorized governing body or
representative for each party.
1.27 DISPUTE RESOLUTION
If a dispute arises under this Agreement, the parties agree to first try to resolve the
dispute with the help of a mutually selected mediator. If the parties cannot agree on a mediator,
the City shall select one mediator and Consultant shall select one mediator and those two
13
mediators shall agree upon a third mediator. Any costs and fees, other than attorney fees,
associated with the mediation shall be shared equally by the parties.
The City and Consultant hereby expressly agree that no claims or disputes between the
parties arising out of or relating to this Agreement or a breach thereof shall be decided by any
arbitration proceeding, including without limitation, any proceeding under the Federal
Arbitration Act (9 USC Section 1-14) or any applicable state arbitration statute.
1.28 FORCE MAJEURE
Notwithstanding any other provisions hereof to the contrary, no failure, delay or default
in performance of any obligation hereunder shall constitute an event of default or breach of this
Agreement, only to the extent that such failure to perform, delay or default arises out of causes
beyond control and without the fault or negligence of the party otherwise chargeable with failure,
delay or default; including but not limited to acts of God, acts of public enemy, civil war,
insurrection, riots, fires, floods, explosion, theft, earthquakes, natural disasters or other
casualties, strikes or other labor troubles, which in any way restrict the performance under this
Agreement by the parties.
Consultant shall not be deemed to be in default of its obligations to the City if its failure
to perform or its substantial delay in performance is due to the City's failure to timely provide
requested information, data, documentation, or other material necessary for Consultant to
perform its obligations hereunder.
1.29 SEVERABILITY
The invalidity, illegality, or unenforceability of any provision of this Agreement or the
occurrence of any event rendering any portion of provision of this Agreement void shall in no
way affect the validity or enforceability of any other portion or provision of this Agreement. Any
void provision shall be deemed severed from this Agreement, and the balance of this Agreement
shall be construed and enforced as if this Agreement did not contain the particular portion of
provision held to be void. The parties further agree to amend this Agreement to replace any
stricken provision with a valid provision that comes as close as possible to the intent of the
stricken provision. The provisions of this Article shall not prevent this entire Agreement from
being void should a provision which is of the essence of this Agreement be determined void.
1.30 STANDARD OF CARE
Consultant represents that it is specially trained, experienced and competent to perform
all of the services, responsibilities and duties specified herein and that such services,
responsibilities and duties shall be performed, whether by Consultant or designated
subconsultants, in a manner acceptable to the City and according to generally accepted business
practices.
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1.31 GENERAL AND MISCELLANEOUS
The section numbers and headings contained herein are provided for convenience only
and shall have no substantive effect on construction of this Agreement.
No delay or omission by either party in exercising any right or power shall impair such
right or power or be construed to be a waiver. A waiver by either party of any of the covenants
to be performed by the other or any breach thereof shall not be construed to be a waiver of any
succeeding breach or of any other covenant. No waiver of discharge shall be valid unless in
writing and signed by an authorized representative of the party against whom such waiver or
discharge is sought to be enforced.
This Agreement may be executed in multiple counterparts, which taken together shall be
considered one original. The City agrees to provide Consultant with one fully executed original.
IN WITNESS WHEREOF, the parties have executed this Agreement on the dates
hereafter indicated.
City of Round Rock, Texas Attest:
By:
Title:
Date Signed:
Sara L. White, City Secretary
Analytica For City, Approved as to Form:
By: (7-1 a ��-.-----s
Printed Name: r Crl-R
Title: P./ sti
Date Signed: -T./ ti /
15
Stephan L. Sheets, City Attorney
LIST OF ATTACHED EXHIBITS
Exhibit "A" Scope of Work
Exhibit "B" Timeline
Exhibit "C" Fees
Exhibit "D" City's RFP 08-023; Specification Number 08-918-00 dated April 2008, including
Attachment A entitled "City of Round Rock Insurance Requirements," "City
Response to Submitted Questions," and "City of Round Rock Request for
Proposals Addendum No. 1" dated May 7, 2008.
Exhibit "E" Analytica's "Proposal to Provide Strategic Planning and Facilitation Services"
responsive to City of Round Rock's RFP 08-023
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EXHIBIT "A"
SCOPE OF WORK
PHASE ONE: PROJECT FOUNDATION
Task One: Project Organization and Initial Data Collection
The purpose of this task is to organize the work of the project for the tasks by gathering the
initial information for the project. Work at this stage is primarily in-house among the consultants,
and Round Rock elected and appointed leadership. Task One will be accomplished via an on-site
visit. Among the activities of this task are:
Initial meeting with the Project Management Team and Advisory Group. This is the
internal team that will manage the project and advise on logistical and process matters.
The consultants will have been in discussion with the project manager prior to arrival to
schedule the meetings planned for this task. The purpose of this meeting is for
introductions, to review the schedule, and address any additional planning tasks or
questions about the approach.
Individual interviews with Council members, senior staff including department heads.
The purpose of these interviews is to identify key strategic issues, opportunities, threats,
possible future scenarios, perspectives on organizational culture, perspective on core
businesses, view of mission, vision and values and other key organizational issues such
as strengths and weaknesses that should be considered during the project.
Facilitation of three staff focus groups. Focus groups will be conducted with staff at
three levels of organizational responsibility -- managers, first line supervisors and direct
service staff. The purpose of these focus groups is to obtain perspectives on issues and
opportunities, organizational culture and other topics related to organizational
performance.
Collection of existing strategic and operational plans and accomplishments along with
other relevant studies. This is a collection of relevant documents that provide background
information on the City.
Limited interviews with Rock Rock community leaders. This is a limited set of
interviews designed to familiarize the consultants with issues from the perspective of
those persons familiar with the City. The City has already conducted extensive public
input and there is no intent to duplicate that effort. However, these limited interviews will
provide a valuable perspective.
00141022/jkg
Project planning and feedback meeting. This meeting with the project management
group will conclude the first site visit. Initial feedback will be provided based on
interviews and focus groups. However, the primary purpose of the meeting is to review
and modify as needed the proposed process and develop a schedule for future meetings.
A specific decision to be made in this meeting is the tools that will be used for Task
Three, organizational assessment. A second specific decision is the thematic organization
of strategic focus areas as discussed in Task Four.
Task One Deliverables: Revised Project Process and Timeline
Task Two: Issues & Opportunities and Trends & Patterns Analysis
The purpose of this task is to conduct an environmental scan to ensure that the full scope of
potential topics, issues and opportunities which could be relevant to the future of Round Rock
are identified. This task also produces a briefing document that will be used as a reference in
future tasks. Specific activities of this off-site task include:
Review of demographic, environmental and economic trends, including any existing
reports;
Review of the existing plans to build the basis for integration of the strategic plan with
current plans;
Review of key features characterizing superior 21st century communities. This is a
literature review of existing studies and reports that address highly competitive and
superior communities;
Review of other visioning and strategic planning efforts in the region that may impact the
City;
Telephonic or electronic discussions with City staff for purposes of clarification or
additional data collection.
Task Two Deliverable: Issues & Opportunities, Trends & Patterns Report
Task Three: Organizational Assessment
The specific activities of this task will be decided during the completion of Task One. The
following are options for the City to consider:
Utilize a Self -Assessment survey such as Sterling Navigator (is web -based and can be
administered on-line) or other similar assessment tool to conduct a SWOT analysis that
provides a "snapshot" of the organization.
Consider using the web -based Ethical Fitness Seminar provided through Institute for
Global Ethics (offered by MIDI -- a provider of web -based ethics based in Plainsboro,
2
N.J.) to provide a snapshot of the internal ethical climate. Materials or resources from
the Institute www.globalethics.org may be utilized with the City on issues of values,
consensus building, and constructive dialogue.
Utilize existing quantitative surveys on topics such as organizational trust, organizational
climate or culture, job satisfaction.
Design a specific survey of either a quantitative or qualitative nature (or some
combination) for Round Rock and administer either through a paper survey, a web -based
surveying site or other appropriate form.
Whichever option the City selects, the consultant will organize the survey administration
and data collection process, analyze data as appropriate and prepare a report of findings.
Task Three Deliverable: Summary report of fmdings.
PHASE TWO: ISSUES AND OPPORTUNITIES IDENTIFICATION
This phase will consist of a series of workshops with staff that will review various issues and
opportunities identified in prior work or during the workshops. Workshops will be organized
thematically along areas of strategic focus rather than by departmental lines. The final thematic
organization will be selected in Task One. A possible thematic organization is:
Public safety
Regulatory
Community development (economic development, community design)
Public infrastructure (roads, water and sewer, stormwater, any other utilities, parks,
facilities, technology)
Quality of life services (recreation, libraries, events, etc.)
Administrative support (back office functions, policy, management)
Organizational performance (culture, satisfaction, and organizational leadership)
Task Four: Issues and Opportunities Workshops I
The purpose of the Workshops I series is to review and validate or modify the initial set of issues
and opportunities presented in the Task Two report. Separate two -three hour workshops will be
conducted on each strategic focus theme with appropriate staff participation. Participants will be
provided with the issues and opportunities report prior to the workshop along with a workshop
agenda so that they can prepare for the event. The result of the workshop will be concurrence
that the various issues and opportunities in a particular strategic focus area have been identified
and correctly framed for future work.
Task Four Deliverable: Revised Issues and Opportunities Report
3
Task Five: Issue and Opportunity Prioritization Workshops II
The purpose of the Workshop II series (1 to 1.5 hours per workshop) is to rate the various issues
and opportunities on a prioritization scale to determine from a staff perspective where priority
work should occur. The workshops will use electronic polling technology to ensure both rapid
and non -biased ratings. Up to 50 persons can participate in any workshop. Use of technology
such as this provides the Manager and Council with perspectives unbiased by peer pressure and
promotes wise judgments by drawing on the full knowledge base of the participants.
Task Five Deliverable: Prioritized Issues and Opportunities Report
Task Six: Council workshop preparation
To make the Council workshop productive and results oriented, a variety of preparatory activities
will occur. Which of the specific activities listed below are appropriate and useful will be the
subject of Task One discussions. Preparatory activities could include:
Development of draft vision, mission and values statement or statements for discussion
with Council in Task Seven. Prior to the Council workshop the staff Workshop II series
will review concepts and approaches.
Development of draft goals statement for discussion with Council. Staff Workshop II will
generate this material.
Development of draft strategies for Council consideration. Again this will be a work
product emanating from the staff Workshop II series.
All this material will be integrated into a strategic choices document that will structure
Task Seven events.
Task Seven: Council validation and prioritization
Using the Prioritized Issues and Opportunities Report and prior strategic plans as the background
data, a Council workshop will be conducted to discuss Council's vision for the City and in
context validate or revise existing strategic priorities and potentially add new priorities. In
addition Council will be asked to affirm or modify draft mission and value statements. The
length of the Council workshop will be determined in part by the amount of material to be
reviewed. Council will be provided the Prioritized Issues and Opportunities Report and the
aforementioned Strategic Choices so that they will be aware of staff perspectives. During the
interviews of Council members in Task One, a topic of discussion will be their priorities. This
data, existing priorities and Task Five priorities will be combined into a strategic choices
document provided to Council prior to the workshop.
The process of establishing priorities serves to clarify the core businesses of the City.
The workshop itself may use polling technology if that is deemed appropriate for the task.
4
Task Seven Deliverable: Updated Council Priorities Report
PHASE THREE: STRATEGIC PLAN DEVELOPMENT Sc SUBMISSION
Task Eight: Plan Development and Testing
The purpose of this task is to integrate the information gathered in Tasks One through Six into a
draft updated strategic plan. This draft plan is then circulated for discussion and revised in a
consensus building approach.
It is premature at this point of course to discuss the content of the plan. A preliminary format is
presented below as well as the general steps which would occur during this task. Specific steps
are highly subject to local refinements needed to meet the particular needs of Round Rock.
The general format of the plan would be:
The context. This section is drawn from Phase One and Two information and describes
the opportunities and challenges facing the City.
Vision statement. This is the statement describing the future Round Rock this plan seeks
to foster.
Mission statement. A statement describing the purpose of city government that is clear,
concise and can guide the work of every employee. The discussion in preparing this
statement should clarify what the City views as its core businesses.
Values statement. A statement of the core values the City will seek to practice in its work.
Positioning statement. The positioning statement provides a fuller description of the
vision and the core activities or businesses the City must engage in to achieve that vision.
Key results. These are the goals or key achievements that need to be addressed and
achieved if the vision is to be realized. These are usually 5 to 7 in number.
Strategies. These are the actionable approaches that will be taken to achieve the goal. We
normally group key results/goals and their related strategies into what we call strategic
focus areas so that there is a comprehensive view of what is trying to be achieved and
how it will be achieved. Good strategies often impact more than one goal.
Managing the vision plan. This section describes at a general level how the vision plan
will be managed, measured and updated. It includes the governance mechanism, the key
metrics or benchmarks that will be used and a mission statement for the management
system.
The activities of this stage include:
5
Staff and Council distribution for comment. A comment period will be allowed to enable
staff and Council to comment on the draft. Should there be extensive comment, a second
round of comment may occur.
Public distribution. At this point the plan can be publicly distributed (via a variety of
forms) and a public comment period provided should the City wish to do so.
Senior management workshop. This two - three hour workshop will serve as a final
review of the plan before submission to Council. Should the City choose, Council
members may be briefed individually or a workshop held prior to formal submission.
Task Eight Deliverable: Proposed Strategic Plan Update
Task Nine: Strategic Plan Endorsement
The purpose of this stage is the endorsement of the strategic plan. This will occur via public
presentation to the Council. As noted in Task Seven, preceding this presentation a final staff
workshop will be conducted to ensure the plan is comprehensive and responsive to current and
future city issues.
Task Nine Deliverable: Endorsed plan
PHASE FOUR: STRATEGY MANAGEMENT FOR HIGH PERFORMANCE
The purpose of Phase Four is to ensure that leadership practices and organizational behaviors;
organizational structure, systems and processes; and resource allocation decisions are aligned
with the intents and purposes of the strategic plan. Our practice to achieve this purpose is to
develop a strategy management system, of which the first element is a strategic plan. Completion
of the strategy management system will meet the following objectives as delineated in the RFP.
Improve management practices to accomplish strategic goals and objectives.
Improve operational performance.
Improve customer satisfaction.
Improve employee engagement.
Improve the measurement of operational and financial results as related to the goals and
objectives of the City.
Strategy Management Systems are comprised of the following elements. The prior phases have
developed the first element, a strategic plan. Phase Four develops for the other elements.
6
A strategic plan. The driving force of a strategy management system is the strategic plan.
This plan should be consistent with community priorities while addressing the long term
opportunities and facing the area.
An annual agenda. The key is not in the plan but how the plan is worked. Where the time
frame is or quarterly, specific, tangible actions should be taken through a work plan for
that year. In our approach we develop an annual agenda with the board and executive
group so that the leadership of the organization is focused on the work to be done that
year that will move the plan forward. One way to continuously move the agenda is to
organize the Council's meeting agenda to reflect the strategic plan and annual agenda.
Strategic budgeting, The fiscal resources of the organization must be appropriately
committed to the plan. This requires both dedicated or targeted funds as well as a budget
process that examines strategic priorities during the process of building the budget each
year.
A strategically focused table of organization. If the strategic plan is to be implemented,
the organization must be structured for that end. In practice, many strategic goals cross
departmental lines and require multi -disciplinary teams for their design and
implementation. In our work we have distinguished between operational work (existing
work which must be done on a repetitive basis) and project work (time limited work to
initiate a strategic goal). Both types of work contribute to long term strategic goals, but
some strategic goals are best moved forward with dedicated project teams. The approach
to the balanced scorecard that we use incorporates both operational and project
scorecards.
Performance indicators. Performance indicators help us answer the question, "What
progress are we making toward the strategic goals and priorities?" They may be of two
types: products and processes. Products are tangible end results, a new economic
development strategy, a new parks program, etc. Processes are interim measures that
inform us whether we are on track. Our belief is that if we work the process, we will get
the product.
Business and Operational plans. Work plans integrate fiscal and human resources around
a set of performance indicators (with time benchmarks). An effective strategy
management system not only has work plans but also has a system for managing various
work plans in an integrated manner.
Individual performance appraisal systems that allow each employee to have a line of
sight between their work and the results sought by the organization.
Data bases and information systems that provide user-friendly, readily accessible and real
time when possible information about progress toward results.
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These major elements do one critical thing. They produce results. Setting a specific agenda for
the year, committing fiscal and human resources to that agenda, and having a work management
system that tracks and adjusts performance is a proven formula for generating results.
Task Ten: Business and Operational Planning
In this task each department will develop or update its own business and operational plan in the
context of the adopted strategic plan and associated documents. A business plan consists of the
following elements:
An external business climate/market analysis that examines key variables that will impact
the work of the department such as population, demographic, regulatory, technology
trends, a key stakeholder analysis, a customer profile analysis, and any other key factors
that will impact the work of the department.
An internal analysis consists of a business practice analysis that assesses major products
and services and core processes (program and process); customer satisfaction and citizen
engagement. This discusses and addresses core businesses at a departmental and process
level.
The financial environment such as: current/existing revenues and expenditures; projected
revenues and expenditures; revenue generating opportunities and cost benefits; "Key
Ratios, Analyses and Measures" used within the field; and future financial issues which
could impact performance.
Resource, facility and equipment analysis, i.e. the physical capital needed for
departmental operations.
A competencies analysis of human and technological competencies addressing such
topics as: core competencies; emerging competencies; retirement and succession issues;
workload trends; and labor pool trends and demographics.
An organizational values and norms analysis addressing working values; organizational
trust; work climate and leadership assessment, i.e. what leadership roles do we need to
assume?
Risk and threat assessment of any legal issues; revenue/expenditures issues; staffing
issues; potential actions by other entities; regulatory issues and any disaster -related
issues.
Based on this assessment a work plan is developed which addresses the following components:
Deliverables which includes a description of the deliverable, a brief statement of
methodology as to how the deliverable will be produced, timelines, assignments and
dedicated resources per deliverable, budget, key quality and performance indicators and
8
assignment of operational responsibility. Deliverables may take many forms ranging
from services to processes to enhanced competencies.
Community engagement plan which includes a plan for customer satisfaction data with
respect to existing services (how it will be obtained; how it will be used); community
preference and priority data (with respect to new or changed services); citizen
engagement and development and how public communication and education will occur if
appropriate.
Organizational capacity building plan which addresses internal process changes to
facilitate plan, partnership and collaboration needs, any succession management issues,
any needed technology support and any organizational or employee morale and job
satisfaction topics that need to be addressed. This element also discusses how to better
engage staff toward high performance.
To develop the plans the following steps are proposed:
Business Planning Workshop 1: Facilitator training
The purpose of this workshop is to enhance the internal capacity of the City to engage in
business planning. A staff member or members from each department will be trained in the
process of developing a business plan. They will serve as the liaison between the consultants and
the departments as the business plans are revised. These facilitators will post -workshop organize
internal teams from each department who will be responsible for development of the business
plans. It is important to note that strategic goals may cross departmental lines. In these cases
cross departmental teams may need to be organized to develop a complete business plan.
Business Planning Workshop 2: External assessment
This workshop will bring together all the departmental teams that will work in their teams to
complete an external assessment using a structured process. Teams will work at their own pace
in completing the elements of the external assessment. Facilitators will keep notes and provide a
written summary addressing the topics of the external assessment.
Business Planning Workshop 3: Internal assessment
This workshop will follow the processes of Workshop 2 but focus on internal assessment.
Business Planning Workshop 4: Deliverables
This workshop will follow the processes of Workshop 2 but focus on deliverables.
Business Planning Workshop 5: Community engagement
This workshop will follow the processes of Workshop 2 but focus on community engagement.
9
Business Planning Workshop 6: Capacity building and staff engagement
This workshop will follow the processes of Workshop 2 but focus on capacity building.
The completed business plans will then be presented to the executive staff by department heads
on a schedule to be developed.
Task Ten Deliverables: Workshops
Task Eleven: Strategic budgeting
The purpose of this task is to review the City's budgeting process in the context of the strategic
plan and how to ensure that the priorities of the plan are addressed during budget development.
There are a variety of processes for addressing this intent. It is proposed that a workshop be
conducted with budget staff to review approaches and develop a recommended approach.
Task Eleven Deliverable: Strategic budgeting workshop
Task Twelve: Analytics, performance and impact indicators
In this task the business plan indicators, financial indicators, organizational measures and
community indicators will be framed as a balanced scorecard so that the City can monitor
progress as related to the goals and objectives of the City. The development of a cascading
balanced scorecard system is a multi-year project, often involving the implementation of
specialized software. The intent of this task is to review the scorecard approach in various
formats and the options the City has for development of a balanced scorecard. The product of
this task will be a plan for how the City will finalize the analytics that will be useful for
managing the strategic plan and overall city operations. The primary activity of this task will be a
workshop with staff on public sector analytics and techniques such as the balanced scorecard.
The process of selecting metrics and which metrics are selected build upon prior core business
discussions and serve to further clarify and validate the core businesses of the City.
Task Twelve Deliverable: Workshop
Task Thirteen: Organizational structure
Once the goals and strategies are delineated, the structure of the organization should be reviewed
to determine if it is consistent with the intent and direction of the strategic plan. A number of
options are available ranging from assigning goals to departments to creating cross functional
teams with strategic assignments. This task will be completed through a workshop with staff
designed to review options and create a model that would serve the City well.
The timing of this workshop will be decided by the project management group. In some cases
this event should occur prior to business planning in the event that a re -structuring occurs it
10
precedes business plan development. In other cases the process of business planning makes the
options and needs for re -structuring clearer.
A key variable to be considered during this discussion is the core businesses of the City. The
workshop usually begins with a review and validation of the core businesses since the structure
is built in part upon ensuring those core businesses succeed.
Task Thirteen Deliverable: Workshop and proposed organizational structure
Task Fourteen: Continuous High Performance
The premise of this task is that high performance is not a state to be achieved once and for all but
a continuous effort to increase productivity, enhance quality, and build and maintain the
confidence of the public. The purpose of this task is to review the mechanisms that organizations
use to build and maintain high performance and identify how those mechanisms are and can be
further applied to the operations of city government. The scope of this topic encompasses
leadership models at all levels, communicating core values and translating those values into
behaviors, building a culture of engagement and open communication, process redesign and
performance feedback loops.
The major activity of this task will be a workshop in which the strategic and business plans,
organizational structure and organizational dynamics are assessed from a high performance
perspective. The intent is to determine if there are additional needed changes that are either not
addressed or inconsistently addressed in the work to date so that Round Rock is focused on high
performance. The workshop will further seek to prioritize two to three steps that the City should
take in the near future to enhance its high performance efforts. Finally, the workshop will
address steps and schedules to keep the strategic plan and business plans up to date.
Task Fourteen Deliverable: Workshop, steps for high performance
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EXHIBIT "B"
TIMELINE
Table One provides a project timeline. The project can be completed by February 2009 assuming
staff participation can occur within the proposed timeframe.
Table 1: Project Time Frame
Task # Task Title Month
1 Project organization & initial data collection 1
2 Issues & Opportunities analysis 1
3 Organizational assessment 1
4 Issues & Opportunities workshop 1 2
5 Issues & Opportunities workshop 2 2
6 Council workshop preparation 2
7 Council workshop 3
8 Strategic plan development & testing 3
9 Strategic plan endorsement 4
10 Business and operational plan development 5 & 6
11 Strategic budgeting 6
12 Analytics 6
13 Organizational structure 7
14 Continuous high performance 7
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EXHIBIT "C"
FEES
Table 2: Project Fees
Task # Task Title Fee
1 Project organization & initial data collection $ 7,500
2 Issues & Opportunities analysis $ 7,500
3 Organizational assessment $ 5,000 [see note 1 ]
4 Issues & Opportunities workshop 1 $ 7,500
5 Issues & Opportunities workshop 2 $ 7,500
6 Council workshop preparation $ 2,500
7 Council workshop $ 2,500
8 Strategic plan development & testing $ 6,000
9 Strategic plan endorsement $ 2,500
10 Business and operational plan development $22,000
11 Strategic budgeting $ 2,500
12 Analytics $ 5,000
13 Organizational structure $ 2,500
14 Continuous high performance $ 2,500
Professional Fees $83,000 [see note 2]
Note 1: This fee is for the consultant's time. There may be other costs of administration
depending upon the selected method.
Note 2: Travel costs will be reimbursed at actual cost for out-of-pocket expenses. They
will be capped at 25% of the professional fee.
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RFP 08-023
Specification Number
08-918-00
April 2008
CITY OF ROUND ROCK
REQUEST FOR PROPOSALS
STRATEGIC PLANNING AND FACILITATION SERVICES
PART I
GENERAL INFORMATION
1. PURPOSE
The City of Round Rock, Texas requests the submission of proposals from professional service consultants
for facilitation and strategic planning advisory services.
2. DEFINITIONS: The following definitions will be used for identified terms throughout the specification and
proposal document:
2.1. Agreement — a mutually binding legal document obligating the Vendor to furnish the goods,
equipment or services, and obligating the City to pay for it.
2.2. City — identifies the City of Round Rock, Travis and Williamson Counties, Texas.
2.3. Deliverables - the goods, products, materials, and/or services to be provided to the City by Proposer if
awarded the agreement.
2.4. Professional Services - services that use skills that are predominantly mental or intellectual, rather
than physical or manual; including, but not limited to, accounting, architecture, land surveying, law,
medicine, optometry and professional engineering.
2.5. Proposal - a complete, properly signed response to a Solicitation that if accepted, would bind the
Proposer to perform the resulting agreement.
2.6. Proposer - identifies persons and entities that submit a proposal.
2.7. Purchase Order - is an order placed by the Purchasing Office for the purchase of Goods or Services
written on the City's standard Purchase Order form and which, when accepted by the Proposer,
becomes an agreement. The Purchase Order is the Proposer's authority to deliver and invoice the
City for Gopds or Services specified, and the City's commitment to accept the Goods or Services
for an agreed upon price.
2.8. Services - work performed to meet a demand. The furnishing of labor, time, or effort by the vendor
and their ability to comply with promised delivery dates, specification and technical assistance
specified
2.9. State — identifies the State of Texas.
2.10. Subcontractor - any person or business enterprise providing goods, labor, and/or services to a
Vendor if such goods, equipment, labor, and/or services are procured or used in fulfillment of the
Vendor's obligations arising from an agreement with the City.
2.11. Vendor (sometimes referred to as Contractor) - a person or business enterprise providing goods,
equipment, labor and/or services to the City as fulfillment of obligations arising from an agreement
or purchase order.
EXHIBIT
RFP 08-023
Specification Number
08-918-00
April 2008
3. CONFLICT OF INTEREST
Effective January 1, 2006, Chapter 176 of the Texas Local Government Code (House Bill 914) requires that
any vendor or person considering doing business with a local government entity disclose the vendor or
person's affiliation or business relationship that might cause a conflict of interest with a local government
entity. The Conflict of Interest Questionnaire form is available from the Texas Ethics Commission at
www.ethics.state.tx.us. Completed Conflict of Interest Questionnaires may be mailed or delivered by hand
to the City Secretary. If mailing a completed form, please mail to:
City of Round Rock
City Secretary
221 East Main
Round Rock, Texas 78664-5299
Any attempt to intentionally or unintentionally conceal or obfuscate a conflict of interest may automatically
result in the disqualification of the vendor's proposal.
4. CITY CONTACT:
All responses for Request for Proposals (RFP), as well as any questions, clarifications or requests for
general information are to be directed to:
Randy Barker
Purchasing Supervisor
221 East Main
Round Rock, TX 78664-5299
Telephone (512) 218-3295
Fax (512) 218-7028
rb a rk a rA ro a n d -ro c k. tx. u s
The individual above may be telephoned for clarification of the specifications of this Request for Proposals
only. No authority is intended or implied that specifications may be amended or alternates accepted prior to
closing date without written approval of the City. Under no circumstances will private meetings be scheduled
between Proposer and city staff.
5. EX PARTE COMMUNICATION:
Please note that to insure the proper and fair evaluation of a proposal, the City of Round Rock prohibits ex
parte communication (e.g., unsolicited) initiated by the Proposer to a City Official or Employee evaluating or
considering the proposals prior to the time a formal decision has been made. Questions and other
communication from vendors will be permissible until 5:00 pm on the day specified as the deadline for
questions. Any communication between Proposer and the City after the deadline for questions will be
initiated by the appropriate City Official or Employee in order to obtain information or clarification needed to
develop a proper and accurate evaluation of the proposal. Ex parte communication may be grounds for
disqualifying the offending Proposer from consideration or award of the solicitation then in evaluation, or any
future solicitation.
6. PROPOSAL SCHEDULE
It is the City's intention to comply with the following proposal timeline:
6.1. Request for Proposals released
6.2. Deadline for questions
6.3. City response to all questions/addendums
6.4. Responses for RFP due by 3:00 p.m.
6.5. Interview finalists
6.6. Contract Awarded
6.7. Consultant Work Begins
Page 2 of 8
April 29, 2008
May 9, 2008
May 14, 2008
May 20, 2008
May 27-30, 2008
No later than June 27, 2008
June 30, 2008
RFP 08-023
Specification Number
08-918-00
April 2008
NOTE: These dates represent a tentative schedule of events. The City reserves the right to modify these
dates at any time, with appropriate notice to prospective Proposer.
All questions regarding the RFP shall be submitted in writing (either electronically, fax, or regular mail) by
5:00 pm on May 9, 2008 to above named City Contact. All interested firms will be provided with a copy of
the questions submitted and the City's response. Questions shall be submitted to the contact named above.
7. PROPOSAL DUE DATE:
7.1. Sealed proposals are due no later than 3:00 p.m., May 20, 2008 to the office of the Purchasing
Department. Mail or carry sealed proposals to:
City of Round Rock, Texas
221 East Main
Round Rock, Texas 78664-5299
7.2. Proposals received after this time and date will not be considered.
7.3. Sealed proposals should be clearly marked on the outside of packaging "DO NOT OPEN — RFP
08-023 STRATEGIC PLANNING AND FACILITATION SERVICES".
7.4. Facsimile or electronically transmitted proposals are not acceptable.
7.5. Each proposal and each proposal variation shall be submitted in one (1) original and ten (10)
copies.
8. PROPOSAL SUBMISSION REQUIREMENTS: Interested and qualified firms or teams shall:
8.1. Submit one (1) original and ten (10) copies of materials that demonstrate their experience in
performing projects of this scale and complexity.
8.2. Documentation shall include:
8.2.1. Identification of the firm/team responding to the RFP to include a brief summary of
team member experiences.
8.2.2. A summary demonstrating the firm's/team's qualifications to satisfy all the technical
areas identified in the specification.
8.2.3. A representative list of projects of a scale and complexity similar to the project being
considered by the city. The list should include the project location, client, services
provided by your firm for the project, term of sponsorship and an owner contact
name.
8.2.4. Project timeline outlining the steps the firm would take in the implementation of the
project.
8.3. Provide references: Provide the name, address, telephone number and point of contact of at least
three clients that have utilized the same or similar product and services within the last 2 years.
References may be checked prior to award. Any negative responses received may result in
disqualification from consideration for award. Failure to include references with submittal may
result in disqualification from consideration for award.
8.4. Identify any subcontractors to be used for this project. Experience, qualifications and references of
the subcontractors shall be submitted. The City reserves the right to approve or disapprove all
subcontractors prior to any work being performed.
9. CONFIDENTIALITY OF PROPOSAL CONTENT
9.1. All proposals submitted in response to this RFP shall be held confidential until an agreement is
awarded. Following the agreement award, proposals are subject to release as public information
unless the proposal or specific parts of the proposal can be shown to be exempt from the Texas
Page 3 of 8
RFP 08-023
Specification Number
08-918-00
April 2008
Public Information Act. Proposers are advised to consult with their legal counsel regarding
disclosure issues and take the appropriate precautions to safeguard trade secrets or any other
9.2. proprietary information. The City assumes no obligation or responsibility for asserting legal
arguments on behalf of potential Proposers.
9.3. If a Proposer believes that a proposal or parts of a proposal are confidential, then the Proposer
shall so specify. The Proposer shall stamp in bold red letters the term "CONFIDENTIAL" on that
part of the proposal, which the Proposer believes to be confidential. Vague and general claims as
to confidentiality shall not be accepted. All proposals and parts of proposals that are not marked as
confidential will be automatically considered public information after the agreement is awarded.
10. CLARIFICATION OF PROPOSALS
10.1. The City reserves the right to request clarification or additional information specific to any proposal
after all proposals have been received.
11. EVALUATION CRITERIA: All proposals received shall be evaluated based on the best value for the City by
considering all or part of the criteria listed below, as well as any relevant criteria specifically listed in the
solicitation:
11.1. Price;
11.2. Long-term cost to the City to acquire Proposer's goods and services;
11.3. The extent to which the goods or services meet the City's needs;
11.4. Completeness, technical competence and clarity of the proposal;
11.5. Project process and outline;
11.6. Reputation of the Proposer and the Proposer's services;
11.7. Technical expertise;
11.8. Client list/sponsor reference and experience;
11.9. Proposer's past relationship with the City. All vendors will be evaluated on their past performance
and prior dealings with the City to include, but not limited to, failure to meet specifications, poor
quality, poor workmanship, late delivery.
12. EVALUATION PROCESS
12.1. A committee comprised of City Staff and others as appropriate will review the responses to the RFP
and may develop a short list of firms/teams.
12.2. Interviews and/or demonstrations may be conducted with any responding firms/teams to discuss
their qualifications, resources, and availability to provide the services requested.
12.2.1. Upon completion of the evaluation, the selection committee may recommend a firm/team
for the project identified.
12.2.2. An agreement with the recommended firm/team for the project will then be negotiated.
This process will be completed with the City Council's authorization to the Mayor for the
execution of the agreement or the execution of the agreement by the City Manager.
12.3. The City of Round Rock will not provide compensation or defray any cost incurred by any firm
related to the response to this request. The City of Round Rock reserves the right to negotiate with
any and all persons or firms. The City of Round Rock also reserves the right to reject any or all
proposals, or to accept any proposal deemed most advantageous, or to waive any irregularities or
informalities in the proposal received, and to revise the process and/or schedule as circumstances
require.
Page 4 of 8
RFP 08-023
Specification Number
08-918-00
April 2008
PART II
GENERAL TERMS AND CONDITIONS
1. PRICE: The agreement price shall be firm for the duration of the agreement or extension periods except as
provided for in paragraph below. No separate line item charges shall be permitted for either proposal or
invoice purposes, which shall include equipment rental, demurrage, costs associated with obtaining permits
or any other extraneous charges.
4. INTERLOCAL COOPERATIVE CONTRACTING
Other governmental entities within the State of Texas may be extended the opportunity to purchase off of the
City of Round Rock's solicitation, with the consent and agreement of the successful vendor(s) and the City of
Round Rock. Such consent and agreement shall be conclusively inferred from lack of exception to this clause in
vendor's response. However, all parties indicate their understanding and all parties hereby expressly agree that
the City of Round Rock is not an agent of, partner to, or representative of those outside agencies or entities and
that the City of Round Rock is not obligated or liable for any action or debts that may arise out of such
independently -negotiated "piggyback" procurements.
5. INDEMNIFICATION: The successful Proposer shall indemnify, save harmless and exempt the City, its
officers, agents, servants, and employees from and against any and all suits, actions, legal proceedings,
claims, demands, damages, costs, expenses, attorney fees and any and all other costs or fees incident to
any work done as a result of this quote and arising out of a willful or negligent act or omission of the
successful Proposer, its officers, agents, servants, and employees; provided, however, that the successful
Proposer shall not be liable for any suits, actions, legal proceedings, claims, demands, damages, costs,
expenses and attorney fees arising out of a willful or negligent act or omission of the City, it's officers,
agents, servants and employees, or third parties.
6. INSURANCE: The successful Proposer shall meet or exceed ALL insurance requirements set forth by the
City of Round Rock as identified in Attachment A to the specifications. Any additional insurance
requirements of participating or cooperative parties will be included as subsequent Attachments and shall
require mandatory compliance.
7. VENUE: The agreement shall be governed by and construed in accordance with the laws of the State of
Texas. Venue shall be in the applicable court, Williamson County, Texas.
8. DISCLOSURE OF LITIGATION
8.1. Each Proposer shall include in its proposal a complete disclosure of any civil or criminal litigation or
investigation pending which involves the Proposer or in which the Proposer has been judged guilty.
9. RIGHT TO REPRODUCE DOCUMENTATION AND OTHER INFORMATION
9.1. The City shall have the right to reproduce any and all manuals, documentation, software or other
information stored on electronic media supplied pursuant to the agreement at no additional cost to
the City, regardless of whether the same be copyrighted or otherwise restricted as proprietary
information; provided, however, that such reproductions shall be subject to the same restrictions on
use and disclosure as are set forth in the agreement.
9.2. The Awarded Proposer agrees to execute any non-exclusive copyright assignments or
reproduction authorizations that may be necessary for the City to utilize the rights granted in this
subparagraph.
Page 5 of 8
RFP 08-023
Specification Number
08-918-00
April 2008
10. INDEPENDENT CONTRACTOR
10.1. It is understood and agreed that the Contractor shall not be considered an employee of the City.
10.2. The Contractor shall not be within protection or coverage of the City's Worker' Compensation
insurance, Health Insurance, Liability Insurance or any other insurance that the City from time to
time may have in force and effect.
PART III
SPECIFICATIONS
1. BACKGROUND INFORMATION
The City of Round Rock is a "home -rule" city under the laws of the State of Texas and charter approved by
voters. The City operates under a Council/Manager form of government where the Mayor and six
Councilmembers are elected at -large. The Council formulates policy for the City while the City Manager is
the chief administrative officer. Located 8 miles north of Austin and in one of the fastest growing counties in
the nation, Round Rock serves over 94,000 residents with an estimated build -out population at
approximately 250,000. The City's services include maintaining order and enforcing laws, fire response,
emergency medical response (not ambulatory services), open space and park facilities, recreational
facilities, constructing and maintaining urban infrastructure, library services and water and wastewater
services. These services are provided through seventeen general fund and nine utility fund operating
departments.
For years the City has operated under a strategic perspective and developed and utilized strategic plans for
carrying out its core services. The most recent City-wide effort was a 10 year operational plan process
started in the fall of 2005 whereby input from over 600 citizens was received. Some departments have also
created departmental strategic and operational plans. In addition to the planning efforts, the City of Round
Rock has embraced the high performing organization philosophy. Over 70 current City employees have
attended the Leading, Educating and Developing (LEAD) program at the Weldon Cooper Center for Public
Service at University of Virginia. The program focuses on introducing employees to the high performance
philosophy as well as the importance of leadership at every level of the organization to encourage positive
organizational growth and evolution. City staff has already completed a tremendous amount of work to
incorporate this philosophy in the organization; however, a complete plan connecting strategic, leadership
and operational objectives is needed.
Building on its previous success, the assistance sought in the RFP is intended to assist the City develop a
comprehensive strategic plan that not only meets the goals and objectives of the City Council but also
incorporates the City's high performance philosophy. This plan will also be used to guide the City in
developing the future structure of the organization and strategically focus the City.
The City has completed several components of strategic planning including bi-annual updating of strategic
Council goals, gathering a significant amount of input from the public and development of existing
departmental strategic plans. This information will be made available to the selected consultant and is
expected to be utilized in the development of the updated strategic plan.
Information about the City of Round Rock, Texas and the 10 year operations plan process can be found on
the City of Round Rock website at www.roundrocktexas.gov. Additional information regarding the University
of Virginia Leading, Educating And Developing (LEAD) Program referenced in the specifications is available
online at http://www.coopercenter.orq/leadership/index.Php.
2. PROJECT GOALS
2.1. The goals of this project include, but are not necessarily limited to:
2.1.1. Development of a comprehensive strategic plan that not only meets the goals and
objectives of the City Council but also incorporates the City's high performance
philosophy.
2.1.2. Assessment of organizational culture and leadership philosophy as it relates to the
strategic plan.
Page 6 of 8
RFP 08-023
Specification Number
08-918-00
April 2008
2.1.3. Assess and facilitate discussions on the organizational structure as it relates to meeting
strategic goals and providing core services.
2.2. Resulting from this project, the City should be able to:
2.2.1. Improve management practices to accomplish strategic goals and objectives.
2.2.2. Improve operational performance
2.2.3. Improve customer satisfaction
2.2.4. Improve employee engagement
2.2.5. Improve the measurement of operational and financial results as related to the goals and
objectives of the City
3. SCOPE OF SERVICES:
The City of Round Rock, Texas requests the submission of proposals from professional service consultants
for facilitation and strategic planning advisory services.
3.1. The City views the following as key deliverables of this process:
3.1.1. Provide a project timeline outlining the steps the firm would take in the implementation of
the project.
3.1.2. Facilitate sessions framing issues and opportunities for the City
3.1.3. Facilitate at least one session updating existing Council strategic priorities.
3.1.4. Create and publish Strategic Plan
3.1.5. Identify core businesses.
3.1.6. Facilitate the design of the organizational structure
3.1.7. Establish framework for development of operational plan.
4. ORGANIZATIONAL PROFILE
4.1. Project Organization
4.1.1. Vendor shall describe project organization for the project.
4.1.2. Vendor shall include organizational structure resources available, including number of
staff and locations.
4.2. Key Personnel
4.2.1. Vendor shall include the names and resumes for all key personnel who shall be
involved in this project.
4.2.2. Resumes shall describe relevant experience in facilitation and development of
strategic plan as identified in PART I11, SPECIFICATIONS, 2. Project Goals and 3.
Scope of Services.
4.3. Change of Project Personnel
4.3.1. Any change of assignment or responsibility for employees identified as key personnel
in this project are subject to prior notification and approval by the City.
Page 7 of 8
1. INVOICING
1.1.
RFP 08-023
Specification Number
08-918-00
April 2008
PART IV
INVOICE AND PAYMENT
Contractor shall submit one original and two copies of each invoice referencing the assigned
Purchase Order number to the following address:
City of Round Rock
Accounts Payable
221 East Main
Round Rock, TX 78664-5299
2. PROMPT PAYMENT POLICY
2.1. Payments will be made within thirty days after the City receives the supplies, materials, equipment,
or the day on which the performance of services was completed or the day, on which the City
receives a correct invoice for the service, whichever is later. The Contractor may charge a late fee
(fee shall not be greater than that which is permitted by Texas law) for payments not made in
accordance with this prompt payment policy; however, this policy does not apply to payments made
by the City in the event:
2.1.1. There is a bona fide dispute between the City and Contractor concerning the supplies,
materials, services or equipment delivered or the services performed that causes the
payment to be late; or
2.1.2. The terms of a federal contract, grant, regulation, or statute prevent the City from making
a timely payment with Federal Funds; or
2.1.3. There is a bona fide dispute between the Contractor and a subcontractor or between a
subcontractor and its suppliers concerning supplies, material, or equipment delivered or
the services performed which caused the payment to be late; or
2.1.4. The invoice is not mailed to the City in strict accordance with instructions, if any, on the
purchase order or agreement or other such contractual agreement.
3. OVERCHARGES
3.1. Contractor hereby assigns to purchaser any and all claims for overcharges associated with this
purchase which arise under the antitrust laws of the United States, 15 USGA Section 1 et sec ., and
which arise under the antitrust laws of the State of Texas, Bus. and Com. Code, Section 15.01, et
seq.
Page 8 of 8
ATTACHMENT A
City of Round Rock
Insurance Requirements
ATTACHMENT A
CITY OF ROUND ROCK
INSURANCE REQUIREMENTS
1. INSURANCE: The Vendor shall procure and maintain at its sole cost and expense for the duration
of the contract or purchase order resulting from a response to this bid/Specification insurance
against claims for iniuries to persons or damages to property which may arise from or in
connection with the performance of the work as a result of this bid by the successful bidder, its
agents, representatives, volunteers, employees or subcontractors.
1.1. Certificates of Insurance and endorsements shall be furnished to the City and approved
by the City before work commences.
1.2. The following standard insurance policies shall be required:
1.2.1. General Liability Policy
1.2.2. Automobile Liability Policy
1.2.3. Worker's Compensation Policy
1.3. The following general requirements are applicable to all policies:
1.3.1. Only insurance companies licensed and admitted to do business in the State of
Texas shall be accepted.
1.3.2. Deductibles shall be listed on the Certificate of Insurance and are acceptable
only on a per occurrence basis for property damage only.
1.3.3. Claims made policies shall not be accepted, except for Professional Liability
Insurance.
1.3.4. Upon request, certified copies of all insurance policies shall be furnished to the
City
1.3.5. Policies shall include, but not be limited to, the following minimum limits:
1.3.5.1. Minimum Bodily Injury Limits of $300,000.00 per occurrence.
1.3.5.2. Property Damage Insurance with minimum limits of $50,000.00 for
each occurrence.
1.3.5.3. Automobile Liability Insurance for all owned, non -owned, and hired
vehicles with minimum limits for Bodily Injury of $100,000.00 each
person, and $300,000.00 for each occurrence, and Property
Damage Minimum limits of $50,000.00 for each occurrence.
1.3.5.4. Statutory Worker's Compensation Insurance and minimum
$100,000.00 Employers Liability Insurance.
1.3.6. Coverage shall be maintained for two years minimum after the termination of the
Contract.
1.4. The City shall be entitled, upon request, and without expense to receive copies of
insurance policies and all endorsements thereto and may make reasonable request for
deletion, revision, or modification of particular policy terms, conditions, limitations, or
exclusions (except where policy provisions are established by law or regulation binding
either of the parties hereto or the underwriter of any of such policies). Upon such request
by the City, the Vendor shall exercise reasonable efforts to accomplish such changes in
policy coverage and shall pay the cost thereof. All insurance and bonds shall meet the
requirements of the bid specification and the insurance endorsements stated below.
1.5. Vendor agrees that with respect to the required insurance, all insurance contracts and
certificate(s) of insurance will contain and state, in writing, on the certificate or its
attachment, the following provisions:
Page 1 of 4
1.5.1. Provide for an additional insurance endorsement clause declaring the Vendor's
insurance as primary.
1.5.2. Name the City and its officers, employees, and elected officials as additional
insured's, (as the interest of each insured may appear) as to all applicable
coverage.
1.5.3. Provide thirty days notice to the City of cancellation, non -renewal, or material
changes
1.5.4. Remove all language on the certificate of insurance indicating:
1.5.4.1. That the insurance company or agent/broker shall endeavor to notify
the City; and,
1.5.4.2. Failure to do so shall impose no obligation of liability of any kind
upon the company, its agents, or representatives.
1.5.5. Provide for notice to the City at the addresses listed below by registered mail:
1.5.6. Vendor agrees to waive subrogation against the City, its officers, employees,
and elected officials for injuries, including death, property damage, or any other
loss to the extent same may be covered by the proceeds of insurance.
1.5.7. Provide that all provisions of this contract concerning liability, duty, and standard
of care together with the indemnification provision, shall be underwritten by
contractual liability coverage sufficient to include such obligations within
applicable policies.
1.5.8. All copies of the Certificate of Insurance shall reference the project name, bid
number or purchase order number for which the insurance is being supplied.
1.5.9. Vendor shall notify the City in the event of any change in coverage and shall
give such notices not less than thirty days prior notice to the change, which
notice shall be accomplished by a replacement Certificate of Insurance.
1.5.10. All notices shall be mailed to the City at the following addresses:
Assistant City Manager City Attorney
City of Round Rock City of Round Rock
221 East Main 309 East Main
Round Rock, TX 78664-5299 Round Rock, TX 78664
2. WORKERS COMPENSATION INSURANCE
2.1. Texas Labor Code, Section 406.098 requires workers' compensation insurance coverage
for all persons providing services on building or construction projects for a governmental
entity.
2.1.1. Certificate of coverage ("certificate") -A copy of a certificate of insurance, a
certificate of authority to self -insure issued by the Texas Workers' Compensation
Commission, or a coverage agreement (TWCC-81, TWCC-82, TWCC-83, or
TWCC-84), showing statutory workers' compensation insurance coverage for
the person's or entity's employees providing services on a project, for the
duration of the project.
2.1.2. Duration of the project - includes the time from the beginning of the work on the
project until the CONTRACTOR'S /person's work on the project has been
completed and accepted by the OWNER.
2.2. Persons providing services on the project ("subcontractor") in Section 406.096 - includes
all persons or entities performing all or part of the services the CONTRACTOR has
undertaken to perform on the project, regardless of whether that person contracted
directly with the CONTRACTOR and regardless of whether that person has employees.
This includes, without limitation, independent contractors, subcontractors, leasing
companies, motor carriers, owner -operators, employees of any such entity, or employees
of any entity, which furnishes persons to provide services on the project. "Services"
include, without limitation, providing, hauling, or delivering equipment or materials, or
providing labor, transportation, or other service related to a project. "Services" does not
Page 2 of 4
include activities unrelated to the project, such as food/beverage vendors, office supply
deliveries, and delivery of portable toilets.
2.3. The CONTRACTOR shall provide coverage, based on proper reporting of classification
codes and payroll amounts and filing of any coverage agreements, that meets the
statutory requirements of Texas Labor Code, Section 401.011(44) for all employees of the
CONTRACTOR providing services on the project, for the duration of the project.
2.4. The CONTRACTOR must provide a certificate of coverage to the OWNER prior to being
awarded the contract.
2.5. If the coverage period shown on the CONTRACTOR'S current certificate of coverage
ends during the duration of the project, the CONTRACTOR must, prior to the end of the
coverage period, file a new certificate of coverage with the OWNER showing that
coverage has been extended.
2.6. The CONTRACTOR shall obtain from each person providing services on a project, and
provide to the OWNER:
2.6.1. a certificate of coverage, prior to that person beginning work on the project, so
the OWNER will have on file certificates of coverage showing coverage for all
persons providing services on the project; and
2.6.2. no later than seven calendar days after receipt by the CONTRACTOR, a new
certificate of coverage showing extension of coverage, if the coverage period
shown on the current certificate of coverage ends during the duration of the
project.
2.7. The CONTRACTOR shall retain all required certificates of coverage for the duration of
the project and for one year thereafter.
2.8. The CONTRACTOR shall notify the OWNER in writing by certified mail or personal
delivery, within 10 calendar days after the CONTRACTOR knew or should have known,
or any change that materially affects the provision of coverage of any person providing
services on the project.
2.9. The CONTRACTOR shall post on each project site a notice, in the text, form and manner
prescribed by the Texas Workers' Compensation Commission, informing all persons
providing services on the project that they are required to be covered, and stating how a
person may verify coverage and report lack of coverage.
2.10. The CONTRACTOR shall contractually require each person with whom it contracts to
provide services on a project, to:
2.10.1. provide coverage, based on proper reporting of classification codes and payroll
amounts and filing of any coverage agreements, that meets the statutory
requirements of Texas Labor Code, Section 401.011(44) for all its employees
providing services on the project, for the duration of the project;
2.10.2. provide to the CONTRACTOR, prior to that person beginning work on the
project, a certificate of coverage showing that coverage is being provided for all
employees of the person providing services on a project, for the duration of the
project;
2.10.3. provide the CONTRACTOR, prior to the end of the coverage period, a new
certificate of coverage showing extension of coverage, if the coverage period
shown on the current certificate of coverage ends during the duration of the
project;
2.10.3.1. obtain from each other person with whom it contracts, and provide to
the CONTRACTOR:
2.10.3.1.1.
2.10.3.1.2.
a certificate of coverage, prior to the other person
beginning work on the project; and
a new certificate of coverage showing extension of
coverage, prior to the end of the coverage period, if
the coverage period shown on the current certificate
of coverage ends during the duration of the project
Page 3 of 4
2.10.3.2. retain all required certificates of coverage on file for the duration of
the project and for one year thereafter;
2.10.3.3. notify the OWNER in writing by certified mail or personal delivery,
within 10 calendar days after the person knew or should have
known, of any change that materially affects the provision of
coverage of any person providing services on the project; and
2.10.3.4. contractually require each person with whom it contracts, to perform
as required by paragraphs (A thru G), with the certificates of
coverage to be provided to the person for whom they are providing
services.
2.10.3.5. By signing the solicitation associated with this specification, or
providing, or causing to be provided a certificate of coverage, the
Contractor is representing to the Owner that all employees of the
Contractor who will provide services on the project will be covered
by workers' compensation coverage for the duration of the project,
that the coverage will be based on proper reporting of classification
codes and payroll amounts, and that all coverage agreements will
be filed with the appropriate insurance carrier or, in the case of a
self-insured, with the Commission's Division of Self -Insurance
Regulation. Providing false or misleading information may subject
the Contractor to administrative penalties, criminal penalties, civil
penalties, or other civil actions.
2.10.3.6. The Contractor's failure to comply with any of these provisions is a
breach of contract by the Contractor that entitles the Owner to
declare the contract void if the Contractor does not remedy the
breach within ten calendar days after receipt of notice of breach
from the owner.
Page 4 of 4
08-023 CITY RESPONSE TO SUBMITTED QUESTIONS
1. Can you please define "strategic planning advisory services" as it is used in Section 1, Purpose on page 1?
CITY RESPONSE:
Please see PART III, Section 3, Scope of Services, Page 7.
2. Does the City have a specific timeframe in which it would like all work on the project to be completed?
CITY RESPONSE:
We are anticipating a completion date before February 1, 2009. While we would prefer to complete
the project as quickly as possible, we realize cost factors and proposed vendor approach will determine
eventual timeline.
3. Is there a budget cap (or upper limit) on what is available to support the project?
CITY RESPONSE:
No definitive budget has been determined for this project at this time but will evolve based on the final
agreed scope of services,
4. Are you accepting proposals from out-of-state firms with a local partner involved on the project?
CITY RESPONSE:
Yes.
5. Regarding insurance requirements — Attachment A — Section 1.3 — has professional liability
insurance on a claims made basis at $500,000 per occurrence and a $1,000,000 total limit. We also have general
liability and hired and non -owned auto liability insurance. We have no employees but rather use contractors for
all jobs so we are not required to carry workers compensation insurance. We are covered by an insurance
company that is not licensed in the state of Texas but that would cover us for our work in the state of Texas.
Would we meet the insurance requirements to apply for this project? If no, what are some suggestions to meet
those insurance requirements?
CITY RESPONSE:
The insurance attachment provided with this solicitation is standard requirement for vendors doing
business with the City of Round Rock. We realize that not all elements pertain to services requested in
this solicitation and will evaluate each responders compliance individually. Please include detailed
information for any known exception to the requirements.
6. Will extra points be provided in the proposal evaluation process to consultants that have prior experience with the
City?
CITY RESPONSE:
Please see PART I, GENERAL INFORMATION, Section 11. EVALUATION CRITERIA, Item 11.9. Past
relationship with the City is just one of several criteria that may be used in the evaluation of proposals
received,
7. Section 2, Project Goals (pages 6-7) identifies three goals of the project, beginning with the development of a
comprehensive strategic plan (subsection 2.1.1), then assessin or anizational culture, leadership philosophy,
and organizational structure (subsections 2.1.2 and 2.1.3). typically conducts assessment
activities at the beginning of a strategic planning project. The information obtained from this assessment is used
to develop the strategic plan. Can you please clarify whether this order of activities would meet the City's goals?
CITY RESPONSE:
Vendor is expected to provide recommended approach to meet the goals in the RFP.
8. Can you please define "operational performance" as it is used in subsection 2.2.2.(page 7)?
CITY RESPONSE:
The city has no specific definition. This terrn is meant in the general business context of efficient and
effective performance
9. Can you please provide definitions of "strategic plan" used in subsection 3.1.4 (page 7) and "operational plan"
used in Subsection 3.1.7 (page 7)?
CITY RESPONSE:
In a general sense:
Prescribes a comprehensive course of interrelated actions
Integrates that course into the realities of budgeting and business plans
Establishes measurement and review processes to assess progress
10. Can you please explain what you mean by "core businesses" in subsection 3.1.5 (page 7) and provide an
example?
CITY RESPONSE:
The city believes that there are essential functions organized to deliver services to our citizens. An
example of a "core business" would be Utilities,
11. Has the City of Round Rock formed a group or committee to work with the consultant on the strategic planning
process? If yes, who serves on this group or committee?
CITY RESPONSE:
Yes. The group will include City Manager, Assistant City Manager, Department Directors and other
personnel to be determined.
12. With respect to the 10 year operational planning process mentioned in the RFP:
a. Was there a written final plan document or report prepared? If so, is that available for review at this time?
CITY RESPONSE:
There was a final report referred to at the website in the RFP. There is no single document that compiles
each department's 10 year operational plan.
b. Did the City engage a planning consultant to design and facilitate that process? If yes, who? If yes, will
that consultant or firm be allowed to propose on this project
CITY RESPONSE:
No. This was developed in hous
13. Item 2.2.5 addresses the identified need to improve the City's ability to measure strategic goal attainment in
financial and operational terms. Do you expect this project to result in the development of performance measures
and recommended performance management processes and procedures?
CITY RESPONSE:
Our expectations are the development of a framework for departments to use and follow to create their
own measurements.
14. Item 3.1.3 involves a facilitated session with the City Council to validate / update strategic priorities. How and
when were the existing 6 Strategic Goals for the city established? What is the current process for their review,
validation and update?
CITY RESPONSE:
The City Council updates strategic priorities every two years. There is not a formal review or
validation/update process. There is not a current process tying the priorities to departmental strategic
plans. One of the goals of this solicitation is to create a link between those items.
15. Are the several sub -goals for each of the six major strategic goal categories static or are they reviewed and
revised periodically? If so, how and by whom?
CITY RESPONSE:
Please see response to Question # 14.
16. The background information section states that "a complete plan connecting strategic, leadership and operational
objectives is needed." I interpret this to mean that your LEAD -inspired high performance philosophy is intended to
drive the linkage between strategic and operational goals. Is that correct? Can you provide some further
elaboration on this apparent gap between strategic planning and operational goal setting?
CITY RESPONSE
Yes. We are attempting to create a unified approach and view this as the next stage of development, thus
the necessity of the RFP.
17. You are requesting a "comprehensive strategic plan" that incorporates elements already in place to some greater
or lesser extent. What additional guidance can you give to help us scope the planning effort so as to avoid
duplication of work already accomplished? In other words, what aspects of a classical strategic planning effort do
you consider to already be in place, ie SWOT analysis, environmental scan, mission / vision / values, and so forth.
CITY RESPONSE:
Vendor should anticipate performing all elements of the planning effort. We have provided access to
information that may allow some insight into some of the work that has been done, but to achieve desired
results, it may be necessary to begin anew for all departments.
18. Item 3.1.2 calls for facilitated sessions for the purpose of "framing issues and opportunities for the City." Do you
anticipate that this effort will entail a public outreach component or is this seen only as an internal process?
CITY RESPONSE:
This is intended to be an internal process.
19. Can you please elaborate on the project goal of assessing the "organizational culture and leadership philosophy
as it relates to the strategic plan"? This is similar to question above in that it suggests that the gap between
strategic goal setting and tactical planning is a function of potential difficulty in overcoming cultural barriers.
CITY RESPONSE:
We believe the organizational culture, leadership philosophy and strategic plan are elements that are
connected within our organization and we desire consistent future alignment. Please see response to
Question # 16,
20. There is a theme of organizational restructuring that runs throughout the scope of services. See the general
introduction and items 2.1.3 and 3.1.6 specifically. Can you elaborate on the level of organizational / structural
assessment you envision? Are you looking for a reorganization plan if one appears warranted?
CITY RESPONSE:
We are seeking a strategic plan that will incorporate council priorities and core businesses. We expect
the selected firm to make assessments and/or recommendations on where organization change may be
necessary to best accomplish strategic organization and plan.
21. Item 3.1.5 asks the consultant to "Identify core businesses." It appears that the core businesses of the city have
been defined in previous efforts. Are you looking to affirm / validate the existing definition of "core" businesses or
do you expect that the definition of "core" has or will soon shift in some way?
CITY RESPONSE:
Yes. It is possible that the definition of "core" has or will shift. Please see response to Question # 10.
22. Item 3.1.7 requests the consultant to "establish framework for development of operational plan." Can you please
elaborate?
CITY RESPONSE:
Please see response to Question # 9.
23. What is your targeted period of performance?
CITY RESPONSE:
Please see response to Question # 2.
24. What is the anticipated overall level of effort in either hours or dollars terms?
CITY RESPONSE:
The answer to this question will be based on the vendor's approach in the proposal.
25. Is this a currently budgeted item?
CITY RESPONSE:
Please see response to Question # 3.
26. Who / which city office, will provide the overall executive sponsorship, guidance and support?
CITY RESPONSE:
City Manager will provide overall executive sponsorship, with guidance and support from City staff.
27. What is the anticipated period of performance for this project being that the approximate start date is June 30,
2008?
CITY RESPONSE:
Please see response to Question # 2.
28. How many people does the city currently employ in the 26 operating departments in addition to the six council
members, Mayor, and City Manager?
CITY RESPONSE:
829 employees as of last budget preparation.
29. What is the budget for this project? If there isn't a defined budget, can you provide a ballpark figure?
CITY RESPONSE:
Please see response to Question # 3.
30. Is there a specific due date for completion of the project?
CITY RESPONSE:
Please see response to Question # 2.
31. Do you envision having City Council members and staff in sessions together during the process? (e.g., sessions
indicated in 3.1.2 and 3.1.3)
CITY RESPONSE:
Yes.
32. In addition to developing a comprehensive strategic plan, are you also expecting the consultant to conduct an
organizational assessment to provide advice about the structure of the city with respect to providing core services
and meeting the goals?
CITY RESPONSE:
Yes
33. Can you be more specific about what is meant by "Establish framework for development of operational plan?"
CITY RESPONSE:
Please see response to Question #22,
34. Attachment A paragraph 1.2.3 identifies a Worker's Compensation Policy as being required of all vendors with the
City of Round Rock. Paragraph 2.1 states that the Texas Labor Code requires such coverage for all persons
providing services on building or construction projects for a government entity. Since this is not a building or
construction project, is a Worker's Compensation policy still required for all vendors?
CITY RESPONSE:
The insurance attachment provided with this solicitation is standard requirement for vendors doing
business with the City of Round Rock. Wo realize that not aU elements pertain to services requested in
this solicitation and will evaluate each responders compliance individually. Ptease include detailed
,nformaton for any known exception to the requirements.
35. The RFP mentions some eementsof the Strategic PIan — priorities, strategic goals and objectives.Is there a
complete list of the elements expected to be developed and included in the Strategic Plan?
CITY RESPONSE:
There is not a complete list at this time. Our expecttion is this wiU vary depending on vendor approach
to the project
36. WiII faculty or staif from LEAD participate in anyway in the Strategic Plan development process?
CITY RESPONSE:
No
ROUND ROCK, TEXAS
PURPOSE. PASSION. PROSPERITY
CITY OF ROUND ROCK, TEXAS
REQUEST FOR PROPOSALS ADDENDUM
STRATEGIC PLANNING and FACILITATION SERVICES
RFP No. 08-023
Addendum No. 1 Date of Addendum: May 7, 2008
The following items in the RFP identified above have been added:
PART I, GENERAL INFORMATION, Item 8, Proposal Submission Requirements:
a. Add 8.5 Proposal shall include pricing component consistent with identified
scope of work and desired deliverables.
All other terms and conditions of this RFP and the specifications remain unchanged.
Approved by: Randy Barker, Purchasing Supervisor 5/7/08
By the signatures affixed below, Addendum No. 1 is hereby incorporated into and made a part
of the above referenced RFP.
ACKNOWLEDGED
Vendor
Authorized Signature Date
RETURN ONE COPY OF THIS ADDENDUM TO THE PURCHASING OFFICE, CITY OF
ROUND ROCK WITH YOUR SEALED PROPOSAL. FAILURE TO DO SO MAY
CONSTITUTE GROUNDS FOR REJECTION OF YOUR PROPOSAL.
CITY OF ROUND ROCK, TEXAS
REQUEST FOR PROPOSALS ADDENDUM
STRATEGIC PLANNING and FACILITATION SERVICES
RFP No. 08-023
Addendum No. 1 Date of Addendum: May 7, 2008
The following items in the RFP identified above have been added:
PART I, GENERAL INFORMATION, Item 8, Proposal Submission Requirements:
a. Add 8.5 Proposal shall include pricing component consistent with identified
scope of work and desired deliverables.
All other terms and conditions of this RFP and the specifications remain unchanged.
Approved by:
By the signatures affixed below, Addendum No. 1 is hereby incorporated into and made a part
of the above referenced RFP.
ACKNOWLEDGED
S)Z��
Vendor Authorized Signature l ate
RETURN ONE COPY OF THIS ADDENDUM TO THE PURCHASING OFFICE, CITY OF
ROUND ROCK WITH YOUR SEALED PROPOSAL. FAILURE TO DO SO MAY
CONSTITUTE GROUNDS FOR REJECTION OF YOUR PROPOSAL.
Proposal to provide
STRATEGIC PLANNING AND FACILITATION
SERVICES
For the City of Round Rock, Texas
RFP 08-023
Submitted by:
Analytica
POB 998
Newberry, FL 32669
352 472 7171 Office
352 472 5687 Fax.
1
Table of Contents
Cover letter
Qualification and experience of the firm
• Technical competencies
• Representative projects
• Sub -contractor qualifications
3
5
5
10
12
Approach and timeline 12
• Phase One: Project Foundation 12
• Phase Two: Issue and Opportunity identification 15
• Phase Three: Strategic plan development and submission 17
• Phase Four: Strategy management for high performance 19
• Timeline 26
References 27
Sub -contractor 29
Organizational profile 29
Fees 30
Appendices
• A: Analytica Firm Description and complete work summary 31
• B: Competitive Performance Systems 42
• C: Resumes 43
• D: Working paper on strategy management 46
• E: Working paper - "Balanced Strategy" 56
• F: Working paper on writing mission, vision
and value statements S8
• Amendment One to the RFP
2
Analytica
POB 998
Newberry, FL 32669
May 15, 2008
Mr. Randy Barker, Purchasing Supervisor, City of Round Rock
221 East Main
Round Rock, TX 78664-5299
352 472 7171 Voice
352 472 5687 Fax
352 262 5222 CeII
Telephone (512) 218-3295 Fax (512) 218-7028
Re RFP 08-023 Strategic Planning and Facilitation Services
Dear Mr. Barker:
I am pleased to submit the firm's proposal to provide strategic planning and
facilitation services. I understand the intent of this project is to align strategic
direction with organizational culture, structure and processes so that the City
can perform at a high level and provide the leadership needed for the
community to continue moving forward on multiple fronts.
The firm specializes in the development of strategy management systems that
provide focus on for key results, align resources, policies and practices and
structure to achieve those results and provide feedback loops for continuous
improvement. The proposal itself provides a fuller definition of strategy
management but for the reader desiring a more detailed elaboration appendix D
provides a working paper on strategy management systems, appendix E
explains the firm's approach to the strategic planning element of a strategy
management and appendix F provides a guide to writing mission, vision and
value statements.
The principal of the firm, Dr. Herbert Marlowe, brings over thirty years of
experience in strategic planning, facilitation and organizational consulting on
performance, effectiveness and productivity. This experience has been
3
primarily in the public sector beginning with a 1972 project to prepare the U.S.
Navy for a changing society and world and continuing through current projects
such as the development of new collaborative public sector mechanisms to solve
such difficult and complex issues as water supply and transportation. In the
course of that work he has developed well over 50 strategic plans, facilitated
numerous workshops with both staff and governing bodies and instituted
strategy management systems for both municipal and county governments.
The sub -contractor for this project, Dr. Mary Gamble, has extensive experience
in quality improvement processes, serving as a judge for the Florida quality
award. In her own consulting work she has worked with a variety of
organizations in re -structuring their work to create more impact.
Should there be additional information or clarification needed please contact
me. Neither Dr. Gamble nor I have any business relationship with the City that
would be considered a conflict of interP5t. This proposal has been developed
independently of any other proposer. We carry the required insurances and will
provide those upon request and will meet any other requirements needed to
conduct the project.
Cordially,
Herbert A. Marlowe, Jr.
Principal
Cellphone: 352 262 5222
Email:
4
Qualifications and Experience of the Firm
The firm brings extensive experience and skills to this project. Analytica is a
sole proprietorship established in 1989 in Florida. Appendix A provides a full
list of clients and topic areas along with a narrative describing the firm, and a
list of publications by the firm's principal. The next section summarizes the
firm's experiences and provides illustrative projects as it related to this
proposed project. It addresses nine areas of technical competence required for
successful completion of this project. Following this next section is a section
with representative projects. Finally, the qualifications of the sub -contractor
are addressed. Appendix B provides a description of the sub -contracting firm,
Competitive Performance Systems. Appendix C provides the resumes of the two
consultants for the project, Herb Marlowe and Mary Gamble.
I e�h �L.VMpetenc:ieb
Technical Area One: Facilitation
Dr. Marlowe is a highly skilled facilitator who has worked extensively with public
policy issues (see table 3 for a list of policy topics he has provided facilitation
services for). His particular facilitation forte is helping groups frame complex
issues in ways that build both consensus and action. He has co -published ICMA
papers on consensus building as well as published other articles in his academic
field of study, social intelligence. He has extensive experience facilitating the
work of elected bodies and executive teams. He is particularly expert at
assisting elected bodies to establish priorities and reach agreement on points of
conflict. Example projects include:
• Southwest Florida Water Planning Alliance. This multi -stakeholder group,
consisting of elected representatives from 4 counties and 13
municipalities, developed a joint approach to water supply planning for
the region.
• Pinellas County Board of County Commissioners. Dr. Marlowe facilitated
a series of topic area workshops with this seven member board which
established priorities and endorsed strategies to address the full range of
county services and issues.
5
• Town of Loxahatchee Groves, FL. Dr. Marlowe facilitated a strategic
planning process that included numerous public input meetings along
with a retreat session for Town Council.
• Children's Board of Hillsborough County, FL, 2012 plan. Dr. Marlowe
facilitated a strategic planning process involving all major stakeholders,
staff and board members to develop a new strategic plan that
significantly shifted resources to early childhood programs. This shift
meant that a number of programs for youth were no longer funded and
that the process had to resolve disagreements over this shift and help
communicate the need for the shift to the community.
Technical Area Two: Strategic plan creation and publication
Dr. Maritwye hac accicted over 50 pub!i� private and non-profit clients
t. ,.. .,...., private .�a,. non-profit 1.11 CMJ to
develop strategic plans. (Details in appendix A). He has extensive public sector
strategic planning experience having developed strategic plans for both county
and municipal governments as well as special districts. As a result of this work,
he is very familiar with the substantive areas for which a city needs to plan long
term, the various strategies that can be deployed and the challenges that come
with the implementation of the strategic plan. Within the last five years the firm
has developed strategic plans for the following public sector clients:
• City of DeLand
• City of Fort Walton Beach
• City of Orlando
• City of Oviedo
• City of Naples
• City of Palm Coast
• City of West Park
• Pinellas County
• Town of Longboat Key
• Town of Loxahatchee Groves
• The Children's Board of Hillsborough County
• The Children's Trust of Miami -Dade County
• Economic development strategy, Glades region of Palm Beach County
6
Technical Area Three: Core business identification
Core business identification requires the ability to clearly articulate mission and
purpose, develop criteria that assist persons to distinguish core and support
functions, and design and facilitate a process that does not "de -value" those
functions not deemed to be "core" to the purpose of the organization. All staff
believe their work to be important and they are correct in that assumption. It is
very important that core not be equated to importance but rather to centrality of
mission. Dr. Marlowe has extensive experience in assisting clients to identify
core business and then decide how to manage non-core businesses. Two
recent projects of note include:
• Rating of core programs, The Children's Trust of Miami -Dade County.
Dr. Marlowe in collaboration with staff developed a rating system that
would differentiate the over 400 contracts through which the Trust
provides services into a range measuring centrality to mission. Programs
were then rated and funding decisions followed.
• Strategic Financial Plan, Charlotte County Board of County
Commissioners, FL. Dr. Marlowe designed and facilitated a process
through which the Commission could make difficult budget reduction
decisions on the basis of core business assessment. His "hierarchy of
public goods" model was the basis for this decision making process.
Technical Area Four: Assessment of organizational culture and leadership
philosophy
Dr. Marlowe has extensive experience in the assessment of organizational
culture and leadership approaches. He co -developed and published in a peer-
reviewed scientific journal of the first validated measures of organizational trust.
He has used a variety of methods to assess organizational culture including
commercially available quantitative instruments, qualitative tools such as
interviews and focus groups, mind mapping exercises, and quantitative tools
such as values and behaviors analysis using a variety of quantitative techniques.
He brings a working knowledge of various leadership theories and has done
extensive work in the leadership skills of collaboration, framing, and consensus
building.
7
• Project example. Dr. Marlowe conducted an organization wide
organizational culture assessment for a Water Utility and developed from
that assessment a plan to foster higher organizational performance
through training, career path development and team building.
Technical Area Five: Operational and business planning
Dr. Marlowe's approach to strategic planning occurs within the context of
developing a strategy management system. The challenge is not simply the
development of a strategic plan but of a system through which strategy is
continuously developed, updated and monitored at both policy and executive
levels. In a strategy management system strategic plans are rapidly turned into
business and operational plans that are actionable, accountable and
measurable.
Project example: An example of Dr. Marlowe's work in this arena ,s his
work with the City of Palm Coast. Over a three year period the project
created a strategy management system that incorporated community
priorities with the City's strategic, business and operational plans. The
impact data then fed back in to updated goals and strategies. This work
was presented at the 2005 Innovations in Government conference.
Technical Area Six: High performance organizations model, systems and
processes.
High performing organizations are defined by their ability to create positive
impact in an efficient, productive and creative manner. The achievement of high
performance requires:
• a shared actionable vision;
• a culture that values, acknowledges and rewards productivity, innovation,
ownership and engagement, and open communication;
• non -redundant and to the degree possible simple work processes that
prevent re -work, lower errors and achieve stated quality levels;
• clear and flexible structure that clarifies roles and expectations and can
be responsive to emergent events;
• a knowledge and skill base that resides both in people and in formalized
systems that enable expert level performance;
8
• appropriate tools such as:
o analytics that provide performance data in useful time frames;
o collaborative technologies thatenable teams to perform at a high
level;
o information technologies that allow for rapid dissemination of
information, foster communication and allow access to expertise;
• and leadership systems which foster leadership at all levels and
encourage reality based decisions.
Dr. Marlowe has appropriately assisted clients in all areas of high performance,
drawing upon technical specialists in hard technology as needed. He has helped
formulate clear and actionable vision statements, work on issues of culture,
facilitated process redesign work, provided numerous consultations on
organizational structure, provided staff training, worked on analytics design and
provided leadership training. A project example is provided below:
• City of DeLand, DeLand, FL. Dr. Marlowe has worked with the City for five
years on the full range of topics needed to move to a high performance
organization. He facilitated early vision work, addressed cultural issues,
engaged in process and structural change and helped build staff skill and
competencies. He has helped development performance metrics and
facilitated a number of decision making session.
Technical Area Seven: Organizational structure consultation
Using a form follows function premise, structural change is usually one of the
last elements of a strategic planning consultation. The goal is to ensure that the
organizational structure aligns with the strategic plan in a facilitative and
accountable manner. Sometimes this is realized through a new reporting chart,
at other times through the institution of a matrix structure or some other team
based structure. The decision as to form is the client's to make. The
consultant's role is to present the options.
Dr. Marlowe has assisted a number of public entities to create new structures.
One example is provided below.
9
• Volusia County, FL. Upon the advent of a new manager, Dr. Marlowe
worked with staff to identify key issues and goals and then design a
structure optimized to address those goals and issues.
Technical Area Eight: Project management
This is a time limited project whose deliverables must be produced within time
and budget. Dr. Marlowe is a highly skilled project manager with a track record
of proven performance as to delivery of quality products within agreed upon
time frames and within budget. The keys to successful project management are
setting clear expectations and timeframes from the start; regular
communication throughout the project, submission of materials with sufficient
lead time that they can be reviewed; careful listening to understand needed
changes and open discussion if work products fail to meet expectations.
Technical Area Nine: Writing and public tion
The firm is highly skilled in writing and preparing reports which are succinct,
clear and accurate. They are designed to be user-friendly from both the
perspective of "understandability" and from the perspective of accountability.
The firm is not however a graphic design firm and does not purport to be able
to provide a finished quality product from a "high design" standpoint.
Representative Projects.
City of Orlando, Orlando, FL. The firm completed a comprehensive strategic
plan for the city that addressed all core functions of the City with the intent of
positioning Orlando to better compete in as an international city. The project
involved extensive research on competitive cities, citizen input and numerous
staff workshops. One year contract. Beryl Davis, project manager, 407 246
2678
City of DeLand, DeLand, FL. The firm developed a comprehensive strategy
management system over the course of five years of work with the City. This
system links a community vision plan with the City's strategic plan,
departmental business plans and performance metrics. Mike Abels, City
Manager, 386 626 7106.
10
Pinellas County Government, Clearwater, FL. The firm completed a
comprehensive strategic plan addressing all core functions of an urban county
government. The project involved extensive staff and board workshops along
with focus groups and citizen surveys. Pinellas County is Florida's most
urbanized county with nearly 1,000,000 residents and faces all the issues and
challenge of an established urban area. 18 month process. Chris Staubus,
project manager, 727 348 5721
City of Oviedo, Oviedo, FL. The city is primarily a residential community of
30,000 young families who work either at Cape Kennedy, the University of
Central Florida or in the City of Orlando. The firm is currently developing a
strategic plan to position the City to manage high rates of growth within the City
and its surrounding regions. In process. Bob Benkovsky, Assistant City
Manager, 407
Charlotte County FL, Strategic Financial Plan. Dr. Marlowe is working with
Charlotte County to develop a strategic financial plan to manage an
approximate 10 - 12% budget reduction due to new property tax policy
established by public referendum and economic recession. The project requires
clear identification and consensus on core businesses. Ray Sandrock, Budget
Director, 941 743 1321.
The Children's Trust, Miami -Dade County. The Trust is a special taxing district
in Miami -Dade County Florida with an annual budget of $100 million targeted
to services to youth. The firm developed the initial strategic plan and
operational plan for the Trust. The project involved extensive best practices
review and community input along with development of alternative investment
scenarios. Eight months. Mo Abety, President and CEO, 305 571 5000
City of Naples Vision Plan, Naples, FL. The firm completed a twenty year vision
plan for the City which involved extensive citizen input, a scientific public
opinion survey and a number of Council workshops. Robin Singer, project
manager, 239 213 1040.
11
Sub -Contractor Qualifications
Analytica proposes to sub -contract with Competitive Performance Systems (CPS)
for certain tasks with the project. CPS, headed by Dr. Mary Gamble, focuses on
quality improvement processes. Dr. Gamble will lead or co -facilitate selected
business planning workshops that focus on continuous improvement
mechanisms. Depending upon the organizational assessment approach
selected, she may provide consulting services. The firm description and her
resume will be found in the appendices. References for her are provided in the
references sub -section. Two representative projects for CPS is the re-
structuring of the Tampa Bay United Way to a new focus on community
outcomes and the re -structuring of the Hillsborough County FL School Board to
address de -segregation issues.
Project Approach and Timeline
Phase One: Project Foundation
Task One: Project Organization and Initial Data Collection
The purpose of this task is to organize the work of the project for the
remaining tasks by gathering the initial information for the project. Work at
this stage is primarily in-house among the consultants, and Round Rock
elected and appointed leadership. Task One will be accomplished via an on-
site visit. Among the activities of this task are:
• Initial meeting with the Proiect Management Team and Advisory Group.
This is the internal team that will manage the project and advise on
logistical and process matters. The consultant's will have been in
discussion with the project manager prior to arrival to schedule the
meetings planned for this task. The purpose of this meeting is for
introductions, review the'schedule, and address any additional planning
tasks or questions about the approach.
• Individual interviews with Council members, senior staff including
department heads. The purpose of these interviews is to identify key
12
strategic issues, opportunities, threats, possible future scenarios,
perspectives on organizational culture, perspective on core businesses,
view of mission, vision and values and other key organizational issues
such as strengths and weaknesses that should be considered during the
project.
• Facilitation of three staff focus groups. Focus groups will be conducted
with staff at three levels of organizational responsibility - managers, first
line supervisors and direct service staff. The purpose of these focus
groups is to obtain perspectives on issues and opportunities,
organizational culture and other topics related to organizational
performance.
• Collection of existing_ strategic and operational plans and
accomplishments along with other relevant studies. This is a collection
of relevant documents that provide background information on the City.
• Limited interviews with Round Rock community leaders. This is a limited
set of interviews designed to familiarize the consultants with issues from
issues from
the perspective of those persons familiar with the City. The City has
already conducted extensive public input and there is no intent to
duplicate that effort. However, these limited interviews will provide a
valuable perspective.
• Project planning and feedback meeting. This meeting with the project
management group will conclude the first site visit. Initial feedback will
be provided based on interviews and focus groups. However, the primary
purpose of the meeting is to review and modify as needed the proposed
process and develop a schedule for future meetings. A specific decision
to be made in this meeting is the tools that will be used for task three,
organizational assessment. A second specific decision is the thematic
organization of strategic focus areas as discussed in task four.
Deliverables: Revised Project Process and Timeline
Task Two: Issues & Opportunities and Trends & Patterns Analysis
The purpose of this task is to conduct an environmental scan to ensure that
the full scope of potential topics, issues and opportunities which could be
relevant to the future of Round Rock are identified. This task also produces
a briefing document that will be used as a reference in future tasks. Specific
activities of this off-site task include:
13
• Review of demographic, environmental and economic trends, including
any existing reports;
• Review of the existing plans to build the basis for integration of the
strategic plan with current plans;
• Review of key features characterizing superior 21st century communities.
This is a literature review of existing studies and reports that address
highly competitive and superior communities;
• Review of other visioning and strategic planning efforts in the region that
may impact the City;
• Telephonic or electronic discussions with City staff for purposes of
clarification or additional data collection.
Deliverable: Issues & Opportunities, Trends & Patterns Report
Task Three: Organizational Assessment
The specific activities of this task will be decided during the completion of task
one. The following are options for the City to consider.
• Utilize a Self -Assessment survey such as Sterling Navigator (is web -based
and can be administered on-line) or other similar assessment tool to
conduct a SWOT analysis that provides a "snapshot" of the organization.
• Consider using the web -based Ethical Fitness Seminar provided through
Institute for Global Ethics (offered by MIDI - a provider of web -based
ethics based in Plainsboro, N.J. - to provide a snapshot of the internal
ethical climate. Materials or resources from the Institute
www.globalethics.org may be utilized with the City on issues of values,
consensus building, and constructive dialogue.
• Utilize existing quantitative surveys on topics such as organizational
trust, organizational climate or culture, job satisfaction.
• Design a specific survey of either a quantitative or qualitative nature (or
some combination) for Round Rock and administer either through a paper
survey, a web based surveying site or other appropriate form.
Whichever option the City selects the consultant will organize the survey
administration and data collection process, analyze data as appropriate and
prepare a report of findings.
14
Deliverable: Summary report of findings.
Phase Two: Issues and Opportunities identification
This phase will consist of a series of workshops with staff that will review
various issues and opportunities identified in prior work or during the
workshops. Workshops will be organized thematically along areas of strategic
focus rather than by departmental lines. The final thematic organization will be
selected in task one. A possible thematic organization is:
• Public safety
• Regulatory
• Community development (economic development, community design)
• Public infrastructure (roads, water and sewer, stormwater, any other
utilities, parks, facilities, technology)
• Quality of life services (recreation, libraries, events, etc)
• Administrative support (back office functions, policy, management)
• Organizational performance (culture, satisfaction, community and
organizational leadership)
Task Four: Issues and Opportunities Workshops I
The purpose of the workshops 1 series is to review and validate or modify the
initial set of issues and opportunities presented in the task two report. Separate
two -three hour workshops will be conducted on each strategic focus theme with
appropriate staff participation. Participants will be provided with the issues and
opportunities report prior to the workshop along with a workshop agenda so
that they can prepare for the event. The result of the workshop will be
concurrence that the various issues and opportunities in a particular strategic
focus area have been identified and correctly framed for future work.
Deliverable: Revised Issues and Opportunities Report
Task Five: Issue and Opportunity Prioritization Workshops 1I
The purpose of the workshop II series (1 to 1.5 hours per workshop) is to rate
the various issues and opportunities on a prioritization scale to determine from
15
a staff perspective where priority work should occur. The workshops will use
electronic polling technology to ensure both rapid and non -biased ratings. Up
to 50 persons can participate in any workshop. Use of technology such as this
provides the Manager and Council with perspectives unbiased by peer pressure
and promotes wise judgments by drawing on the full knowledge base of the
participants.
Deliverable: Prioritized Issues and Opportunities Report
Task Six: Council workshop preparation
To make the Council workshop productive and results oriented, a variety of
preparatory activities will occur. Which of the specific activities listed below are
appropriate and useful will be the subject of task one discussions. Preparatory
activities could include:
• Development of draft vision, mission and values statement or statements
for discussion with Council in task seven. Prior to the Council workshop
the staff workshop series 11 will review concepts and approaches.
• Development of draft goals statement for discussion with Council. Staff
workshop II will generate this material.
• Development of draft strategies for Council consideration. Again this will
be a work product emanating from the staff workshop II series.
• All this material will be integrated into a strategic choices document that
will structure task seven events.
Task Seven: Council validation and prioritization
Using the Prioritized Issues and Opportunities Report and prior strategic plans
as the background data, a Council workshop will be conducted to discuss
Council's vision for the City and in context validate or revise existing strategic
priorities and potentially add new priorities. In addition Council will be asked to
affirm or modify draft mission and value statements. The length of the Council
workshop will be determined in part by the amount of material to be reviewed.
Council will be provided the Prioritized Issues and Opportunities Report and the
afore -mentioned Strategic Choices document so that they will be aware of staff
perspectives. During the interviews of Council members in task one a topic of
16
discussion will be their priorities. This data, existing priorities and task five
priorities will be combined into a strategic choices document provided to
Council prior to the workshop.
The process of establishing priorities serves to clarify the core businesses of the
City.
The workshop itself may use polling technology if that is deemed appropriate
for the task.
Deliverables: Updated Council Priorities Report
Phase Three: Strategic Plan Development & Submission
Task Eight: Plan Development and Testing
The purpose of this task is to integrate the information gathered in tasks one
through six into a draft updated strategic plan. This draft plan is then
circulated for discussion and revised in a consensus building approach.
It is premature at this point of course to discuss the content of the plan. A
preliminary format is presented below as well as the general steps which
would occur during this task. Specific steps are highly subject to local
refinements needed to meet the particular needs of Round Rock.
The general format of the plan would be:
• The context. This section is drawn from phase one and two information
and describes the opportunities and challenges facing the City.
• Vision statement. This is the statement describing the future Round Rock
this plan seeks to foster.
• Mission statement. A statement describing the purpose of city
government that is clear, concise and can guide the work of every
employee. The discussion in preparing this statement should clarify what
the City views as its core businesses.
• Values statement. A statement of the core values the City will seek to
practice in its work.
17
• Positioning statement. The positioning statement provides a fuller
description of the vision and the core activities or businesses the City
must engage in to achieve that vision.
• Key results. These are the goals or key achievements that need to be
addressed and achieved if the vision is to be realized. These are usually
5 to 7 in number.
• Strategies. These are the actionable approaches that will be taken to
achieve the goal. We normally group key results/goals and their related
strategies into what we call strategic focus areas so that there is a
comprehensive view of what is trying to be achieved and how it will be
achieved. Good strategies often impact more than one goal.
• Managing the vision plan. This section describes at a general level how
the vision plan will be managed, measured and updated. It includes the
governance mechanism, the key metrics or benchmarks that will be used
and a mission statement for the management system.
The activities of this stage include:
• Staff and Council distribution for comment. A comment period will be
allowed to enable staff and Council to comment on the draft. Should
there be extensive comment, a second round of comment may occur.
• Public distribution. At this point the plan can be publicly distributed (via
a variety of forms) and a public comment period provided should the City
wish to do so.
• Senior management workshop. This two - three hour workshop will
serve as a final review of the plan before submission to Council. Should
the City choose, Council members may be briefed individually or a
workshop held prior to formal submission.
Deliverable: Proposed Strategic Plan Update
Task Nine: Strategic Plan Endorsement
• The purpose of this stage is the endorsement of the strategic plan. This
will occur via public presentation to the Council. As noted in task seven,
preceding this presentation a final staff workshop will be conducted to
ensure the plan is comprehensive and responsive to current and future
city issues.
18
Deliverable: Endorsed plan
Phase Four: Strategy Management for High Performance
The purpose of phase four is to ensure that leadership practices and
organizational behaviors; organizational structure, systems and processes; and
resource allocation decisions are aligned with the intents and purposes of the
strategic plan. Our practice to achieve this purpose is to develop a strategy
management system, of which the first element is a strategic plan. Completion
of the strategy management system will meet the following objectives as
delineated in the RFP.
• Improve management practices to accomplish strategic goals and
objectives.
• improve operational performance
• Improve customer satisfaction
• Improve employee engagement
• Improve the measurement of operational and financial results as related
to the goals and objectives of the City
Strategy Management Systems are comprised of the following elements. The
prior phases have developed the first element, a strategic plan. Phase four
develops for the other elements.
• A strategic plan. The driving force of a strategy management system is
the strategic plan. This plan should be consistent with community
priorities while addressing the long term opportunities and issues facing
the county.
• An annual agenda. The key is not in the plan but how the plan is
worked. Where the time frame is annual or quarterly, specific, tangible
actions should be taken through a work plan for that year. In our
approach we develop an annual agenda with the board and executive
group so that the leadership of the organization is focused on the work
to be done that year that will move the plan forward. One way to
continuously move the agenda is to organize the board's meeting agenda
to reflect the strategic plan and annual agenda.
19
• Strategic budgeting. The fiscal resources of the organization must be
appropriately committed to the plan. This requires both dedicated or
targeted funds as well as a budget process that examines strategic
priorities during the process of building the budget each year.
• A strategically focused table of organization. If the strategic plan is to be
implemented, the organization must be structured for that end. In
practice, many strategic goals cross departmental lines and require
multi -disciplinary teams for their design and implementation. In our
work we have distinguished between operational work (existing work
which must be done on a repetitive basis) and project work (time limited
work to initiate a strategic goal). Both types of work contribute to long
term strategic goals, but some strategic goals are best moved forward
with dedicated project teams. The approach to the balanced scorecard
that we use incorporates both operational and project scorecards.
• Performance indicators. Performance indicators help us answer the
question, 'What progress are we making toward the strategic goals and
priorities?" They may be of two types: products and processes. Products
are tangible end results, a new economic development strategy, a new
parks program, etc. Processes are interim measures that inform us
whether we are on track. Our belief is that if we work the process, we will
get the product.
• Business and Operational plans. Work plans integrate fiscal and human
resources around a set of performance indicators (with time
benchmarks). An effective strategy management system not only has
work plans but also has a system for managing various work plans in an
integrated manner.
• Individual performance appraisal systems that allow each employee to
have a line of sight between their work and the results sought by the
organization;
• Data bases and information systems that provide user-friendly, readily
accessible and real time when possible information about progress
toward results
20
These major elements do one critical thing. They produce results. Setting a
specific agenda for the year, committing fiscal and human resources to that
agenda, and having a work management system that tracks and adjusts
performance is a proven formula for generating results.
Task Ten: Business and Operational Planning
In this task each department will develop or update its own business and
operational plan in the context of the adopted strategic plan and associated
documents. A business plan consists of the following elements:
• An external business climate/market analysis that examines key
variables that will impact the work of the department such as population,
demographic, regulatory, technology trends, a key stakeholder analysis, a
customer profile analysis, and any other key factors that will impact the
work of the department.
• An internal analysis consists of a business practice analysis that assesses
major products and services and core processes (program and process);
customer satisfaction and citizen engagement. This discusses addresses
core businesses at a departmental and process level.
• The financial environment such as: current/existing revenues and
expenditures; projected revenues and expenditures; revenue generating
opportunities and cost benefits; "Key Ratios, Analyses and Measures"
used within the field; and future financial issues which could impact
performance.
• Resource, facility and equipment analysis, i.e. the physical capital needed
for departmental operations
• A competencies analysis of human and technological competencies
addressing such topics as: core competencies; emerging competencies;
retirement and succession issues; workload trends; and labor pool trends
and demographics.
21
• An organizational values and norms analysis addressing working values;
organizational trust; work climate and leadership assessment, i.e. what
leadership roles do we need to assume?
• Risk and threat assessment of any legal issues; revenue/expenditures
issues; staffing issues, potential actions by other entities, regulatory
issues and any disaster related issues.
Based on this assessment a work plan is developed which addresses the
following components:
• Deliverables which includes a description of the deliverable, a brief
statement of methodology as to how the deliverable will be produced,
timelines, assignments and dedicated resources per deliverable, budget,
key quality and performance indicators and assignment of operational
responsibility. Deliverables may take many forms ranging from services
to processes to enhanced competencies.
• Community engagement plan which includes a plan for customer
satisfaction data with respect to existing services (how it will be obtained;
how it will be used); community preference and priority data (with respect
to new or changed services); citizen engagement and development and
how public communication and education will occur if appropriate.
• Organizational capacity building plan which addresses internal process
changes to facilitate plan, partnership and collaboration needs, any
succession management issues, any needed technology support and any
organizational culture or employee morale and job satisfaction topics
that need to be addressed. This element also discusses how to better
engage staff toward high performance.
To develop the business plans the following steps are proposed:
Business Planning Workshop 1: Facilitator training
The purpose of this workshop is to enhance the internal capacity of the
City to engage in business planning. A staff member or members from
each department will be trained in the process of developing a business
22
plan. They will serve as the liaison between the consultants and the
departments as the business plans are revised. These facilitators will
post -workshop organize internal teams from each department who will
be responsible for development of the business plans. It is important to
note that strategic goa/s may cross departmental lines. In these cases
cross departmental teams may need to be organized to develop a
complete business p/an.
Business Planning Workshop 2: Externa/ assessment
This workshop will bring together all the departmental teams that will
work in their teams to complete an external assessment using a
structured process. Teams will work at their own pace in completing the
elements of the external assessment. Facilitators will keep notes and
provide(�a written summary addressing the topics of the external
assessment.
Business P/anning Workshop 3: Internal assessment
This workshop will follow the processes of workshop 2 but focus on
internal assessment.
Business Planning Workshop 4: Deliverables
This workshop will follow the processes of workshop 2 but focus on
deliverables.
Business Planning Workshop 5: Community engagement
This workshop will follow the processes of workshop 2 but focus on
community engagement.
Business Planning Workshop 6: Capacity building and staff engagement
This workshop will follow the processes of workshop 2 but focus on
capacity building.
23
The completed business plans will then be presented to the executive staff by
department heads on a schedule to be developed.
Deliverables: Workshops
Task Eleven: Strategic budgeting
The purpose of this task is to review the City's budgeting process in the context
of the strategic plan and how to ensure that the priorities of the plan are
addressed during budget development. There are a variety of processes for
addressing this intent. It is proposed that a workshop be conducted with
budget staff to review approaches and develop a recommended approach.
Deliverable: Strategic budgeting workshop.
Task Twelve: Analytics, performance and impact indicators
In this task the business plan indicators, financial indicators, organizational
measures and community indicators will be framed as a balanced scorecard so
that the City can monitor progress as related to the goals and objectives of the
City. The development of a cascading balanced scorecard system is a multi-
year project, often involving the implementation of specialized software. The
intent of this task is to review the scorecard approach in various formats and the
options the City has for development of a balanced scorecard. The product of
this task will be a plan for how the City will finalize the analytics that will be
useful for managing the strategic plan and overall city operations. The primary
activity of this task will be a workshop with staff on public sector analytics and
techniques such as the balanced scorecard.
The process of selecting metrics and which metrics are selected build upon prior
core business discussions and serve to further clarify and validate the core
businesses of the City.
Deliverable: Workshop
24
Task Thirteen: Organizational structure
Once the goals and strategies are delineated, the structure of the organization
should be reviewed to determine if it is consistent with the intent and direction
of the strategic plan. A number of options are available ranging from assigning
goals to departments to creating cross functional teams with strategic
assignments. This task will be completed through a workshop with staff
designed to review options and create a model that would serve the City well.
The timing of this workshop will be decided by the project management group.
In some cases this event should occur prior to business planning in the event
that a re -structuring occurs it precedes business plan development. In other
cases the process of business planning makes the options and needs for re-
structuring clearer.
A key variable to be considered during this discussion are the core businesses
of the City. The workshop usually begins with a review and validation of the
core businesses since the structure is built in part upon ensuring those core
businesses succeed.
Deliverable: Workshop and proposed organizational structure.
Task Fourteen: Continuous High Performance
The premise of this task is that high performance is not a state to be achieved
once and for all but a continuous effort to increase productivity, enhance
quality, and build and maintain the confidence of the public. The purpose of
this task is to review the mechanisms that organization's use to build and
maintain high performance and identify how those mechanisms are and can be
further applied to the operations of City Government. The scope of this topic
encompasses leadership models at all levels, communicating core values and
translating those values into behaviors, building a culture of engagement and
open communication, process redesign and performance feedback loops.
The major activity of this task will be a workshop in which the strategic and
business plans, organizational structure and organizational dynamics are
assessed from a high performance perspective. The intent is to determine if
there are additional needed changes that are either not addressed or
25
inconsistently addressed in the work to date so that Round Rock is focused on
high performance. The workshop will further seek to prioritize two to three
steps that the City should take in the near future to enhance its high
performance efforts. Finally, the workshop will address steps and schedules to
keep the strategic plan and business plans up to date.
Deliverable: Workshop, steps for high performance.
Timeline
Table one provides a project timeline. The project can be completed by
February 2009 assuming staff participation can occur within the proposed
timeframe.
Table
1
Project Time Frame
Task #
Task Title
Month
1
Project organization &
initial data collection
1
2
Issues & opportunities
analysis
1
3
organizational assessment
1
4
Issues & opportunities
workshop 1
2
5
Issues & opportunities
workshop 2
2
6
council workshop
preparation
2
7
Council workshop
3
8
Strategic plan
development & testing
3
9
Strategic plan
endorsement
4
10
Business and operational
plan development
5
&
6
11
strategic budgeting
6
26
12
Analytics
6
13
Organizational structure
7
14
Continuous high
performance
7
References
For Analytica
• City of Orlando, Florida. Beryl Davis, Director of Audit and Management
Services, 407 246 2678. 400 S. Orange Avenue, Orlando, FL 32801
• Pinellas County, Florida, Chris Staubus, Project Manager, 727 348 5721.
Mr. Staubus is no longer affiliated with Pinellas County Government and
should be contacted by phone.
• WestCare, Las Vegas, NV. Bob Neri, Chief Clinical Officer or William
Stone, Director of Strategic Planning. Mr. Neri may be reached at 727
579 9016, Mr. Stone at 706 889 1872. 9700 Dr. Martin Luther King, Jr.
Street North, St. Petersburg, FL 33702. Suite 200.
References for Dr. Gamble of Competitive Performance Systems
United Way of Tampa Bay
Diana Baker, President and CEO
813-274-0907
Faced with a major shift in its business model due to a national movement
among United Ways to become Community Impact United Ways, United Way of
Tampa Bay (UWTB) contracted with Competitive Performance Systems, Inc. to
provide a multi -faceted project intended to position UWTB as a high performing
organization. Specifics included strategic planning, strategic deployment
planning, organizational redesign and development, and various process
redesigns.
27
MacDonald Training Center
Jim Freyvogel, President and CEO
813-870-1300
Faced with a major shift in how services for adults with developmental
disabilities are funded, i.e., managed care, MacDonald Training Center (MTC)
contracted with Competitive Performance Systems, Inc. for strategic planning
services as well as employee satisfaction/engagement services, succession
planning services and redesign of customer -focus systems all intended to raise
MTC to a level of high performance. National criteria for organizational
performance excellence were used in the design of these systems.
School District of Hillsborough County Florida
Candy Olson
School Board Member
813-272-4045
With the lifting of the court ordered busing of students to insure desegregation,
Hillsborough County Schools implemented "School Choice." The School District
of Hillsborough County contracted with Competitive Performance Systems, Inc.
for organizational redesign/restructuring services intended to make the District
customer focused and high performing. This. required the design of customer -
focus systems such as a parent call center, customer satisfaction systems, and
training of school district personnel in customer -service and performance
excellence.
28
Sub -Contractor
Analytica will sub -contract with Competitive Performance Systems for some
portions of the project addressing features of organizational high performance.
The resume for the principal of CPS, Dr. Mary Gamble, will be found in appendix
B. References for Dr. Gamble will be found in the references section. Appendix
C provides a firm description.
Organizational Profile
Project Organization
Anaiytica is a sole proprietorship fully owned by Dr. Herbert A. Marlowe, Jr. He
will serve as project manager and direct Ms. Gamble as needed in the project.
Key Personnel
Two personnel are proposed as the project team. Their resumes will be found
in appendix B. Brief biographical statements are provided here.
29
Fees
Table
2
Project Fees
Task #
Task Title
Fee
1
Project organization &
initial data collection
$7,500
2
Issues & Opportunities
analysis
$7,500
3
Organizational
assessment
$5,000
See note
1
4
Issues & Opportunities
workshop series 1
$7,500
5
Issues & Opportunities
workshop series 2
$7,500
6
council workshop
preparation
$2,500
7
council workshop
$2,500
8
Strategic plan
development & testing
$6,000
9
Strategic plan
endorsement
$2,500
10
Business and operational
plan development
$22,000
11
strategic budgeting
$2,500
12
Analytics
$5,000
13
organizational structure
$2,500
14
continuous high
performance
$2,500
Professional Fees
$83,000
See note
2
Note 1
This fee is for the
consultant's time.
There may be other costs
of administration
depending upon the
selected method.
Note 2
Travel costs will be
reimbursed for out of
pocket expenses. They
will be capped at 25% of
the professional fees.
30
Appendix A: Analytica Firm Description
Firm Description and Qualifications Statement
Analytica
Mission: Support clients to prepare for uncertain futures, make complex and
difficult decisions and add more value for their citizens, customers and clients.
Since 1987, Analytica has developed and implemented systems and processes for
private, public and non-profit clients that improve organizational performance,
strengthen community impact and add greater value. These services include:
• Strategic planning and strategy management and execution;
• Organizational re -structuring ranging from mergers, acquisitions, divestitures
and internal re -organizations;
• Analysis of complex issues ranging from organizational resource re -allocation
to public policy issues such as homelessness, water supply, environmental
protection, behavioral health care, and other topics;
• Developing organizational systems such as:
o Performance management and measurement systems;
o Human resource development and compensation systems and plans;
o Leadership support systems that help connect leadership action with
constituency values, needs and aspirations.
o Organizing systems and structures for achieving organizational goals ;
• Re -designing processes to create greater productivity and greater value;
• Consultation on organizational culture change to align organizational values
and practices with organizational goals;
• Meeting facilitation.
In providing these services the firm employs an array of techniques involving process
facilitation, conflict resolution and consensus building, financial and scenario
modeling, quantitative and qualitative research methods, electronic group• work
software and its proprietary process for multi -stakeholder planning projects, Public
Study.
31
The firm brings a broad range of experience across geographic, sector,
organizational size and topic or issue perspective. The firm has worked with private
sector firms in agricultural, science and engineering and planning fields; public sector
entities such as municipal governments, county governments, school districts, higher
education institutions, special districts of various types, and public-private
partnerships and various non-profit entities. In terms of size the firm has worked
with entities ranging in employee size from 25 to over 4,000 employees and in
budget from under $1 million to over $1.5 billion. The firm has worked in rural
areas, urbanized areas, financially wealthy communities and very poor areas. Its
work has encompassed every function of general government as well as those
functions provided by single purpose governments such as water management,
water supply, children's services, health care services, stormwater management,
electric utilities, K-12 education and pre -K education.
Due to the scope of its activities in a high growth state, the firm brings a broad
perspective on the issues facing growing states, local communities and the range of
solutions being implemented or developed by various entities in response to the
challenges of growth. It has worked extensively with communities facing high
growth rates and has a substantive understanding of the policy, operational and
community issues and dynamics which occur in this situation. The firm is
distinguished not only by its knowledge and understanding of growth -related issues
but also by its skill in working in multi -stakeholder environments to develop
productive approaches and solutions to complex issues. For example, the firm has
facilitated the efforts of four counties and thirteen municipalities to develop a
common water planning approach.
The firm seeks to build substantive solutions to difficult, complex challenges. To do
so, it brings not only its expertise and competencies, but those of a broader strategic
network of firms and individuals who share its same values of depth and
thoroughness in analysis, creative rigor in solution seeking, attention to process
detail, and the development of a sufficiently broad consensus that action can occur.
The attached qualifications list provides a list of clients, a description of the topic
areas in which the firm has worked, a publications list, the resume of the principal,
Herbert A. Marlowe, Jr. and references.
32
Table 1: Analytica Client List: (Florida clients unless noted)
Public Sector
• Alachua County
• Baker County
• Belle Glade
• Belleair Beach
• Brevard County
• Broward County
• Broward County Property Appraiser's Office
• Business Development Board, Palm Beach County
• Canal Point
• Cape Coral
• Capital City Planning Commission, Tallahassee
• Care Council of Palm Beach County
• Central Florida Business Development Council, Bartow
• Charlotte County
• Charleston County, SC School Board
• Child Welfare Council, Miami -Dade and Monroe Counties
• Children's Board of Hillsborough County
• Children's Services Council, Palm Beach County
• Children's Trust, Miami -Dade County
• Criminal Justice Commission, Palm Beach County
• City of Sarasota
• Collier County
• Coral Springs Community Service District
• Davie
• Daytona Beach
• Debary
• DeLand
• Downtown Development Authority, Tallahassee
• Fort Walton Beach
• Florida Association of Counties
• Florida Commission on Local Government
• Florida Children Services Councils
• Florida Department of Health
• Florida Department of Juvenile Justice
• Florida Governmental Utilities Association
• Florida Heartland Rural Health Network
• Florida Storm water Association
• Gadsden County
• Gainesville
• Gulfstream
• Halifax Health Care District
• Hamilton County
• Hardee County
• Hollywood
• Jacksonville Electric Authority
• Juno Beach
33
• Juvenile Welfare Board of Pinellas County
• Key Largo
• Key Largo Wastewater Treatment District
• Lakeland
• Lake Wales
• Lauderdale Lakes
• Lee County
• Leon County
• Longboat Key
• Madison County
• Margate
• Martin County
• Miami-Dade County
• Miami-Dade Department of Public Health
• Monroe County
• Naples
• North Lauderdale
• North Palm Beach
• Orlando
• Ormond Beach
• Osceola County
• Oviedo
•
Palm Beach County
• Palm Beach County School Board
• Palm Beach County Sports Authority
• Palm Coast
• Peace River/Manasota Water Supply Authority
• Pinellas County
• Polk County
• Ponce Inlet
• Port St. Joe
• Private Industry Council, Palm Beach County
• Property Appraiser, Alachua County
• St. Johns River Water Management District
• St. Lucie County Government
• St. Lucie County Supervisor of Elections
• St. Lucie County Children Services Council
• St. Lucie County Executive Roundtable
• St. Lucie West Services District
• St. Petersburg
• Sarasota County
• School Board of Palm Beach County
• School Readiness Board, State of Florida
• School Readiness Coalition, Palm Beach County
• School Readiness Coalition, St. Lucie County
• Seventh Judicial Circuit, Florida
• Shands Hospital
• South Bay
• South Florida Water Management District
• Southeast Volusia Hospital Authority
• Southwest Florida Water Management District
• Suwannee County
• Tallahassee
34
• Tampa Bay Area Regional Transportation Authority
• Tampa Bay Water Coordinating Council
• Temple Terrace
• Tequesta
• Tourist Development Council, Lee County
• Tourist Development Council, Palm Beach County
• Treasure Coast Health Planning Council
• Volusia County
• Wakulla County
• Walton County
• Water Alliance, Volusia County
• Water Authority of Volusia
• Water Planning Alliance, Southwest Florida (Charlotte, Desoto, Manatee and
Sarasota Counties and municipalities)
• West Volusia Hospital Authority
• West Park
• Winter Haven
• Winter Park
• Workforce Development Board, Hillsborough County
Non -Profits
(Florida unless noted)
• 211, Pinellas County
• ACT, Daytona Beach
• ARC, W. Palm Beach
• Children's Home Society, Florida
• Children's Home, Tampa
• Economic Opportunity Council, Bartow
• Evangelical Lutheran Church of America, Chicago
• Family Resources, Inc. St. Petersburg
• Family Counseling Services, Miami
• Family Services Center, Clearwater
• Family Support America, Milwaukee
• Family Support Canada, Toronto
• Florida Families First
• Florida After school Network
• Glades Initiative, Belle Glade
• Leadership, Paim Beach County
• Literacy Coalition, Palm Beach County
• Lutheran Church, Winter Haven
• Marriage and Family Services, Clearwater
• Miami -Dade Health Care Collaborative
• Non -Profit Resource Institute, W. Palm Beach
• Primetime, W. Paim Beach
• Resource Depot, W. Palm Beach
• Southern Gerontological Society, Atlanta
• Tampa Bay Health Care Collaborative
• The Florida Network, Tallahassee
• The House Next Door, DeLand
• The Red Cross of Palm Beach County
35
• The Red Cross of Springfield, Mass
• The Spring of Tampa Bay
• Tri -Counties Mental Health, North Carolina
• WestCare, Las Vegas, NV
• Western Mental Health Center, Belle Glade
• YMCA, Tampa Metro
Foundations, Universities and Charities
• Allegany Franciscan Foundation, Tampa Bay
• Allegany Franciscan Foundation, Miami
• Allegany Franciscan Foundation, W. Palm Beach
• Auburn University, Auburn Alabama
• Barrington College, Barrington, R.I.
• Community Foundation of Palm Beach and Martin Counties, W. Palm Beach
• Eckerd Family Foundation, Clearwater
• North Dade Medical Foundation, N. Miami
• Palm Beach Community College
• Palm Beach Education Foundation, W. Palm Beach
• South Florida Health Foundation, Miami
• Stetson University, DeLand
• United Way of Hillsborough County
• United Way of Pinellas County
• United Way of Tampa Bay
• United Way of Central Florida (Polk County)
Private Sector
Confidential list available as appropriate
Table 2. Topic areas in which the firm has worked
• Agriculture & Aquaculture
• Budgets and Financing
• Children Services
• Compensation Studies
• Conflict Resolution
• Criminal Justice
• Disaster planning and recovery
• Economic Development
• Environmental Protection
• Fire/Rescue Services
• Health Care
• Human & Social Services
• Inter -governmental Relations
• Land Use
• Library Services
• Neighborhood Plans
• Organizational culture
• Organizational structure
• Performance Based Management Systems
• Planning
36
• Public Facility Siting
• Public works administration
• Public Infrastructure
• Race Relations
• Recreation
• Science and engineering
• Transportation
• Team Building
• Water Supply Management
• Water & Sewer Utilities
Table 3: Analytics: Studies and Planning Projects
Analytica has conducted a number of projects and studies requiring extensive use of
both quantitative and qualitative data. While wide-ranging in topics, all projects
required a high degree of analysis and the capacity to integrate disparate
perspectives into a coherent set of conclusions and recommendations. These
projects demonstrate the capacity of the firm to handle large and complex data sets
and controversial issues, and to reach a set of conclusions based on extensive data
analysis and synthesis.
• Strategic and Business Plans. The firm has developed strategic and business
plans for many clients including Pinellas County, Broward County, Orlando, Palm
Coast, DeLand, the Children's Trust of Miami -Dade County, the Juvenile Board of
Pinellas County, and the Children's Board of Hillsborough County among others.
These plans have addressed issues of economic development, housing and
education among other topics.
• An economic development plan for the Glades area of Palm Beach
County. This study examined the changing economic conditions in the Glades as
well as emerging opportunities and presented a set of strategies for the future.
The plan was awarded a national best plan award by economic development
professionals.
• Economic development strategic plan, City of Daytona Beach. This study
examined the changing economic structure of the tourist based community and
developed successful high technology manufacturing strategies.
• Activity Based Costing System., Children's Board of Hillsborough County
This project involved development of an ABC system for the Children's Board of
Hillsborough County. Phase 1, the internal component has been completed.
Phase 2, measuring external investments by other funders, is underway.
• Post -Disaster Recovery Plan, Monroe County. This project developed a
post -disaster recovery plan for Monroe County. Included in this was a detailed
debris management plan.
• Post -Disaster Recovery Plan for Human Services, Pinellas County. This
project developed a post -disaster recovery management system to address
human service issues in Pinellas County.
• Evaluation of Palm Beach Criminal Justice Commission. This was an
assessment of the business operations of the Commission.
• Fire Services Coordination, City of Gainesville & Alachua County, FL. This
study worked jointly with these two entities to develop new models for the
provision and reimbursement of fire services which are not as contentious as
prior approaches and relied on market based models.
37
• Assessment of Small Business satisfaction. This study examined
procurement and payment practices of the South Florida Water Management
District.
• Integration of Physical Health and Human Services in Volusia County, FL.
This project involved assisting a citizen's task force appointed by the County
Council and the Boards of the three health care taxing districts in the county to
develop a new model for the policy management and governance of health and
human services in the county. This project identified four major alternatives and
made recommendations to the legislative delegation and local boards.
• Assessment of the Florida Department of Health and Rehabilitative
Services District XI's mental health services delivery system. This study
examined the system for mental health services in Dade County and presented
over 70 recommendations for change. Florida Department of Health and
Rehabilitative Services.
• Assessment of Human Service Needs in the Glades Area of Palm Beach
County. This study determined the scope and priority of human service needs in
the Glades area.
• Assessment of homeless needs and services in Pinellas County. This study
examined the scope of homelessness and the effectiveness of the service system
and presented alternative approaches.
• Evaluation of the State of Florida's telemedicine system. This was a study
for the Florida Department of Health of the state's experiment in telemedicine.
Results were published in a referred scientific journal.
• Assessment of Leadership and Management Capacity Building Needs in
the Tampa Bay Non -Profit Community. This study examined alternatives to
build non-profit organizational capacity.
• An integrated health and human services planning and management
system, Pinellas County Board of County Commissioners and the Juvenile
Welfare Board of Pinellas County. This project developed a state of the art
health and human services planning and management system designed to
optimize investments and create more effective services.
• Assessment of "One Less Worry" Health campaign. This was a focus group
assessment of an advertising campaign on child care insurance developed by the
Florida Department of Health.
• Assessment of "We Make the Change" Health campaign. This was a focus
group assessment of an HIV advertising campaign targeted at African-Americans
developed by the Florida Department of Health.
• Salary and Classification Study, The firm has done a number of salary and
classification studies for clients such as St. Lucie County Government; Supervisor
of Elections, St. Lucie County; Walton County: Jupiter; Village of North Palm
Beach; and Juno Beach.
• Housing Needs Assessment for HIV persons on Palm Beach County, FL.
This study examined the housing needs of persons living with AIDS/HIV in the
county.
• Evaluation of the staffing patterns of the Florida mental hospitals. The
project studied staffing levels and work flow analysis to develop staffing formulas
for the mental hospitals of Florida. Florida Department of Health and
Rehabilitation Services.
• Evaluation of the staffing patterns of the State of Florida Medicaid
offices. This project studied staffing and work flow and developed a set of
staffing standards for state Medicaid offices.
• A study of the impact of water plant operator certification, Association of
Boards of Certification. The firm conducted a technical study of water plant
38
operators in several states to measure the impact of operator certification on
plant operations.
• Project Mosaic, Palm Beach County, FL. This study examined factors leading
to residential segregation and then presented ideas and design strategies to
foster racially integrated communities.
Table 4: Management Related Publications and Presentations
Analytica is committed to rigorous and careful analysis combined with innovative and
leading edge solutions. One test of a firm's capacity to engage in both careful
analysis and leading edge thinking is whether it can engage in an analysis of
sufficient quality and depth and presents its ideas and conclusions carefully enough
to warrant publication in scientific and professional journals as well as books. The
following is a list of the firm's publications. Publications are often co-authored with
clients and colleagues.
Peer Reviewed Publications
• Pammer. W. and Marlowe, H. A. 1999. Conflict in City Manager Cities: Insights into
intervention approaches. State and Local Government Review. Fall.
• Nyhan, R. C and H. A. Marlowe, Jr., 1997. Development and psychometric
properties of the organizational trust inventory. Evaluation Review, 21, (5),
614-635.
• Nyhan, R. C and H. A. Marlowe, Jr., 1995. Performance measurement and
Total Quality Management (TQM) in the public sector: Opportunities and
challenges. Public Productivity and Management Review 18, (4) 333-347.
• Marlowe, H. A., R. C. Nyhan, L. Arrington and W. Pammer 1994. The re-ing of
local government: Understanding and shaping governmental change. Public
Productivity and Management Review, 17, 299-311.
• Marlowe, H. A. and Bordelon S. 1992. The application of organizational
development processes to downsizing: A cognitive view. Journal of
Managerial Psychology,
• Weinberg, R. and Marlowe, H. Managerial stress in corrections personnel.
1986. Journal of Correctional Psychology,
• Spector, P. E., & Marlowe, H. A. (1983). Administrative practice and employee
job satisfaction in a psycho -social rehabilitation agency. Psychosocial
Rehabilitation Journal, 7, 29-36.
Books
• Marlowe, H. A. and Ashburn R. Management and Supervision Skills. Atlanta,
GA: Southern Regional Education Board. 1985.
• Marlowe, H. A. and Ashburn, R. Interpersonal Relationship Skills. Atlanta, GA:
Southern Regional Education Board. 1985.
• Marlowe, H.A. and Weinberg, R. 1984. (eds). Competence development. Springfield,
IL: C.C. Thomas.
39
Book Chapters
• Marlowe, H. A. and R. C. Nyhan, 2003. Innovations in public budgeting:
Applying organizational development processes to downsizing. In A. Khan &
W. B. Hildreth (Eds.) Case Studies in Public Budgeting and Financial
Management. Dubuque, IA, Kendall/Hunt.
• Nyhan, R. C and H. A. Marlowe, Jr., 1993 Organizational effectiveness
enhancement under Total Quality Management (TQM) in a non -manufacturing
setting. In Sumanth, D. J., Poupart, R. and Sink, D. S. (Eds.) Productivity and
Quality Management Frontiers- IV, Norcross, GA: Industrial Engineering and
Management Press, 294-303.
• Marlowe, H. A. and R. C. Nyhan 1993. Redesigning a public organization to
activate ego energy. In R. Kilman (Ed.) Ego Energy, San Francisco: Jossey-
Bass.
• Marlowe, H. A. and R. C. Nyhan, 1993. Changing the deep structure of a
public organization: Using the punctuated equilibrium paradigm to guide
productivity and quality improvement programs. In Sumanth, D. J., Poupart,
R. and Sink, D. S. (Eds.) Productivity and Quality Management Frontiers- IV,
Norcross, GA: Industrial Engineering and Management Press, 597-606.
Conference Presentations
• Kelton, R., Wingo, 0., and Marlowe, H. 2006. Integrating systems thinking
and strategy management. Innovations in Local Government Conference.
Dayton, OH.
• Panacek, L. and Marlowe, H. 2005. Organizational transparency. American
Child Welfare Association. Washington, D.C.
• Nyhan, R. C. and H.A. Marlowe, 1994. Performance measurement and Total
Quality Management (TQM) in the public sector: Opportunities and
challenges. American Society for Public Administration, San Francisco, CA.
• Marlowe, H. A., R. C. Nyhan, L. Arrington and W. Pammer 1993. The Re-ing
of Local Government: An integrated model for incremental and dramatic
change. Sixth National Public Sector Productivity Improvement Conference.
September 8-10, Phoenix, AZ.
• Marlowe, H. A. and R. C. Nyhan, 1993. Using the punctuated equilibrium
paradigm to guide organizational change. American Society for Public
Administration, National Conference, San Francisco, CA, July 16.
• Nyhan, R. C. and H.A. Marlowe, 1994. Performance measurement and Total
Quality Management (TQM) in the public sector. American Society for Public
Administration, National Conference, San Francisco, CA, July 16.
• Nyhan, R. C. and H.A. Marlowe, 1993. Organizational effectiveness
enhancement under Total Quality Management (TQM) in a non -manufacturing
setting. Fourth International Conference on Productivity and Quality Research,
University of Miami, Institute of Industrial Engineers, Miami, FL, February 11.
• Marlowe, H. A. and R. C. Nyhan, 1993. Changing the deep structure of a
public organization: Using the punctuated equilibrium paradigm to guide
productivity and quality improvement programs. Fourth International
Conference on Productivity and Quality Research, University of Miami,
Institute of Industrial Engineers, Miami, FL, February 11.
• Arrington, L.W. and Marlowe, H.A. The collapse of consensus in Florida.
Florida Association of Counties Annual Conference. 1992.
40
• Marlowe, H.A. and Beaudet, B. Creating a high performance utility: The link
between culture and organizational health. American Water Works
Association Conference 1992.
• Marlowe, H.A. and Beaudet, B. Creating self -renewing capabilities in a Water
Utility: Lessons learned fro analysis and action in creating a learning
organization. American Water Works Annual Conference. 1991.
• Marlowe, H.A. The learning organization: Implications for trainers. American
Society for Training and Development Technical Conference. 1990.
Non -peer reviewed publications
• Marlowe, H.A. and Arrington, L. W. 2004. Consensus building: Keys to success. ICMA
IQ Report. October.
• Marlowe, H.A. and Arrington, L. W. 2004. Ten Golden Rules for Consensus Building.
Colorado Municipalities. Colorado Municipal League, June, 20.
• Pammer, W. and Marlowe, H. A. 1999. Managing conflict in Council -Manager Cities.
PA Times, June
• Nyhan, R. C. and Herbert A. Marlowe, Jr., 1993. Performance measurement
and TQM in the public sector The Public Manager, 22, (3) 80-81.
• Marlowe, H.A. and Avael, J. Solving multi-year budget problems in a single budget
cycle. Public Manager. 1993.
• Marlowe, H.A. and Beaudet, B. Workplace literacy in the Water industry.
American Water Works Journal. 1992.
• Marlowe, H.A. and Beaudet, B. Creating a high performance utility: The link
between culture and organizational health. American Water Works Association
Journal. 1992.
Publications in working paper status
• Outcomes based costing: A strategic approach to activity based costing
• Systems modeling: An alternative approach to traditional need assessments
for human services
• Public Management Networks: A developmental guide
• Business planning manual.
• Community Return on Investment: A new metric for measuring return on
investment in the public sector
• Strategy Management Systems: Integrating balanced scorecard, community
return on investment and performance effectiveness
• Organizational transparency
• Balanced strategy: Integrating strategic planning with the balanced scorecard
approach
• Mutual accountability: An alternative approach to community based planning
• The new public leadership
• Policy leadership: Integrating the balanced scorecard and Carver's
governance model in the public sector.
41
Appendix B: Competitive Performance Systems
Competitive Performance Systems, Inc. (CPS) an organization development firm
dedicated assisting organizations plan strategically, design how they do their
work, and measure performance.
The firm's areas of expertise include:
➢ Organizational Assessments using nationally recognized criteria for
organizational success
➢ Strategic Success PlanningTM including vision/mission development,
identification of organizational success factors, and development of strategies
to insure those success factors.
➢ Strategic Deployment Planning and Execution, including alignment of
organizational structure, systems, and processes to support strategic
direction.
➢ Work System Design including integration of work functions, cross -functional
teaming, and performance management systems.
➢ Leadership Systems and Succession Planning among all levels of an
organization
➢ Process Management and Redesign required for the effective and efficient
delivery of products and services.
42
Appendix C: Resumes
Herbert A. Marlowe, Jr.
Dr. Marlowe received his Ph.D. from the University of Florida, where he specialized in
process facilitation and strategy in the areas of organizational change and
effectiveness. His undergraduate work was also at the University of Florida.
Prior to completing his Ph.D., he had served as an organizational development
consultant for the U.S. Navy where he was a member of the team that developed the
Navy's strategy for continuous organizational improvement and the management of
cultural diversity. After completing his doctoral coursework at the University of
Florida, he joined the Florida Mental Health Institute. There he was a member of the
team charged with developing and implementing a new strategy for mental health
services.
After receipt of his Ph.D., he joined the staff of the University of Florida in a Center
focusing on the state's environmental issues. While there he managed a number of
research projects addressing strategies for natural resource protection and
management. Upon joining another Institute in the University, he was lead
consultant to a water utility developing and managing strategies for extensive
growth and organizational change.
Upon completion of this last project in 1991, he established a full time consulting
practice providing process facilitation and organizational strategy services. In
addition to organizational strategy, the practice quickly expanded into public policy
and community strategy development and facilitation. Clients have included non-
profit agencies, governmental entities, communities, and for-profit businesses.
Strategic planning services has been provided in such diverse topics areas as
economic development, downtown redevelopment, tourism development, water
policy, land use, environmental protection, public facility sitting, race relations, public
health, health and human services, and criminal justice. Dr. Marlowe has extensive
experience working on controversial and complex public policy issues with both
policy and citizens groups. Furthermore, since the majority of his practice is in
Florida, he is conversant with effective economic development strategies in the state.
Dr. Marlowe published extensively during his academic career and he has continued
to publish scientific and professional articles. He has had articles published in
journals such as: State and Local Government Review, Evaluation Review, Public
Productivity and Management Review, the Journal of the American Water Works
Association, the Journal of Educational Psychology, the Public Manager, Journal of
Managerial Psychology, Hospital and Community Psychiatry, and the Journal of
Correctional Psychology. In addition he has edited a number of books, technical
reports and book chapters.
In addition to his consulting practice Dr. Marlowe operates a working cattle ranch
and is a member of the Florida Cattleman's Association, the Florida Farm Bureau and
the Beefmaster Breeders' Association. He is a principal in Ricelake, Inc, which is a
property development and management firm. He is a fourth generation Floridian
with family and friendship ties in many areas of the state.
43
Mary G. Gamble
Ms. Gamble is President of Competitive Performance Systems, Inc. (CPS) an
organization development firm dedicated assisting organizations plan
strategically, design how they do their work, and measure performance.
Ms. Gamble holds degrees in Social Administration and Business Administration.
Her areas of expertise include:
➢ Organizational Assessments using nationally recognized criteria for
organizational success
➢ Strategic Success PlanningTM including vision/mission development,
identification of organizational success factors, and development of strategies
to insure those success factors.
➢ Strategic Deployment Planning and Execution, including alignment of
organizational structure, systems, and processes to support strategic
direction.
➢ Work System Design including integration of work functions, cross -functional
teaming, and performance management systems.
➢ Leadership Systems and Succession Planning among all levels of an
organization
➢ Process Management and Redesign required for the effective and efficient
delivery of products and services.
Prior to CPS, Ms. Gamble served as Vice President and Corporate Director of
Quality for Hellmuth, Obata and Kassabaum, Inc. the largest architectural design
firm in the world. In addition she has extensive experience working with
corporate organizations such as The Gillette Company and Hospital Corporation of
American.
She currently serves as Senior Judge for the Florida Sterling Award for
Organizational Performance Excellence; this panel of Judges is responsible for
selecting from among the manufacturing, service, health care, education, and
public and not for profit sectors, winners of the Florida Governor's Sterling
Award.
She has been selected by the Governor of Florida, as one of 23 Florida business
leaders to serve on the Florida Sterling Council, and charged with promoting
organizational Performance Excellence as a vision for Florida's economic future.
She continues to actively serve on that Board of Directors. In addition, she has
served as on the Malcolm Baldrige Board of Examiners, and numerous state
quality initiatives.
Since 2003-2004, when United Way of Tampa Bay developed the Strategic Plan
which called for that organization to become a Community Impact United Way, Ms.
Gamble has worked with United Way of Tampa Bay volunteer and professional
leadership and staff in that transformation process. The following is a summary list
of the types of services Ms. Gamble has provided United Way of Tampa Bay thus
far:
• Development of the Strategic and Annual Business Planning
• Strategic Deployment activities to align United Way board, staff, systems
44
and processes, including the traditional investment process, to the
Community Impact Model.
• Integration of the United Way Standards of Excellence into United Way of
Tampa Bay's systems and processes.
• Both formal and informal gathering of community information including
surveys, interviews and meetings intended to provide an understanding of
Tampa Bay community conditions and community indicators/metrics.
• Facilitation of numerous meetings to determine and develop United Way of
Tampa Bay's focus on Family Economic Well Being.
• Research on Family Economic Well Being Models.
Ms. Gamble continues to work with not for profit agencies throughout Tampa Bay
such as Big Brothers Big Sister, The Children's Home, Mac Donald Training Center,
The Spring, The Child Abuse Council, Girl Scouts, 211, and the Children's Board of
Hillsborough County. She is currently redesigning Hillsborough County School's
Choice Program based on information gained through a Community Engagement
process.
45
Appendix D
Why a strategy management system?
What is the true value of a strategy management system? A strategy management
system is not in the end about measuring every aspect of county government that
can be counted. It is not ultimately about creating process maps that detail every
work flow sequence. It is not finally about using new words or concepts to say we
are doing business differently. While it addresses measures, processes, and
communication concepts, a strategy management system is about leadership
for the public good. It is about the alignment of the needs, aspirations and values
of stakeholders so that they trust the organization and its leaders and are willing to
support leadership to address the issues that need to be addressed and create the
solutions that are needed for the future.
Once we are clear that the purpose of a strategy management system is to promote
and facilitate leadership for the public good we are halfway home. To complete the
journey, we must design and deploy a system truly focused on adding value through
leadership. This means we must avoid creating such an elaborate system that what
we wind up serving is the system instead of the public good. We cannot become so
obsessed with our method that it becomes the end instead of a tool. Time and time
again, we have seen staff create meaningless measures in response to a demand for
performance measurement. We should measure those activities or processes that tell
us if we are adding value and that can help us add greater value. If the measures
don't assist staff to determine where and how they can better contribute, then they
are the wrong measures.
A strategy management system enables three actions:
• Establishes strategic goals, priorities and direction.
• Aligns the human and fiscal resources, the organizational structure and
processes, and the performance indicators with the strategic goals.
• Produces key strategic results through a system of controls and
accountabilities.
Table 1 summarizes the high level changes that are occurring in the public sector
that are driving interest in strategic management systems. In addition to these high
level changes, there are all the local dynamics that urban Florida counties are
experiencing that creates pressures for approaches such as a strategy management
system. These include:
• Continued fiscal pressures due to unfunded mandates and state and federal
pass-throughs;
• Growing populations with changing demographics;
• Changes in technology;
• Continued pressures for accountability;
• Municipal annexations;
• For Pinellas and Broward counties an increased role of redevelopment as raw
land availability disappears;
• Public taxation policies.
46
Table 1: The strategic context for change
Historic public sector
To_
Future approach
Centralized planning
To
Stakeholder based adaptive and
dynamic planning
Fixed, predictable environment
To
Changing environment
Mature organization
To
Mix of mature and new organizations
Input based management - focus
on programs
To
Outcome based management - focus
on results
Appropriated funds - cost is free
To
Market based model
Segmented information - closed
architectures
To
Networked information - Open
architectures
Stove piped units
To
Aligned units; public management
networks
A strategy management system that is most likely to succeed in an urban county
government setting has the following features:
• A vision, widely -shared by the community, forms the foundation of the
system. The system's purpose is well -understood and accepted internal and
external to the organization.
• The system strikes the right balance among simplicity, clarity, substance, and
professional utility.
• The governing board provides strong leadership in the development of the
vision and key strategic plan components.
• The key leadership of the organization is engaged in keeping the plan current
through periodic updates and reviews. The Strategic Management System is
more like a motion picture than a still picture.
• A straightforward method, such as balanced scorecard, for both
communicating the plan and measuring progress toward the plan's goals and
priorities.
• Systems that aligns the goals and priorities of the community and
organization with human and fiscal resources.
• The organization evaluates itself by measuring progress toward achieving
strategic goals.
• There is systematic and regular review of organizational performance and
progress by leadership.
Each of these features is discussed in greater detail in appendix a.
47
Four Key Terms
Four terms summarize the essence of our approach to strategic management
systems - "results"; "alignment"; "accountability" and "added value". Why these
four terms?
• Results. The purpose of a strategy management system is to produce results
but not just any results. Every organization every day produces results.
Those results may be of poor quality, may conflict with each other, and may
fail to satisfy stakeholders. What a strategy management system should
produce are strategic results, results that substantively contribute to the
vision, to the goals, to community and organizational priorities. Strategic
results should move the organization to a higher level of performance and the
community to a higher quality of life.
• Alignment. One of the reasons that strategic plans fail is that neither the
financial nor human resources of the organizations are aligned with the intent
of the plan. Staff continues to do what they do, budgets reflect past year
expenditures rather than strategic priorities. Other factors that contribute to
the failure of strategic plans are that neither the structure nor processes of
the organization are redesigned to better produce the desired results. As
figure 1 illustrates, there are a number of factors which must be aligned
together to produce the results of the strategic plan.
• Accountability. One key to achieving results is to align the organization as a
whole toward the results. The second key is to establish clear points of
accountability at team and individual levels. This accountability answers the
questions of whom, what and when. Without specific accountability
assignments, and systems to track accountability, the pressures of everyday
work override strategic goals.
• Added value. The true test of a result is whether it adds value. Is the product
or service of higher quality? greater affordability?; More satisfying to the
user?; than the current product or service? Added value is defined as a
dynamic that results when the organization's leadership, its stakeholder's
values and aspirations and performance are consistent and produce results
important to the community.
Aligning needs, aspirations and values is the definition of leadership by James
McGregor Burns. A strategy management system is a system for producing
leadership by aligning community goals with organizational goals. When customer
service, organizational goals and community values align, there is truly added value.
Managing Strategy for Results
Our approach to strategic management systems draws on our extensive experience
developing successful approaches and learning from practices that did not produce
the desired results. Our approach also draws on leading practices from the field that
others have found effective, specifically those practices found in other County
Governments that have successful strategy management systems while also
48
including Florida Sterling and/or Malcolm Baldrige Award Winners. These
organizations serve as our benchmarks for the design and implementation of the
strategic management systems we provide.
Figure 2 illustrates the major elements of our approach. In brief these are:
• A strategic plan. The driving force of a strategy management system is the
strategic plan. This plan should be consistent with community priorities while
addressing the long term opportunities and issues facing the county.
• An annual agenda. The key is not in the plan but how the plan is worked.
Where the time frame is annual or quarterly, specific, tangible actions should
be taken through a work plan for that year. In our approach we develop an
annual agenda with the board and executive group so that the leadership of
the organization is focused on the work to be done that year that will move
the plan forward. One way to continuously move the agenda is to organize
the board's meeting agenda to reflect the strategic plan and annual agenda.
Textbox 1 comments on this technique.
Textbox 1
Organizing the regular meeting agenda around the
strategic plan and annual agenda.
Many of our clients have re -organized their agenda
to reflect their strategic priorities. One approach is
to organize the agenda not by departments but by
strategic goals. Another approach is within each
agenda item, even if organized by department, is to
reference the strategic goal the agenda item is
addressing. A third approach is to provide a
scorecard report regularly at board meetings.
• Strategic budgeting. The fiscal resources of the organization must be
appropriately committed to the plan. This requires both dedicated or targeted
funds as well as a budget process that examines strategic priorities during the
process of building the budget each year.
• A strategically focused table of organization. If the strategic plan is to be
implemented, the organization must be structured for that end. In practice,
many strategic goals cross departmental lines and require multi -disciplinary
teams for their design and implementation. In our work with Broward County
we have distinguished between operational work (existing work which must
be done on a repetitive basis) and project work (time limited work to initiate a
strategic goal). Both types of work contribute to long term strategic goals,
49
but some strategic goals are best moved forward with dedicated project
teams. The approach to the balanced scorecard that we use incorporates both
operational and project scorecards as discussed in appendix b.
• Performance indicators. Performance indicators help us answer the question,
"What progress are we making toward the strategic goals and priorities. They
may be of two types: products and processes. Products are tangible end
results, a new economic development strategy, a new parks program, etc.
Processes are interim measures that inform us whether we are on track. Our
belief is that if we work the process, we will get the product.
• Work plans. Work plans integrate fiscal and human resources around a set of
performance indicators (with time benchmarks). An effective strategy
management system not only has work plans but also has a system for
managing various work plans in an integrated manner.
• Individual performance appraisal systems that allow each employee to have a
line of sight between their work and the results sought by the organization;
• Data bases and information systems that provide user-friendly, readily
accessible and real time when possible information about progress toward
results
These major elements do one critical thing. They produce results! Setting a specific
agenda for the year, committing fiscal and human resources to that agenda, and
having a work management system that tracks and adjusts performance is a proven
formula for generating results.
Figure 1
50
Aligning the Organization to the Strategic Plan
Balanced
Scorecard
Human Resources
Fiscal Resources
1 11
Organizational Structure
Organizational Processes
Work Plans
Performance Indicators
Strategic
Goals &
Priorities
51
Figure 2
Strategic Management System: Major Elements
Strategic
Plan
Strategic Budget
Annual Fon I
Agenda
Performance
Indicators
The Balanced Scorecard
Strategically
Focused T.O.
l_.
Work Plan
The firm's approach to strategy management system development is built around the
use of the balanced scorecard as the organizing framework. Appendix b discusses
our approach to balanced scorecard in greater detail. We approach the development
of a balanced scorecard as a series of value adding questions as shown in figure 3.
This approach is based on our belief and experience that when an organization is
focused on adding value for its stakeholders and customers, it will produce results
that do truly add value. To do show requires that we answer questions of value
addition at every step in the process.
52
Figure 3
An added value approach
to the balanced scorecard
Action Plan
Strategy
Vision
Values
Mission
How we will add value?
Pathway to added value
Value we seek to add
Guiding principles for adding value
Value we are purposed to add
53
A cyclical strategy management system
Our approach to a strategy management system, Managing Strategy for Results,
develops a system that operates in three major phases, as shown in figure 4, which
are iterative and overlapping. The first phase is strategic thinking; envisioning the
future with its opportunities and challenges. The second is Integrated Planning;
selecting the pathways most likely to achieve the desired results and planning how to
effectively pursue those paths. The third is strategy deployment; working and
adjusting the plan to achieve results.
Figure 4
Major Phases of Strategy Management System
Strategic
Thinking
Deployment
Integrated
Planning
54
performance measurement to the strategic direction and (3) strategic results are
produced. To create a truly effective strategy management system we must focus
on results, alignment, accountability and added value. The system continuously
moves from thinking (analysis and synthesis) to planning to action to rethinking
based on results. Most importantly, it is a system which fosters enhances leadership
by aligning the needs, values and aspirations of stakeholders to the results produced
by the organization.
Types of Competencies Needed
for Strategy Management Design and Deployment
o 0 0
2 CD
o- a
( o
Cm
v
1-
0
`D
The
Competency
Cube
Expertise in Strategy
Management
55
Appendix E: Balanced Strategy: A Public Capital Building Approach to Strategic
Planning
Introduction
The purpose of a strategic plan is to develop strategies that will increase the
company's assets or capital while minimizing its liabilities or weaknesses. In the
private sector assets and liabilities are most frequently measured in financial
terms and strategic thinking seeks some form of competitive advantage.
In the public sector financial sustainability is obviously significant. However
there are other forms of capital that are also significant and should be addressed.
In the Balanced Strategy approach four forms of public capital are addressed. A
public sector strategic plan should address each type of capital if it is have optimal
impact. These four forms of capital are described below.
Four Types of Public Capital
Socias Capital
Social capital addressed the relationships in a community and the level of trust
that exists among its members. Research studies have shown that communities
with low levels of social capital fare less well in terms of economic vitality and
quality of life issues.
In the public sector social capital is strengthened through a number of activities.
Civic and recreational services, health and human services, boards and
commissions, and community events all serve to bring people together, to let
people engage in shared tasks, to develop skills in working together for shared
ends.
Environmental Capital
Environmental capital addresses both the built and natural environment. A
community's quality of life and economic vitality is highly dependent upon both.
The built environment consists of physical objects such public facilities,
infrastructure and housing. But it also consists of a legal and regulatory
infrastructure such as land use regulations, zoning codes, architectural standards,
master, comprehensive and redevelopment plans and enforcement activities.
The natural environment obviously consists of preservation areas, parks, open
space, green space, water supply as well as regulatory functions such as air and
water quality regulations. The quality of the environment, both built and natural
have significant impact on resident's quality of life as well as on the economic
opportunities of the community.
56
Financial Capital
Obviously a strategic plan cannot succeed if the financial resources are not
available to make the needed investments. Financial viability is just as
significant for a public entity as it is for a private entity. The difference
obviously is in how that economic viability is obtained. A strategic plan for the
public sector should address strategies for growing the tax base while fostering
other forms of economic development. Other strategies for revenue generation
such as bonding (and maintaining bond ratings), grant seeking, and partnerships
should be considered.
In addition to revenue generation, expenditure control is the other path to
financial stability. Ongoing efforts to control costs are of equal importance.
Since the major operational costs of the public sector involve personnel, costs for
pensions, insurance and annual salaries and benefits are some areas to address.
The other major cost monitoring strategy is ensuring the costs of maintaining
capital projects are not overlooked.
Human and Intellectual capital
Finally, human and intellectual capital should not be overlooked. There are
enormous hidden costs associated with staff errors or low quality work and
significant costs associated with staff turnover. Improving quality, reducing re-
work; reducing turnover, fostering creative thinking are all ways to enhance
performance.
We should also recognize that the development of human and intellectual capital
is not restricted to staff. As volunteers become more knowledgeable, as the
community is more informed, as more ideas are generated and considered, the
quality of work and community life improve.
A public sector organization builds human and intellectual capital through
activities such as staff development; public information and education efforts,
participation on boards and commissions, public participation events, health and
human service activities, arts and culture programs and recreational activities.
Summary
The Balanced Strategy approach to strategic planning examines strategies in all
four of these areas in the belief they are interdependent. As interdependent forms
of capital, failure to address one area creates weaknesses in the strategies for the
other areas. By addressing all four forms of capital, the linkages, overlaps and
opportunities for synergy are enhanced.
57
Appendix F:
Communicating direction, distinctive added -value,
culture and boundaries: Compelling vision
statements, Actionable mission statements and
Guiding value statements
Draft 1.0
May 15, 2008
Working Paper
Herbert A. Marlowe, Jr.
The purpose of this guide is to assist you in developing effective vision, mission
and value statements. Almost all organizations have such statements, but most
are of little practical value and rarely justify the time and effort spent in
developing them. It is our belief that there can be real value in such statements
and they form the basis for ongoing strategy management. All organizations
want committed employees who are genuinely striving to do the best for the
customer. All organizations want strong and enduring customer relationships
that are mutually beneficial. All organizations want to sustain themselves and
thrive in the future. All organizations want to develop and maintain a good
reputation with the customers, employees, stockholders, stakeholders, etc.
Achieving these wants begins with vision statements that are compelling,
mission statements that are actionable and values statements that guide actions
and decisions.
This guide is divided into the following sections:
Section 1: The purpose of vision, mission and value statements. This section
serves to clarify the various purposes and uses of these statements.
Section 2: Characteristics of compelling vision statements, actionable mission
statements and guiding values statements. This table delineates the elements of
these various statements.
Section 3: Features of a Compelling Vision Statement. This narrative discusses
the various features of a compelling vision statement.
58
Section 4: Features of an Actionable Mission Statement. This narrative discusses
the various features of an actionable mission statement.
Section 5: Features of a Guiding Values Statement. This narrative discusses the
various features of a guiding values statement.
Section 6: Questions which generate key mission, vision and values points. This
table lists some questions that can be used to generate the information needed to
develop these statements.
Section 7: Mission statement examples. This section provides some examples of
mission statements.
59
Section 1: The purpose of vision, mission and value statements. This
section serves to clarify the various purposes and uses of these
statements.
Section 1: Purpose of Vision, Mission and Core Values Statements
This table details the multiple purposes of vision, mission and values
statements.
Purpose of the
vision statement
Purpose of the mission
statement
Purpose of the values
statement
Communicate a
desired future
state.
Communicate the
end result of an
organization's
effort.
Drive a strategic
plan;
organizational
change effort.
Communicate the
ideal toward
which the
organization is
striving.
Communicate what the
organization will do to
achieve the vision.
Communicate the value-
added products and
services the organization
will provide for their
customers.
Provide a basis for
decisions about whether
current or future work is
a "fit" with the
organization.
Communicate what
distinguishes the
organization from those
in a similar business.
Communicate significant
behaviors and attitudes that
should be exemplified during
the process of achieving the
vision.
Communicate the boundaries
within which the daily work
of the organization will occur.
Provide a basis for
identifying behaviors which
fall outside the expected or
accepted.
Communicate the culture
which will characterize the
organization as it achieves the
vision.
Create a distinctive and
shared identity.
Provide a basis for decisions
about relationships within
and without the company.
60
Section 2: Characteristics of compelling vision statements, actionable
mission statements and guiding values statements.
This table delineates the elements of these various statements.
Section 2: Characteristics of Compelling vision statements, actionable mission
statements and guiding values statements
A compelling vision
statement should
Be exciting
Create "pull"
Be challenging
Inspire
Motivate
Be memorable
Have high communication value, i.e. create a strong
image
Communicate a worthwhile legacy
Communicate a sense of that one is part of
something greater
An actionable mission
statement should:
A guiding values
statement should
Communicate what it is we will do
Communicate why we are doing what we do
Communicate how we will do it differently
Communicate who we are doing it for
Communicate the results of doing it
Be believable
Identify desired behavior
Communicate undesirable behavior
Communicate what is truly important to the
company
Communicate the reputation the company wants to
build
Communicate the culture the company wants to
build
Provide a standard against which organizational
behavior can be judged
61
Section 3: Features of a Compelling Vision Statement
• It should excite and challenge. A compelling vision statement should
communicate a future that people want to help create and that will call
forth from them their best work. It should create the "pull" that brings
people to the table. The vision itself should inspire and tap into the
internal motivations of those who must contribute to it.
• It should be memorable. A compelling vision statement should
communicate a strong image of the future. While the details will be
developed during the process, the vision statement should communicate a
shared image which is "big picture" clear.
• It should be worthwhile. Achieving a vision requires significant
contribution and effort from all parties. It must be worth this effort.
There must be enough "payoff" in the end to justify the work that will be
required. This "payoff" may be a legacy, the intrinsic rewards of
contributing to something greater than oneself and/or the growth that
comes from achieving a challenging goal.
Section 4: Features of an Actionable Mission Statement.
• It should be useful. It actually helps in making decisions, guiding
organizational actions. Some of the following features describe the potential
"usefulness" of an actionable mission statement.
• It should foster focus and boundaries. A useful mission statement is one
which helps you determine whether to say "yes or no" to new opportunities.
It should provide a standard against which to judge the activities of the
organization. Does this program, project, strategy, etc keep us "on mission"
or does it not? A useful mission statement helps the organization make
consistent decisions.
• A useful mission statement should identify your core business or
competency. For example, if the mission statement of the railroads had been
"we transport people and goods efficiently and effectively" they might have
responded to trucking and air transport differently than they did. A useful
mission statement helps you see opportunity. When you put the means in a
mission statement, you limit yourself. If for example, we change the above
62
mission statement to "we transport people and goods efficiently and
effectively by rail" we will limit our view of business opportunity.
• It should foster identity. A useful mission statement lets everyone know who
you are and how you differ from the rest of the world.
• It should be meaningful enough to be memorable. This means it cannot be
unduly long as any organizational member, board or employee, should be
able to state it when asked. When the target audience is larger than these
groups, then tag lines consistent with the mission should be short and
memorable enough that the target audience "gets it"
• It should meet our human need for purpose. It should communicate why we
do what we do. It should help members see that we are working for
something larger than ourselves and a paycheck.
• It should communicate the targets or objects of the mission. To whom is this
mission directed? If there are multiple targets (customers, employees, visitors,
businesses, residents, etc), these should be specified.
• It should be enduring. Board members come and go as do staff. Strategies
shift as do specific goals and objectives. But the mission statement should be
such a fundamental statement of what the organization is about that
changing it substantively truly reflects a significant organizational
redirection.
Section 5: Features of a Guiding Values Statement.
• It must be believable. If the values statement is so contradictory to actual
values in practice that employees smirk when they read it, then it will not
work as a values statement. If this is the case, and the leadership believes
these values need to be instilled, then a substantive values and culture change
intervention should occur.
• It should communicate high level behavioral boundaries. It should help
employees and other associates understand the desired behaviors at a high
level and by definition what behaviors are not desired. Using the word
"integrity" as an example it communicates that the organization wants to act
in an honest and trustworthy manner. Therefore it doesn't want to lie and
63
cheat. That is the principle which must be applied over and over again. It is
the standard against which specific actions or behaviors will be judged.
• It should communicate how the company wishes to be and be seen as. It is in
acting out the values that the reputation of the firm is built. The values
statement answers the question, "What reputation do we want to have?"
• It should communicate the culture the organization is seeking to keep or
build. The organization's culture is it values and norms in practice. The
culture is an actual representation of what is valued, rewarded, encouraged.
The culture guides acceptable and unacceptable behaviors.
Section 6: Questions which generate key mission, vision and values
points.
This table lists some questions that can be used to generate the information
needed to develop these statements.
Questions to help develop vision, mission and value statements
These questions, used singly or in combination, are designed to assist a group to
think through the concepts, ideas and words that are important to them. The
answers supply the raw data from which vision, mission and value statements
can be crafted.
Vision Statement
Mission statement
Values statements
What do we want to be
recognized for?
Why do we exist?
What is important to us?
What position do we
want to hold in our field?
What is our function?
Based on our behaviors,
what are our values? Are
those the values we want
to emphasize in the
future?
What opportunities do
we want to seize?
What is our purpose?
How do we want people
to treat each other in the
organization?
How do we want to
distinguish ourselves?
What do we do
differently than others in
our business?
How do we want to treat
our customers and
stakeholders?
What will be different as
What is the value we
What kind of
64
a result of this effort?
want to add to the
products and services we
produce that others also
produce?
organizational culture do
we want?
If we continue on our
current course, where
will we be in ... years?
Do we want that?
What do others think we
contribute?
What reputation do we
want?
What is energizing?
What possibility excites
you?
What are we known for?
What do others think we
could contribute that we
aren't contributing
today?
How do we differ from
our competitors? From
those who provide
similar services and
products?
What could we
contribute that we aren't
contributing today?
What is the one thing we
must never take our eye
off of?
What would we like to be
known for?
How do we want to
differ from our
competitors?
How must we
fundamentally change
our business?
What we did in the past
that worked that we
aren't doing today?
What legacy do we want
to leave?
Why do we exist?
What are we passionate
about?
What do we want to
become when we grow
up?
What is our purpose?
What behaviors do we
encourage in our policies
and procedures?
What are our dreams and
hopes for the future?
Who are we and for what
are we known?
For us, success is?
What are our dreams and
What are we trying to
What do our priorities
65
hopes for this
organization?
accomplish?
tell us about what we
value?
What are our highest
aspirations for this
company?
How do our customers
see us? What are we
doing for them?
What do our allocation of
resources
(time/people/dollars) tell
us about what is really
important to us?
How will we be unique
and different in ... years?
What is the one thing we
must never take our eyes
off of?
What do vendors say our
values are?
What are the
opportunities we must
seize?
What is our special
calling?
What do customers say
our values are?
How must we
fundamentally change
how we do business?
At the core of what we
do, what business are we
really in?
What makes employees
most proud/most
embarrassed to work
here?
What could really excite
and turn on our
workforce?
How are we different
from our competitors?
The real trophy for us
would be?
Section 7: Mission statement examples.
This section provides some examples of mission statements.
Company
Mission Statement
Advest
We are committed to helping people build wealth, primarily
toward retirement, through the highest quality, most
committed professionals in the industry
Anheuser-Busch
The mission of Anheuser-Busch is to:
Be the world's best beer company
Enrich and entertain a global audience
Deliver superior returns to our shareholders
Blockbuster
To be the global leader in rentable home entertainment by
providing outstanding service, selection, convenience and
66
67
value
Cray Research
Cray Research provides the leading supercomputing tools
and services to help our customer's most challenging
problems.
CUNA Mutual
Creating financial security
Starship
Enterprise
Its five year mission: To explore strange new worlds, to seek
out new life and new civilizations, to boldly go where no
man has gone before.
67
DATE: July 15, 2008
SUBJECT: City Council Meeting — July 24, 2008
ITEM: 10C1. Consider a resolution authorizing the Mayor to execute an agreement
with Analytica for strategic planning consulting & facilitation services.
Department:
Staff Person:
Justification:
Administration
Jim Nuse, City Manager
The City has a strategic plan that is reviewed annually but has not been comprehensively
updated in several years. In order to provide for a comprehensive update of the plan, the City
issued a request for proposals for consulting and facilitation assistance. City staff received and
evaluated 10 proposals. Analytica provided the best response based on the requirements
established by the City. The scope of work will include assistance in articulating the City's vision
of the future, updating City Council goals, identifying strategies to achieve the goals and
development of a comprehensive strategic plan document. The process will also assess the
organizational climate and will help the City formulate a plan for its future structure.
Funding:
Cost: $83,000 plus reimbursable travel expenses
Source of funds: General Fund
Outside Resources: N/A
Background Information:
For years the City has operated under a strategic perspective and developed and utilized
strategic plans for carrying out its core services. The most recent City-wide effort was a 10 year
operational plan process conducted in the fall of 2005 whereby input from over 600 citizens
was received. Building on its previous success and coming upon a population of 100,000, the
City is at a critical point and needing to develop an updated comprehensive strategic plan that
meets the goals and objectives of the City Council and also provides a guideline for
departmental operational plans. This plan will also be used as a guide to develop the future
structure of the organization.
Public Comment: N/A
Executed
Document
Follows
CITY OF ROUND ROCK AGREEMENT FOR
PROFESSIONAL CONSULTING SERVICES FOR
FACILITATION AND STRATEGIC PLANNING ADVISORY SERVICES
WITH ANALYTICA
THIS AGREEMENT for professional consulting services for facilitation and strategic
planning advisory services relating to development of a comprehensive strategic plan
incorporating strategic, leadership, and operational objectives into the City of Round Rock's
"high performance" philosophy (the "Agreement") is made by and between the City of Round
Rock, a Texas home -rule municipal corporation with offices located at 221 East Main Street,
Round Rock, Texas 78664-5299, (the "City") and Analytica (the "Consultant"), with offices
located at Post Office Box 998, Newberry, Florida 32669.
RECITALS:
WHEREAS, City has determined that there is a need for the delineated services; and
WHEREAS, City desires to contract for such professional services; and
WHEREAS, the parties desire to enter into this Agreement to set forth in writing their
respective rights, duties and obligations hereunder;
NOW, THEREFORE, WITNESSETH:
That for and in consideration of the mutual promises contained herein and other good and
valuable consideration, the sufficiency and receipt of which are hereby acknowledged, it is
mutually agreed between the parties as follows:
1.01 EFFECTIVE DATE, DURATION, AND TERM
This Agreement shall be effective on the date this Agreement has been signed by each
party hereto, and shall remain in full force and effect unless and until it expires by operation of
the term indicated herein, or is terminated or extended as provided herein.
The term of this Agreement shall be until full and satisfactory completion of the work
specified herein is achieved, but in no event later than one (1) year from the effective date of this
Agreement.
City reserves the right to review the Agreement at any time, including at the end of any
deliverable or phase or task, and may elect to terminate the Agreement with or without cause or
may elect to continue.
1.02 CONTRACT AMOUNT
In consideration for the professional consulting services to be performed by Consultant,
City agrees to pay Consultant a total sum not to exceed Eighty-three Thousand and No/100
Dollars ($83,000.00), in payment for services and the Scope of Work deliverables as delineated
001e1013//kg"O14
in Exhibit "A" and herein in Section 1.03. This amount does not include expenses which
otherwise are reimbursable under this Agreement as delineated in Section 1.04.
1.03 SCOPE OF WORK
For purposes of this Agreement, Consultant has issued its Scope of Work for the
assignments delineated herein, and such Scope of Work is recited in Exhibit "A" attached hereto
and incorporated herein by reference for all purposes. This Agreement shall evidence the entire
understanding and agreement between the parties and shall supersede any prior proposals,
correspondence or discussions. Consultant shall satisfactorily provide all services and
deliverables described under the referenced Scope of Work within the contract term specified in
Section 1.01. Consultant's undertakings shall be limited to performing services for the City
and/or advising the City concerning those matters on which Consultant has been specifically
engaged. Consultant shall perform its services in accordance with this Agreement and in
accordance with the referenced Scope of Work. Consultant shall perform its services in a
professional and workmanlike manner.
Consultant shall not undertake work that is beyond the Scope of Work set forth in Exhibit
"A" and in this Section 1.03. However, either party may make written requests for changes to
the Scope of Work. To be effective, a change to the Scope of Work must be negotiated and
agreed to in all relevant details, and must be embodied in a valid Supplemental Agreement as
described in Section 1.05 hereof.
1.04 PAYMENT FOR SERVICES; REIMBURSABLE EXPENSES
Payment for Services: In consideration for the consulting services to be performed by
Consultant, the City agrees to pay Consultant the following "Payment for Services:"
Fees for the listed deliverables in the total amount of Eighty-three Thousand and No/100
Dollars ($83,000.00) shall be paid by the City in the following manner:
Task 1 Project organization & initial data collection $ 7,500
Task 2 Issues & Opportunities analysis $ 7,500
Task 3 Organizational assessment $ 5,000
Task 4 Issues & Opportunities workshop series I $ 7,500
Task 5 Issues & Opportunities workshop series II $ 7,500
Task 6 Council workshop preparation $ 2,500
Task 7 Council workshop $ 2,500
Task 8 Strategic plan development & testing $ 6,000
Task 9 Strategic plan endorsement $ 2,500,
Task 10 Business and operational plan development $22,000
Task 11 Strategic budgeting $ 2,500
Task 12 Analytics $ 5,000
Task 13 Organizational structure $ 2,500
Task 14 Continuous high performance $ 2,500
TOTAL $83,000
2
The approximate loading of Analytica's professional time and costs by task is as is
delineated in Exhibit "B" entitled "Timeline" and in Exhibit "C" entitled "Fees," both of which
are attached hereto and incorporated herein by reference for all purposes.
Payment for Reimbursable Expenses: Reimbursable expenses authorized by the City
shall be paid to Consultant at actual cost, upon Consultant properly invoicing for same and
providing documentation for same. Such reimbursable expenses shall not exceed the total
amount of Twenty Thousand Seven Hundred Fifty and No/100 Dollars ($20,750.00).
Not -to -Exceed Total Payment for Services: Unless subsequently changed by
Supplemental Agreement, Consultant's total compensation for consulting services hereunder
shall not exceed Eighty-three Thousand and No/100 Dollars ($83,000.00). This amount
represents the absolute limit of the City's liability to Consultant hereunder unless same shall be
changed by Supplemental Agreement, and the City shall pay, strictly within the not -to -exceed
sum recited herein, Consultant's professional fees for work done on behalf of the City.
Deductions: No deductions shall be made for Consultant's compensation on account of
penalty, liquidated damages or other sums withheld from payments to Consultant.
Additions: No additions shall be made to Consultant's compensation based upon project
claims, whether paid by the City or denied.
1.05 SUPPLEMENTAL AGREEMENT
The terms of this Agreement may be modified by written Supplemental Agreement
hereto, duly authorized by City Council or by the City Manager, if the City determines that there
has been a significant change in (1) the scope, complexity, or character of the services to be
performed; or (2) the duration of the work. Any such Supplemental Agreement must be
executed by both parties within the period specified as the term of this Agreement. Consultant
shall not perform any work or incur any additional costs prior to the execution, by both parties,
of such Supplemental Agreement. Consultant shall make no claim for extra work done or
materials furnished unless and until there is full execution of any Supplemental Agreement, and
the City shall not be responsible for actions by Consultant nor for any costs incurred by
Consultant relating to additional work not directly authorized by Supplemental Agreement.
1.06 INVOICE REQUIREMENTS; TERMS OF PAYMENT
Invoices: To receive payment following delivery of all deliverables, Consultant shall
prepare and submit detailed progress invoices to the City, in accordance with the delineation
contained herein, for services rendered. Such invoices for professional services shall track the
referenced Scope of Work, and shall detail the services performed, along with documentation for
each service performed. Payment to Consultant shall be made on the basis of the invoices
submitted by Consultant and approved by the City. Such invoices shall conform to the schedule
of services and costs in connection therewith.
3
Should additional backup material be requested by the City relative to service
deliverables, Consultant shall comply promptly. In this regard, should the City determine it
necessary, Consultant shall make all records and books relating to this Agreement available to
the City for inspection and auditing purposes.
Payment of Invoices: The City reserves the right to correct any error that may be
discovered in any invoice that may have been paid to Consultant and to adjust same to meet the
requirements of this Agreement. Following approval of an invoice, the City shall endeavor to pay
Consultant promptly, but no later than the time period required under the Texas Prompt Payment
Act described in Section 1.10 herein. Under no circumstances shall Consultant be entitled to
receive interest on payments which are late because of a good faith dispute between Consultant
and the City or because of amounts which the City has a right to withhold under this Agreement
or state law. The City shall be responsible for any sales, gross receipts or similar taxes
applicable to the services, but not for taxes based upon Consultant's net income.
1.07 REQUIRED DRAFT REPORTS AND FINAL REPORT
Consultant agrees to provide the City with draft reports and a detailed final written report,
together with all information gathered and materials developed during the course of the project.
Additionally, Consultant agrees to provide any necessary oral presentations of such written
reports, at the City's designation and at no additional cost to the City.
Consultant agrees to provide the City with ten (10) additional bound copies of the final
written report, with one (1) additional unbound copy being delivered which is suitable for
making additional copies at the sole election of the City. All copies of the written final report
will be on 8-1/2" x 11" or 8-1/2" x 17" paper, will be primarily in black and white, will be spiral
bound, and will contain color pages, images, photos, and diagrams as necessary. Consultant
shall also deliver two (2) reproducible CDs to the City, all at no additional cost to the City.
1.08 LIMITATION TO SCOPE OF WORK
Consultant and the City agree that the scope of services to be performed is enumerated in
Exhibit "A" and in Section 1.03 herein, and may not be changed without the express written
agreement of the parties. Notwithstanding anything herein to the contrary, the parties agree that
the City retains absolute discretion and authority for all funding decisions, such to be based
solely on criteria accepted by the City which may be influenced by but not be dependent on
Consultant's work.
1.09 NON -APPROPRIATION AND FISCAL FUNDING
This Agreement is a commitment of the City's current revenues only. It is understood and
agreed that the City shall have the right to terminate this Agreement at the end of any City fiscal
year if the governing body of the City does not appropriate funds sufficient to purchase the
services as determined by the City's budget for the fiscal year in question. The City may effect
such termination by giving Consultant a written notice of termination at the end of its then -
current fiscal year.
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1.10 PROMPT PAYMENT POLICY
In accordance with Chapter 2251, V.T.C.A., Texas Government Code, any payment to be
made by the City to Consultant will be made within thirty (30) days of the date the City receives
goods under this Agreement, the date the performance of the services under this Agreement are
completed, or the date the City receives a correct invoice for the goods or services, whichever is
later. Consultant may charge interest on an overdue payment at the "rate in effect" on September
1 of the fiscal year in which the payment becomes overdue, in accordance with V.T.C.A., Texas
Government Code, Section 2251.025(b). This Prompt Payment Policy does not apply to
payments made by the City in the event:
(a)
There is a bona fide dispute between the City and Consultant, a contractor,
subcontractor, or supplier about the goods delivered or the service performed
that cause the payment to be late; or
(b) There is a bona fide dispute between Consultant and a subcontractor or
between a subcontractor and its supplier about the goods delivered or the
service performed that causes the payment to be late; or
(c) The terms of a federal contract, grant, regulation, or statute prevent the City
from making a timely payment with federal funds; or
(d) The invoice is not mailed to the City in strict accordance with any instruction
on the purchase order relating to the payment.
1.11 TERMINATION; DEFAULT
Termination: It is agreed and understood by Consultant that the City may terminate this
Agreement for the convenience of the City, upon fifteen (15) days' written notice to Consultant,
with the understanding that immediately upon receipt of said notice all work being performed
under this Agreement shall cease. Consultant shall invoice the City for work satisfactorily
completed and shall be compensated in accordance with the terms hereof for work accomplished
prior to the receipt of said notice of termination. Consultant shall not be entitled to any lost or
anticipated profits for work terminated under this Agreement. Unless otherwise specified in this
Agreement, all data, information, and work product related to this project shall become the
property of the City upon termination of this Agreement, and shall be promptly delivered to the
City in a reasonably organized form without restriction on future use, subject to the conditions
set forth in the Standard Proposal Addendum. Should the City subsequently contract with a new
consultant for continuation of service on the project, Consultant shall cooperate in providing
information.
Termination of this Agreement shall extinguish all rights, duties, and obligations of the
City and the terminated party to fulfill contractual obligations. Termination under this section
shall not relieve the terminated party of any obligations or liabilities which occurred prior to
termination.
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Nothing contained in this section shall require the City to pay for any work which it
deems unsatisfactory or which is not performed in compliance with the terms of this Agreement.
Default: Either party may terminate this Agreement, in whole or in part, for default if
the Party provides the other Party with written notice of such default and the other fails to
satisfactorily cure such default within ten (10) business days of receipt of such notice (or a
greater time if agreed upon between the Parties).
If default results in termination of this Agreement, then the City shall give consideration
to the actual costs incurred by Consultant in performing the work to the date of default. The cost
of the work that is useable to the City, the cost to the City of employing another firm to complete
the useable work, and other factors will affect the value to the City of the work performed at the
time of default. Neither party shall be entitled to any lost or anticipated profits for work
terminated for default hereunder.
The termination of this Agreement for default shall extinguish all rights, duties, and
obligations of the terminating Party and the terminated Party to fulfill contractual obligations.
Termination under this section shall not relieve the terminated party of any obligations or
liabilities which occurred prior to termination.
Nothing contained in this section shall require the City to pay for any work which it
deems unsatisfactory, or which is not performed in compliance with the terms of this Agreement.
1.12 INDEPENDENT CONTRACTOR STATUS
Consultant is an independent contractor, and is not the City's employee. Consultant's
employees or subcontractors are not the City's employees. This Agreement does not create a
partnership, employer-employee, or joint venture relationship. No party has authority to enter
into contracts as agent for the other party. Consultant and the City agree to the following rights
consistent with an independent contractor relationship:
(1) Consultant has the right to perform services for others during the term hereof.
(2) Consultant has the sole right to control and direct the means, manner and method
by which it performs its services required by this Agreement.
(3)
Consultant has the right to hire assistants as subcontractors, or to use employees
to provide the services required by this Agreement.
(4) Consultant or its employees or subcontractors shall perform services required
hereunder, and the City shall not hire, supervise, or pay assistants to help
Consultant.
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(5)
Neither Consultant nor its employees or subcontractors shall receive training from
the City in skills necessary to perform services required by this Agreement.
(6) City shall not require Consultant or its employees or subcontractors to devote full
time to performing the services required by this Agreement.
(7)
Neither Consultant nor its employees or subcontractors are eligible to participate
in any employee pension, health, vacation pay, sick pay, or other fringe benefit
plan of the City.
1.13 NON -SOLICITATION
Except as may be otherwise agreed in writing, during the term of this Agreement and for
twelve (12) months thereafter, neither the City nor Consultant shall offer employment to or shall
employ any person employed then or within the preceding twelve (12) months by the other or
any affiliate of the other if such person was involved, directly or indirectly, in the performance of
this Agreement. This provision shall not prohibit the hiring of any person who was solicited
solely through a newspaper advertisement or other general solicitation.
1.14 CITY'S RESPONSIBILITIES
Full information: The City shall provide full information regarding project
requirements. The City shall have the responsibility of providing Consultant with such
documentation and information as is reasonably required to enable Consultant to provide the
services called for. The City shall require its employees and any third parties who are otherwise
assisting, advising or representing the City to cooperate on a timely basis with Consultant in the
provision of its services. Consultant may rely upon written information provided by the City and
its employees and agents as accurate and complete. Consultant may rely upon any written
directives provided by the City or its designated representative concerning provision of services
as accurate and complete.
Required materials: Consultant's performance requires receipt of all requested
information reasonably necessary to provision of services. The City shall furnish information
which includes but is not limited to pertinent correspondence with other local municipal and
planning officials, previous market analyses or feasibility studies, and other pertinent
information. Consultant agrees, within ten (10) days of the effective date of this Agreement, to
provide the City with a comprehensive and detailed information request list.
1.15 CONFIDENTIALITY; AND MATERIALS OWNERSHIP
Any and all programs, data, or other materials furnished by the City for use by Consultant
in connection with services to be performed under this Agreement, and any and all data and
information gathered by Consultant, shall be held in confidence by Consultant as set forth
hereunder. Each party agrees to take reasonable measures to preserve the confidentiality of any
proprietary or confidential information relative to this Agreement, and to not make any use
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thereof other than for the performance of this Agreement, provided that no claim may be made
for any failure to protect information that occurs more than three (3) years after the end of this
Agreement.
The parties recognize and understand that the City is subject to the Texas Public
Information Act and its duties run in accordance therewith.
All data relating specifically to the City's business and any other information which
reasonably should be understood to be confidential to City is confidential information of City.
Consultant's proprietary software, tools, methodologies, techniques, ideas, discoveries,
inventions, know-how, and any other information which reasonably should be understood to be
confidential to Consultant is confidential information of Consultant. The City's confidential
information and Consultant's confidential information is collectively referred to as "Confidential
Information." Each party shall use Confidential Information of the other party only in
furtherance of the purposes of this Agreement and shall not disclose such Confidential
Information to any third party without the other party's prior written consent, which consent
shall not be unreasonably withheld. Each party agrees to take reasonable measures to protect the
confidentiality of the other party's Confidential Information and to advise their employees of the
confidential nature of the Confidential Information and of the prohibitions herein.
Notwithstanding anything to the contrary contained herein, neither party shall be
obligated to treat as confidential any information disclosed by the other party (the "Disclosing
Party") which: (1) is rightfully known to the recipient prior to its disclosure by the Disclosing
Party; (2) is released by the Disclosing Party to any other person or entity (including
governmental agencies) without restriction; (3) is independently developed by the recipient
without any reliance on Confidential Information; or (4) is or later becomes publicly available
without violation of this Agreement or may be lawfully obtained by a party from any non-party.
Notwithstanding the foregoing, either party will be entitled to disclose Confidential Information
of the other to a third party as may be required by law, statute, rule or regulation, including
subpoena or other similar form of process, provided that (without breaching any legal or
regulatory requirement) the party to whom the request is made provides the other with prompt
written notice and allows the other party to seek a restraining order or other appropriate relief.
Subject to Consultant's confidentiality obligations under this Agreement, nothing herein
shall preclude or limit Consultant from providing similar services for other clients.
Neither the City nor Consultant will be liable to the other for inadvertent or accidental
disclosure of Confidential Information if the disclosure occurs notwithstanding the party's
exercise of the same level of protection and care that such party customarily uses in safeguarding
its own proprietary and confidential information.
Notwithstanding anything to the contrary in this Agreement, the City will own as its sole
property all written materials created, developed, gathered, or originally prepared expressly for
the City and delivered to the City under the terms of this Agreement (the "Deliverables"); and
Consultant shall own any general skills, know-how, expertise, ideas, concepts, methods,
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techniques, processes, software, or other similar information which may have been discovered,
created, developed or derived by Consultant either prior to or as a result of its provision of
services under this Agreement (other than the Deliverables). Consultant's working papers and
Consultant's Confidential Information (as described herein) shall belong exclusively to
Consultant. The City shall have a non-exclusive, non -transferable license to use Consultant's
Confidential Information for the City's own internal use and only for the purposes for which they
are delivered to the extent that they form part of the Deliverables.
1.16 LIMITATION OF LIABILITY
Should any of Consultant's services not conform to the requirements of the City or of this
Agreement, then and in that event the City shall give written notification to Consultant;
thereafter, (a) Consultant shall either promptly re -perform such services to the City's satisfaction
at no additional charge, or (b) if such deficient services cannot be cured within the cure period
set forth herein in Section 1.11, then this Agreement may be terminated for default.
In no event will Consultant be liable for any loss, damage, cost or expense attributable to
negligence, willful misconduct or misrepresentations by the City, its directors, employees or
agents.
In no event shall Consultant be liable to the City, by reason of any act or omission
relating to the services provided under this Agreement (including the negligence of Consultant),
whether a claim be in tort, contract or otherwise, (a) for any consequential, indirect, lost profit,
punitive, special or similar damages relating to or arising from the services, or (b) in any event,
in the aggregate, for any amount in excess of the total professional fees paid by the City to
Consultant under this Agreement, except to the extent determined to have resulted from
Consultant's gross negligence, willful misconduct or fraudulent acts relating to the service
provided hereunder.
1.17 INDEMNIFICATION
Consultant and the City each agree to indemnify, defend and hold harmless the other
from and against amounts payable under any judgment, verdict, court order or settlement for
death or bodily injury or the damage to or loss or destruction of any real or tangible property to
the extent arising out of the indemnitor's negligence in the performance of this Agreement.
Consultant agrees to indemnify, defend and hold harmless the City from and against any
and all amounts payable under any judgment, verdict, court order or settlement for Third Party
claims of infringement of any trade secrets, copyrights, trademarks or trade names alleged to
have occurred and arising from the deliverables provided by Consultant to the City in connection
with the performance of this Agreement. Should the City's use of such deliverables be
determined to have infringed, Consultant may, at its option: (i) procure for the City the right to
continue using such deliverables provided or (ii) replace or modify them to make their use non -
infringing while yielding substantially equivalent results. If neither of the above options is or
would be available on a basis that is commercially reasonable, then Consultant may terminate
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this Agreement, the City shall return such deliverables provided, and Consultant will refund to
the City the fees paid for the deliverables provided. This infringement indemnity does not cover
claims arising from the combination of such deliverables with products or services not provided
by Consultant; the modification of such deliverables by any person other than Consultant;
deliverables complying with or based upon (1) designs provided by or at the direction of the City
or (2) specifications or other information provided by or at the direction of the City; or use of
systems, materials or work performed in a manner not permitted hereunder or by another
obligation of the City to Consultant.
The indemnities in this section are contingent upon: (1) the indemnified party promptly
notifying the indemnifying party in writing of any claim which gives rise to a claim for
indemnification hereunder; (2) the indemnifying party being allowed to participate in the defense
and settlement of such claim; and (3) the indemnified party cooperating with all reasonable
requests of the indemnifying party (at the indemnifying party's expense) in defending or settling
a claim. The indemnified party shall have the right, at its option and expense, to participate in
the defense of any suit or proceeding through counsel.
1.18 ASSIGNMENT AND DELEGATION
The parties each hereby bind themselves, their successors, assigns and legal
representatives to each other with respect to the terms of this Agreement. Neither party may
assign any rights or delegate any duties under this Agreement without the other party's prior
written approval, which approval shall not be unreasonably withheld.
1.19 LOCAL, STATE AND FEDERAL TAXES
Consultant shall pay all income taxes, and FICA (Social Security and Medicare taxes)
incurred while performing services under this Agreement. The City will not do the following:
(1) Withhold FICA from Consultant's payments or make FICA payments on its
behalf;
(2) Make state and/or federal unemployment compensation contributions on
Consultant's behalf; or
(3)
Withhold state or federal income tax from any of Consultant's payments.
If requested, the City shall provide Consultant with a certificate from the Texas State
Comptroller indicating that the City is a non-profit corporation and not subject to State of Texas
Sales and Use Tax.
1.20 INSURANCE
Insurance. Consultant, at Consultant's sole cost, shall have and maintain during the
term of this Agreement professional liability insurance coverage in the minimum amount of One
Million Dollars from a company authorized to do insurance business in Texas and otherwise
acceptable to the City.
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Subconsultant Insurance. Without limiting any of the other obligations or liabilities of
Consultant, Consultant shall require each subconsultant performing work under this Agreement
to maintain during the term of the Agreement, at the subconsultant's own expense, the same
stipulated minimum insurance required in the immediately preceding paragraph, including the
required provisions and additional policy conditions as shown below. As an alternative,
Consultant may include its subconsultants as additional insureds on its own coverages as
prescribed under these requirements. Consultant's certificate of insurance shall note in such
event that the subconsultants are included as additional insureds.
Consultant shall obtain and monitor the certificates of insurance from each subconsultant
in order to assure compliance with the insurance requirements. Consultant must retain the
certificates of insurance for the duration of this Agreement, and shall have the responsibility of
enforcing these insurance requirements among its subconsultants. The City shall be entitled,
upon request and without expense, to receive copies of these certificates of insurance.
Insurance Policy Endorsements. Each insurance policy hereunder shall include the
following conditions by endorsement to the policy:
(1)
Each policy shall require that thirty (30) days prior to the expiration, cancellation,
non -renewal or any material change in coverage, a notice thereof shall be given to
City by mail to:
City Manager, City of Round Rock
221 East Main Street
Round Rock, Texas 78664
Consultant shall also notify City, within ten (10) days of receipt, of any notices of
expiration, cancellation, non -renewal, or material change in coverage it receives
from its insurer.
(2) Companies issuing the insurance policies shall have no recourse against City for
payment of any premiums or assessments for any deductibles which all are at the
sole responsibility and risk of Consultant.
(3)
Terms "the City" or "the City of Round Rock" shall include all authorities, boards,
commissions, departments, and officers of City and individual members, employees
and designated agents in their official capacities, or while acting on behalf of the
City of Round Rock.
(4) The policy clause "Other Insurance" shall not apply to any insurance coverage
currently held by City, to any future coverage, or to City's Self -Insured Retentions
of whatever nature.
(5)
Consultant and City mutually waive subrogation rights each may have against the
other for loss or damage, to the extent same is covered by the proceeds of insurance.
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Cost of Insurance. The cost of all insurance required herein to be secured and
maintained by Consultant shall be borne solely by Consultant, with certificates of insurance
evidencing such minimum coverage in force to be filed with the City.
1.21 COMPLIANCE WITH LAWS, CHARTER AND ORDINANCES
Consultant, its consultants, agents, employees and subcontractors shall use best efforts to
comply with all applicable federal and state laws, the Charter and Ordinances of the City of
Round Rock, as amended, and with all applicable rules and regulations promulgated by local,
state and national boards, bureaus and agencies. Consultant shall further obtain all permits,
licenses, trademarks, or copyrights required in the performance of the services contracted for
herein, and same shall belong solely to the City at the expiration of the term of this Agreement.
1.22 FINANCIAL INTEREST PROHIBITED
Consultant covenants and represents that Consultant, its officers, employees, agents,
consultants and subcontractors will have no financial interest, direct or indirect, in the purchase
or sale of any product, materials or equipment that will be recommended or required hereunder.
1.23 DESIGNATION OF REPRESENTATIVES
The City hereby designates the following representative authorized to act in its behalf
with regard to this Agreement:
James Nuse, P.E.
City Manager
City of Round Rock
221 East Main Street
Round Rock, Texas 78664
Consultant hereby designates the following representative authorized to act in its behalf
with regard to this Agreement:
Dr. Herbert A. Marlowe, Jr., Principal
Analytica
Post Office Box 998
Newberry, Florida 32669
1.24 NOTICES
All notices and other communications in connection with this Agreement shall be in
writing and shall be considered given as follows:
(1) When delivered personally to recipient's address as stated herein; or
(2) Three (3) days after being deposited in the United States mail, with postage
prepaid to the recipient's address as stated in this Agreement.
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Notice to Consultant:
Dr. Herbert A. Marlowe, Jr., Principal
Analytica
Post Office Box 998
Newberry, FL 32669
Notice to City:
City Manager, City of Round Rock
221 East Main Street
Round Rock, TX 78664
AND TO:
Stephan L. Sheets, City Attorney
309 East Main Street
Round Rock, TX 78664
Nothing contained in this section shall be construed to restrict the transmission of routine
communications between representatives of the City and Consultant.
1.25 APPLICABLE LAW; ENFORCEMENT AND VENUE
This Agreement shall be enforceable in Round Rock, Texas, and if legal action is
necessary by either party with respect to the enforcement of any or all of the terms or conditions
herein, exclusive venue for same shall lie in Williamson County, Texas. This Agreement shall
be governed by and construed in accordance with the laws and court decisions of Texas.
1.26 EXCLUSIVE AGREEMENT
The terms and conditions of this Agreement, including exhibits, constitute the entire
agreement between the parties and supersede all previous communications, representations, and
agreements, either written or oral, with respect to the subject matter hereof. The parties
expressly agree that, in the event of any conflict between the terms of this Agreement and any
other writing, this Agreement shall prevail. No modifications of this Agreement will be binding
on any of the parties unless acknowledged in writing by the duly authorized governing body or
representative for each party.
1.27 DISPUTE RESOLUTION
If a dispute arises under this Agreement, the parties agree to first try to resolve the
dispute with the help of a mutually selected mediator. If the parties cannot agree on a mediator,
the City shall select one mediator and Consultant shall select one mediator and those two
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mediators shall agree upon a third mediator. Any costs and fees, other than attorney fees,
associated with the mediation shall be shared equally by the parties.
The City and Consultant hereby expressly agree that no claims or disputes between the
parties arising out of or relating to this Agreement or a breach thereof shall be decided by any
arbitration proceeding, including without limitation, any proceeding under the Federal
Arbitration Act (9 USC Section 1-14) or any applicable state arbitration statute.
1.28 FORCE MAJEURE
Notwithstanding any other provisions hereof to the contrary, no failure, delay or default
in performance of any obligation hereunder shall constitute an event of default or breach of this
Agreement, only to the extent that such failure to perform, delay or default arises out of causes
beyond control and without the fault or negligence of the party otherwise chargeable with failure,
delay or default; including but not limited to acts of God, acts of public enemy, civil war,
insurrection, riots, fires, floods, explosion, theft, earthquakes, natural disasters or other
casualties, strikes or other labor troubles, which in any way restrict the performance under this
Agreement by the parties.
Consultant shall not be deemed to be in default of its obligations to the City if its failure
to perform or its substantial delay in performance is due to the City's failure to timely provide
requested information, data, documentation, or other material necessary for Consultant to
perform its obligations hereunder.
1.29 SEVERABILITY
The invalidity, illegality, or unenforceability of any provision of this Agreement or the
occurrence of any event rendering any portion of provision of this Agreement void shall in no
way affect the validity or enforceability of any other portion or provision of this Agreement. Any
void provision shall be deemed severed from this Agreement, and the balance of this Agreement
shall be construed and enforced as if this Agreement did not contain the particular portion of
provision held to be void. The parties further agree to amend this Agreement to replace any
stricken provision with a valid provision that comes as close as possible to the intent of the
stricken provision. The provisions of this Article shall not prevent this entire Agreement from
being void should a provision which is of the essence of this Agreement be determined void.
1.30 STANDARD OF CARE
Consultant represents that it is specially trained, experienced and competent to perform
all of the services, responsibilities and duties specified herein and that such services,
responsibilities and duties shall be performed, whether by Consultant or designated
subconsultants, in a manner acceptable to the City and according to generally accepted business
practices.
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1.31 GENERAL AND MISCELLANEOUS
The section numbers and headings contained herein are provided for convenience only
and shall have no substantive effect on construction of this Agreement.
No delay or omission by either party in exercising any right or power shall impair such
right or power or be construed to be a waiver. A waiver by either party of any of the covenants
to be performed by the other or any breach thereof shall not be construed to be a waiver of any
succeeding breach or of any other covenant. No waiver of discharge shall be valid unless in
writing and signed by an authorized representative of the party against whom such waiver or
discharge is sought to be enforced.
This Agreement may be executed in multiple counterparts, which taken together shall be
considered one original. The City agrees to provide Consultant with one fully executed original.
IN WITNESS WHEREOF, the parties have executed this Agreement on the dates
hereafter indicated.
City of Round Rock, Texas
By:
Title: IkA6ty‘Or
Date Signed: _ IA. • Ob
Analytica
By:
Printed Name: k` 0114�a�.�
7
Title: � .� „ �, ,
Date Signed: I, / o p
Attest:
dwte
Sara L. White, City Secretary
ity, Appr ved as to Form:
15
an L. Sheets, City Attorney
LIST OF ATTACHED EXHIBITS
Exhibit "A" Scope of Work
Exhibit "B" Timeline
Exhibit "C" Fees
Exhibit "D" City's RFP 08-023; Specification Number 08-918-00 dated April 2008, including
Attachment A entitled "City of Round Rock Insurance Requirements," "City
Response to Submitted Questions," and "City of Round Rock Request for
Proposals Addendum No. 1" dated May 7, 2008.
Exhibit "E" Analytica's "Proposal to Provide Strategic Planning and Facilitation Services"
responsive to City of Round Rock's RFP 08-023
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EXHIBIT "A"
SCOPE OF WORK
PHASE ONE: PROJECT FOUNDATION
Task One: Project Organization and Initial Data Collection
The purpose of this task is to organize the work of the project for the tasks by gathering the
initial information for the project. Work at this stage is primarily in-house among the consultants,
and Round Rock elected and appointed leadership. Task One will be accomplished via an on-site
visit. Among the activities of this task are:
Initial meeting with the Project Management Team and Advisory Group. This is the
internal team that will manage the project and advise on logistical and process matters.
The consultants will have been in discussion with the project manager prior to arrival to
schedule the meetings planned for this task. The purpose of this meeting is for
introductions, to review the schedule, and address any additional planning tasks or
questions about the approach.
Individual interviews with Council members, senior staff including department heads.
The purpose of these interviews is to identify key strategic issues, opportunities, threats,
possible future scenarios, perspectives on organizational culture, perspective on core
businesses, view of mission, vision and values and other key organizational issues such
as strengths and weaknesses that should be considered during the project.
Facilitation of three staff focus groups. Focus groups will be conducted with staff at
three levels of organizational responsibility -- managers, first line supervisors and direct
service staff. The purpose of these focus groups is to obtain perspectives on issues and
opportunities, organizational culture and other topics related to organizational
performance.
Collection of existing strategic and operational plans and accomplishments along with
other relevant studies. This is a collection of relevant documents that provide background
information on the City.
Limited interviews with Rock Rock community leaders. This is a limited set of
interviews designed to familiarize the consultants with issues from the perspective of
those persons familiar with the City. The City has already conducted extensive public
input and there is no intent to duplicate that effort. However, these limited interviews will
provide a valuable perspective.
00141022/jkg
Project planning and feedback meeting. This meeting with the project management
group will conclude the first site visit. Initial feedback will be provided based on
interviews and focus groups. However, the primary purpose of the meeting is to review
and modify as needed the proposed process and develop a schedule for future meetings.
A specific decision to be made in this meeting is the tools that will be used for Task
Three, organizational assessment. A second specific decision is the thematic organization
of strategic focus areas as discussed in Task Four.
Task One Deliverables: Revised Project Process and Timeline
Task Two: Issues & Opportunities and Trends & Patterns Analysis
The purpose of this task is to conduct an environmental scan to ensure that the full scope of
potential topics, issues and opportunities which could be relevant to the future of Round Rock
are identified. This task also produces a briefing document that will be used as a reference in
future tasks. Specific activities of this off-site task include:
Review of demographic, environmental and economic trends, including any existing
reports;
Review of the existing plans to build the basis for integration of the strategic plan with
current plans;
Review of key features characterizing superior 21st century communities. This is a
literature review of existing studies and reports that address highly competitive and
superior communities;
Review of other visioning and strategic planning efforts in the region that may impact the
City;
Telephonic or electronic discussions with City staff for purposes of clarification or
additional data collection.
Task Two Deliverable: Issues & Opportunities, Trends & Patterns Report
Task Three: Organizational Assessment
The specific activities of this task will be decided during the completion of Task One. The
following are options for the City to consider:
Utilize a Self -Assessment survey such as Sterling Navigator (is web -based and can be
administered on-line) or other similar assessment tool to conduct a SWOT analysis that
provides a "snapshot" of the organization.
Consider using the web -based Ethical Fitness Seminar provided through Institute for
Global Ethics (offered by MIDI -- a provider of web -based ethics based in Plainsboro,
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N.J.) to provide a snapshot of the internal ethical climate. Materials or resources from
the Institute www.globalethics.org may be utilized with the City on issues of values,
consensus building, and constructive dialogue.
Utilize existing quantitative surveys on topics such as organizational trust, organizational
climate or culture, job satisfaction.
Design a specific survey of either a quantitative or qualitative nature (or some
combination) for Round Rock and administer either through a paper survey, a web -based
surveying site or other appropriate form.
Whichever option the City selects, the consultant will organize the survey administration
and data collection process, analyze data as appropriate and prepare a report of findings.
Task Three Deliverable: Summary report of fmdings.
PHASE TWO: ISSUES AND OPPORTUNITIES IDENTIFICATION
This phase will consist of a series of workshops with staff that will review various issues and
opportunities identified in prior work or during the workshops. Workshops will be organized
thematically along areas of strategic focus rather than by departmental lines. The final thematic
organization will be selected in Task One. A possible thematic organization is:
Public safety
Regulatory
Community development (economic development, community design)
Public infrastructure (roads, water and sewer, stormwater, any other utilities, parks,
facilities, technology)
Quality of life services (recreation, libraries, events, etc.)
Administrative support (back office functions, policy, management)
Organizational performance (culture, satisfaction, and organizational leadership)
Task Four: Issues and Opportunities Workshops I
The purpose of the Workshops I series is to review and validate or modify the initial set of issues
and opportunities presented in the Task Two report. Separate two -three hour workshops will be
conducted on each strategic focus theme with appropriate staff participation. Participants will be
provided with the issues and opportunities report prior to the workshop along with a workshop
agenda so that they can prepare for the event. The result of the workshop will be concurrence
that the various issues and opportunities in a particular strategic focus area have been identified
and correctly framed for future work.
Task Four Deliverable: Revised Issues and Opportunities Report
3
Task Five: Issue and Opportunity Prioritization Workshops II
The purpose of the Workshop II series (1 to 1.5 hours per workshop) is to rate the various issues
and opportunities on a prioritization scale to determine from a staff perspective where priority
work should occur. The workshops will use electronic polling technology to ensure both rapid
and non -biased ratings. Up to 50 persons can participate in any workshop. Use of technology
such as this provides the Manager and Council with perspectives unbiased by peer pressure and
promotes wise judgments by drawing on the full knowledge base of the participants.
Task Five Deliverable: Prioritized Issues and Opportunities Report
Task Six: Council workshop preparation
To make the Council workshop productive and results oriented, a variety of preparatory activities
will occur. Which of the specific activities listed below are appropriate and useful will be the
subject of Task One discussions. Preparatory activities could include:
Development of draft vision, mission and values statement or statements for discussion
with Council in Task Seven. Prior to the Council workshop the staff Workshop II series
will review concepts and approaches.
Development of draft goals statement for discussion with Council. Staff Workshop II will
generate this material.
Development of draft strategies for Council consideration. Again this will be a work
product emanating from the staff Workshop II series.
All this material will be integrated into a strategic choices document that will structure
Task Seven events.
Task Seven: Council validation and prioritization
Using the Prioritized Issues and Opportunities Report and prior strategic plans as the background
data, a Council workshop will be conducted to discuss Council's vision for the City and in
context validate or revise existing strategic priorities and potentially add new priorities. In
addition Council will be asked to affirm or modify draft mission and value statements. The
length of the Council workshop will be determined in part by the amount of material to be
reviewed. Council will be provided the Prioritized Issues and Opportunities Report and the
aforementioned Strategic Choices so that they will be aware of staff perspectives. During the
interviews of Council members in Task One, a topic of discussion will be their priorities. This
data, existing priorities and Task Five priorities will be combined into a strategic choices
document provided to Council prior to the workshop.
The process of establishing priorities serves to clarify the core businesses of the City.
The workshop itself may use polling technology if that is deemed appropriate for the task.
4
Task Seven Deliverable: Updated Council Priorities Report
PHASE THREE: STRATEGIC PLAN DEVELOPMENT & SUBMISSION
Task Eight: Plan Development and Testing
The purpose of this task is to integrate the information gathered in Tasks One through Six into a
draft updated strategic plan. This draft plan is then circulated for discussion and revised in a
consensus building approach.
It is premature at this point of course to discuss the content of the plan. A preliminary format is
presented below as well as the general steps which would occur during this task. Specific steps
are highly subject to local refinements needed to meet the particular needs of Round Rock.
The general format of the plan would be:
The context. This section is drawn from Phase One and Two information and describes
the opportunities and challenges facing the City.
Vision statement. This is the statement describing the future Round Rock this plan seeks
to foster.
Mission statement. A statement describing the purpose of city government that is clear,
concise and can guide the work of every employee. The discussion in preparing this
statement should clarify what the City views as its core businesses.
Values statement. A statement of the core values the City will seek to practice in its work.
Positioning statement. The positioning statement provides a fuller description of the
vision and the core activities or businesses the City must engage in to achieve that vision.
Key results. These are the goals or key achievements that need to be addressed and
achieved if the vision is to be realized. These are usually 5 to 7 in number.
Strategies. These are the actionable approaches that will be taken to achieve the goal. We
normally group key results/goals and their related strategies into what we call strategic
focus areas so that there is a comprehensive view of what is trying to be achieved and
how it will be achieved. Good strategies often impact more than one goal.
Managing the vision plan. This section describes at a general level how the vision plan
will be managed, measured and updated. It includes the governance mechanism, the key
metrics or benchmarks that will be used and a mission statement for the management
system.
The activities of this stage include:
5
Staff and Council distribution for comment. A comment period will be allowed to enable
staff and Council to comment on the draft. Should there be extensive comment, a second
round of comment may occur.
Public distribution. At this point the plan can be publicly distributed (via a variety of
forms) and a public comment period provided should the City wish to do so.
Senior management workshop. This two - three hour workshop will serve as a final
review of the plan before submission to Council. Should the City choose, Council
members may be briefed individually or a workshop held prior to formal submission.
Task Eight Deliverable: Proposed Strategic Plan Update
Task Nine: Strategic Plan Endorsement
The purpose of this stage is the endorsement of the strategic plan. This will occur via public
presentation to the Council. As noted in Task Seven, preceding this presentation a final staff
workshop will be conducted to ensure the plan is comprehensive and responsive to current and
future city issues.
Task Nine Deliverable: Endorsed plan
PHASE FOUR: STRATEGY MANAGEMENT FOR HIGH PERFORMANCE
The purpose of Phase Four is to ensure that leadership practices and organizational behaviors;
organizational structure, systems and processes; and resource allocation decisions are aligned
with the intents and purposes of the strategic plan. Our practice to achieve this purpose is to
develop a strategy management system, of which the first element is a strategic plan. Completion
of the strategy management system will meet the following objectives as delineated in the RFP.
Improve management practices to accomplish strategic goals and objectives.
Improve operational performance.
Improve customer satisfaction.
Improve employee engagement.
Improve the measurement of operational and financial results as related to the goals and
objectives of the City.
Strategy Management Systems are comprised of the following elements. The prior phases have
developed the first element, a strategic plan. Phase Four develops for the other elements.
6
A strategic plan. The driving force of a strategy management system is the strategic plan.
This plan should be consistent with community priorities while addressing the long term
opportunities and facing the area.
An annual agenda. The key is not in the plan but how the plan is worked. Where the time
frame is or quarterly, specific, tangible actions should be taken through a work plan for
that year. In our approach we develop an annual agenda with the board and executive
group so that the leadership of the organization is focused on the work to be done that
year that will move the plan forward. One way to continuously move the agenda is to
organize the Council's meeting agenda to reflect the strategic plan and annual agenda.
Strategic budgeting. The fiscal resources of the organization must be appropriately
committed to the plan. This requires both dedicated or targeted funds as well as a budget
process that examines strategic priorities during the process of building the budget each
year.
A strategically focused table of organization. If the strategic plan is to be implemented,
the organization must be structured for that end. In practice, many strategic goals cross
departmental lines and require multi -disciplinary teams for their design and
implementation. In our work we have distinguished between operational work (existing
work which must be done on a repetitive basis) and project work (time limited work to
initiate a strategic goal). Both types of work contribute to long term strategic goals, but
some strategic goals are best moved forward with dedicated project teams. The approach
to the balanced scorecard that we use incorporates both operational and project
scorecards.
Performance indicators. Performance indicators help us answer the question, "What
progress are we making toward the strategic goals and priorities?" They may be of two
types: products and processes. Products are tangible end results, a new economic
development strategy, a new parks program, etc. Processes are interim measures that
inform us whether we are on track. Our belief is that if we work the process, we will get
the product.
Business and Operational plans. Work plans integrate fiscal and human resources around
a set of performance indicators (with time benchmarks). An effective strategy
management system not only has work plans but also has a system for managing various
work plans in an integrated manner.
Individual performance appraisal systems that allow each employee to have a line of
sight between their work and the results sought by the organization.
Data bases and information systems that provide user-friendly, readily accessible and real
time when possible information about progress toward results.
7
These major elements do one critical thing. They produce results. Setting a specific agenda for
the year, committing fiscal and human resources to that agenda, and having a work management
system that tracks and adjusts performance is a proven formula for generating results.
Task Ten: Business and Operational Planning
In this task each department will develop or update its own business and operational plan in the
context of the adopted strategic plan and associated documents. A business plan consists of the
following elements:
An external business climate/market analysis that examines key variables that will impact
the work of the department such as population, demographic, regulatory, technology
trends, a key stakeholder analysis, a customer profile analysis, and any other key factors
that will impact the work of the depaitment.
An internal analysis consists of a business practice analysis that assesses major products
and services and core processes (program and process); customer satisfaction and citizen
engagement. This discusses and addresses core businesses at a departmental and process
level.
The financial environment such as: current/existing revenues and expenditures; projected
revenues and expenditures; revenue generating opportunities and cost benefits; "Key
Ratios, Analyses and Measures" used within the field; and future financial issues which
could impact performance.
Resource, facility and equipment analysis, i.e. the physical capital needed for
departmental operations.
A competencies analysis of human and technological competencies addressing such
topics as: core competencies; emerging competencies; retirement and succession issues;
workload trends; and labor pool trends and demographics.
An organizational values and norms analysis addressing working values; organizational
trust; work climate and leadership assessment, i.e. what leadership roles do we need to
assume?
Risk and threat assessment of any legal issues; revenue/expenditures issues; staffing
issues; potential actions by other entities; regulatory issues and any disaster -related
issues.
Based on this assessment a work plan is developed which addresses the following components:
Deliverables which includes a description of the deliverable, a brief statement of
methodology as to how the deliverable will be produced, timelines, assignments and
dedicated resources per deliverable, budget, key quality and performance indicators and
8
assignment of operational responsibility. Deliverables may take many forms ranging
from services to processes to enhanced competencies.
Community engagement plan which includes a plan for customer satisfaction data with
respect to existing services (how it will be obtained; how it will be used); community
preference and priority data (with respect to new or changed services); citizen
engagement and development and how public communication and education will occur if
appropriate.
Organizational capacity building plan which addresses internal process changes to
facilitate plan, partnership and collaboration needs, any succession management issues,
any needed technology support and any organizational or employee morale and job
satisfaction topics that need to be addressed. This element also discusses how to better
engage staff toward high performance.
To develop the plans the following steps are proposed:
Business Planning Workshop 1: Facilitator training
The purpose of this workshop is to enhance the internal capacity of the City to engage in
business planning. A staff member or members from each department will be trained in the
process of developing a business plan. They will serve as the liaison between the consultants and
the departments as the business plans are revised. These facilitators will post -workshop organize
internal teams from each department who will be responsible for development of the business
plans. It is important to note that strategic goals may cross departmental lines. In these cases
cross departmental teams may need to be organized to develop a complete business plan.
Business Planning Workshop 2: External assessment
This workshop will bring together all the departmental teams that will work in their teams to
complete an external assessment using a structured process. Teams will work at their own pace
in completing the elements of the external assessment. Facilitators will keep notes and provide a
written summary addressing the topics of the external assessment.
Business Planning Workshop 3: Internal assessment
This workshop will follow the processes of Workshop 2 but focus on internal assessment.
Business Planning Workshop 4: Deliverables
This workshop will follow the processes of Workshop 2 but focus on deliverables.
Business Planning Workshop 5: Community engagement
This workshop will follow the processes of Workshop 2 but focus on community engagement.
9
Business Planning Workshop 6: Capacity building and staff engagement
This workshop will follow the processes of Workshop 2 but focus on capacity building.
The completed business plans will then be presented to the executive staff by department heads
on a schedule to be developed.
Task Ten Deliverables: Workshops
Task Eleven: Strategic budgeting
The purpose of this task is to review the City's budgeting process in the context of the strategic
plan and how to ensure that the priorities of the plan are addressed during budget development.
There are a variety of processes for addressing this intent. It is proposed that a workshop be
conducted with budget staff to review approaches and develop a recommended approach.
Task Eleven Deliverable: Strategic budgeting workshop
Task Twelve: Analytics, performance and impact indicators
In this task the business plan indicators, financial indicators, organizational measures and
community indicators will be framed as a balanced scorecard so that the City can monitor
progress as related to the goals and objectives of the City. The development of a cascading
balanced scorecard system is a multi-year project, often involving the implementation of
specialized software. The intent of this task is to review the scorecard approach in various
formats and the options the City has for development of a balanced scorecard. The product of
this task will be a plan for how the City will finalize the analytics that will be useful for
managing the strategic plan and overall city operations. The primary activity of this task will be a
workshop with staff on public sector analytics and techniques such as the balanced scorecard.
The process of selecting metrics and which metrics are selected build upon prior core business
discussions and serve to further clarify and validate the core businesses of the City.
Task Twelve Deliverable: Workshop
Task Thirteen: Organizational structure
Once the goals and strategies are delineated, the structure of the organization should be reviewed
to determine if it is consistent with the intent and direction of the strategic plan. A number of
options are available ranging from assigning goals to departments to creating cross functional
teams with strategic assignments. This task will be completed through a workshop with staff
designed to review options and create a model that would serve the City well.
The timing of this workshop will be decided by the project management group. In some cases
this event should occur prior to business planning in the event that a re -structuring occurs it
10
precedes business plan development. In other cases the process of business planning makes the
options and needs for re -structuring clearer.
A key variable to be considered during this discussion is the core businesses of the City. The
workshop usually begins with a review and validation of the core businesses since the structure
is built in part upon ensuring those core businesses succeed.
Task Thirteen Deliverable: Workshop and proposed organizational structure
Task Fourteen: Continuous High Performance
The premise of this task is that high performance is not a state to be achieved once and for all but
a continuous effort to increase productivity, enhance quality, and build and maintain the
confidence of the public. The purpose of this task is to review the mechanisms that organizations
use to build and maintain high performance and identify how those mechanisms are and can be
further applied to the operations of city government. The scope of this topic encompasses
leadership models at all levels, communicating core values and translating those values into
behaviors, building a culture of engagement and open communication, process redesign and
performance feedback loops.
The major activity of this task will be a workshop in which the strategic and business plans,
organizational structure and organizational dynamics are assessed from a high performance
perspective. The intent is to determine if there are additional needed changes that are either not
addressed or inconsistently addressed in the work to date so that Round Rock is focused on high
performance. The workshop will further seek to prioritize two to three steps that the City should
take in the near future to enhance its high performance efforts. Finally, the workshop will
address steps and schedules to keep the strategic plan and business plans up to date.
Task Fourteen Deliverable: Workshop, steps for high performance
11
EXHIBIT "B"
TIMELINE
Table One provides a project timeline. The project can be completed by February 2009 assuming
staff participation can occur within the proposed timeframe.
Table 1: Project Time Frame
Task # Task Title Month
1 Project organization & initial data collection 1
2 Issues & Opportunities analysis 1
3 Organizational assessment 1
4 Issues & Opportunities workshop 1 2
5 Issues & Opportunities workshop 2 2
6 Council workshop preparation 2
7 Council workshop 3
8 Strategic plan development & testing 3
9 Strategic plan endorsement 4
10 Business and operational plan development 5 & 6
11 Strategic budgeting 6
12 Analytics 6
13 Organizational structure 7
14 Continuous high performance 7
12
EXHIBIT "C"
FEES
Table 2: Project Fees
Task # Task Title Fee
1 Project organization & initial data collection $ 7,500
2 Issues & Opportunities analysis $ 7,500
3 Organizational assessment $ 5,000 [see note 1]
4 Issues & Opportunities workshop 1 $ 7,500
5 Issues & Opportunities workshop 2 $ 7,500
6 Council workshop preparation $ 2,500
7 Council workshop $ 2,500
8 Strategic plan development & testing $ 6,000
9 Strategic plan endorsement $ 2,500
10 Business and operational plan development $22,000
11 Strategic budgeting $ 2,500
12 Analytics $ 5,000
13 Organizational structure $ 2,500
14 Continuous high performance $ 2,500
Professional Fees $83,000 [see note 2]
Note 1: This fee is for the consultant's time. There may be other costs of administration
depending upon the selected method.
Note 2: Travel costs will be reimbursed at actual cost for out-of-pocket expenses. They
will be capped at 25% of the professional fee.
13
RFP 08-023
Specification Number
08-918-00
April 2008
CITY OF ROUND ROCK
REQUEST FOR PROPOSALS
STRATEGIC PLANNING AND FACILITATION SERVICES
PART I
GENERAL INFORMATION
1. PURPOSE
The City of Round Rock, Texas requests the submission of proposals from professional service consultants
for facilitation and strategic planning advisory services.
2. DEFINITIONS: The following definitions will be used for identified terms throughout the specification and
proposal document:
2.1. Agreement — a mutually binding legal document obligating the Vendor to furnish the goods,
equipment or services, and obligating the City to pay for it.
2.2. City — identifies the City of Round Rock, Travis and Williamson Counties, Texas.
2.3. Deliverables - the goods, products, materials, and/or services to be provided to the City by Proposer if
awarded the agreement.
2.4. Professional Services - services that use skills that are predominantly mental or intellectual, rather
than physical or manual; including, but not limited to, accounting, architecture, land surveying, law,
medicine, optometry and professional engineering.
2.5. Proposal - a complete, properly signed response to a Solicitation that if accepted, would bind the
Proposer to perform the resulting agreement.
2.6. Proposer - identifies persons and entities that submit a proposal.
2.7. Purchase Order - is an order placed by the Purchasing Office for the purchase of Goods or Services
written on the City's standard Purchase Order form and which, when accepted by the Proposer,
becomes an agreement. The Purchase Order is the Proposer's authority to deliver and invoice the
City for Goods or Services specified, and the City's commitment to accept the Goods or Services
for an agreed upon price.
2.8. Services - work performed to meet a demand. The furnishing of labor, time, or effort by the vendor
and their ability to comply with promised delivery dates, specification and technical assistance
specified
2.9. State — identifies the State of Texas.
2.10. Subcontractor - any person or business enterprise providing goods, labor, and/or services to a
Vendor if such goods, equipment, labor, and/or services are procured or used in fulfillment of the
Vendor's obligations arising from an agreement with the City.
2.11. Vendor (sometimes referred to as Contractor) - a person or business enterprise providing goods,
equipment, labor and/or services to the City as fulfillment of obligations arising from an agreement
or purchase order.
EXHIBIT
RFP 08-023
Specification Number
08-918-00
April 2008
3. CONFLICT OF INTEREST
Effective January 1, 2006, Chapter 176 of the Texas Local Government Code (House Bill 914) requires that
any vendor or person considering doing business with a local government entity disclose the vendor or
person's affiliation or business relationship that might cause a conflict of interest with a local government
entity. The Conflict of Interest Questionnaire form is available from the Texas Ethics Commission at
www.ethics.state.tx.us. Completed Conflict of Interest Questionnaires may be mailed or delivered by hand
to the City Secretary. If mailing a completed form, please mail to:
City of Round Rock
City Secretary
221 East Main
Round Rock, Texas 78664-5299
Any attempt to intentionally or unintentionally conceal or obfuscate a conflict of interest may automatically
result in the disqualification of the vendor's proposal.
4. CITY CONTACT:
All responses for Request for Proposals (RFP), as well as any questions, clarifications or requests for
general information are to be directed to:
Randy Barker
Purchasing Supervisor
221 East Main
Round Rock, TX 78664-5299
Telephone (512) 218-3295
Fax (512) 218-7028
rbarker(r�round-rock.tx.us
The individual above may be telephoned for clarification of the specifications of this Request for Proposals
only. No authority is intended or implied that specifications may be amended or alternates accepted prior to
closing date without written approval of the City. Under no circumstances will private meetings be scheduled
between Proposer and city staff.
5. EX PARTE COMMUNICATION:
Please note that to insure the proper and fair evaluation of a proposal, the City of Round Rock prohibits ex
parte communication (e.g., unsolicited) initiated by the Proposer to a City Official or Employee evaluating or
considering the proposals prior to the time a formal decision has been made. Questions and other
communication from vendors will be permissible until 5:00 pm on the day specified as the deadline for
questions. Any communication between Proposer and the City after the deadline for questions will be
initiated by the appropriate City Official or Employee in order to obtain information or clarification needed to
develop a proper and accurate evaluation of the proposal. Ex parte communication may be grounds for
disqualifying the offending Proposer from consideration or award of the solicitation then in evaluation, or any
future solicitation.
6. PROPOSAL SCHEDULE
It is the City's intention to comply with the following proposal timeline:
6.1. Request for Proposals released
6.2. Deadline for questions
6.3. City response to all questions/addendums
6.4. Responses for RFP due by 3:00 p.m.
6.5. Interview finalists
6.6. Contract Awarded
6.7. Consultant Work Begins
Page 2 of 8
April 29, 2008
May 9, 2008
May 14, 2008
May 20, 2008
May 27-30, 2008
No later than June 27, 2008
June 30, 2008
RFP 08-023
Specification Number
08-918-00
April 2008
NOTE: These dates represent a tentative schedule of events. The City reserves the right to modify these
dates at any time, with appropriate notice to prospective Proposer.
All questions regarding the RFP shall be submitted in writing (either electronically, fax, or regular mail) by
5:00 pm on May 9, 2008 to above named City Contact. All interested firms will be provided with a copy of
the questions submitted and the City's response. Questions shall be submitted to the contact named above.
7. PROPOSAL DUE DATE:
7.1. Sealed proposals are due no later than 3:00 p.m., May 20, 2008 to the office of the Purchasing
Department. Mail or carry sealed proposals to:
City of Round Rock, Texas
221 East Main
Round Rock, Texas 78664-5299
7.2. Proposals received after this time and date will not be considered.
7.3. Sealed proposals should be clearly marked on the outside of packaging "DO NOT OPEN — RFP
08-023 STRATEGIC PLANNING AND FACILITATION SERVICES".
7.4. Facsimile or electronically transmitted proposals are not acceptable.
7.5. Each proposal and each proposal variation shall be submitted in one (1) original and ten (10)
copies.
8. PROPOSAL SUBMISSION REQUIREMENTS: Interested and qualified firms or teams shall:
8.1. Submit one (1) original and ten (10) copies of materials that demonstrate their experience in
performing projects of this scale and complexity.
8.2. Documentation shall include:
8.2.1. Identification of the firm/team responding to the RFP to include a brief summary of
team member experiences.
8.2.2. A summary demonstrating the firm's/team's qualifications to satisfy all the technical
areas identified in the specification.
8.2.3. A representative list of projects of a scale and complexity similar to the project being
considered by the city. The list should include the project location, client, services
provided by your firm for the project, term of sponsorship and an owner contact
name.
8.2.4. Project timeline outlining the steps the firm would take in the implementation of the
project.
8.3. Provide references: Provide the name, address, telephone number and point of contact of at least
three clients that have utilized the same or similar product and services within the last 2 years.
References may be checked prior to award. Any negative responses received may result in
disqualification from consideration for award. Failure to include references with submittal may
result in disqualification from consideration for award.
8.4. Identify any subcontractors to be used for this project. Experience, qualifications and references of
the subcontractors shall be submitted. The City reserves the right to approve or disapprove all
subcontractors prior to any work being performed.
9. CONFIDENTIALITY OF PROPOSAL CONTENT
9.1. All proposals submitted in response to this RFP shall be held confidential until an agreement is
awarded. Following the agreement award, proposals are subject to release as public information
unless the proposal or specific parts of the proposal can be shown to be exempt from the Texas
Page 3 of 8
RFP 08-023
Specification Number
08-918-00
April 2008
Public Information Act. Proposers are advised to consult with their legal counsel regarding
disclosure issues and take the appropriate precautions to safeguard trade secrets or any other
9.2. proprietary information. The City assumes no obligation or responsibility for asserting legal
arguments on behalf of potential Proposers.
9.3. If a Proposer believes that a proposal or parts of a proposal are confidential, then the Proposer
shall so specify. The Proposer shall stamp in bold red letters the term "CONFIDENTIAL" on that
part of the proposal, which the Proposer believes to be confidential. Vague and general claims as
to confidentiality shall not be accepted. All proposals and parts of proposals that are not marked as
confidential will be automatically considered public information after the agreement is awarded.
10. CLARIFICATION OF PROPOSALS
10.1. The City reserves the right to request clarification or additional information specific to any proposal
after all proposals have been received.
11. EVALUATION CRITERIA: All proposals received shall be evaluated based on the best value for the City by
considering all or part of the criteria listed below, as well as any relevant criteria specifically listed in the
solicitation:
11.1. Price;
11.2. Long-term cost to the City to acquire Proposer's goods and services;
11.3. The extent to which the goods or services meet the City's needs;
11.4. Completeness, technical competence and clarity of the proposal;
11.5. Project process and outline;
11.6. Reputation of the Proposer and the Proposer's services;
11.7. Technical expertise;
11.8. Client list/sponsor reference and experience;
11.9. Proposer's past relationship with the City. All vendors will be evaluated on their past performance
and prior dealings with the City to include, but not limited to, failure to meet specifications, poor
quality, poor workmanship, late delivery.
12. EVALUATION PROCESS
12.1. A committee comprised of City Staff and others as appropriate will review the responses to the RFP
and may develop a short list of firms/teams.
12.2. Interviews and/or demonstrations may be conducted with any responding firms/teams to discuss
their qualifications, resources, and availability to provide the services requested.
12.2.1. Upon completion of the evaluation, the selection committee may recommend a firm/team
for the project identified.
12.2.2. An agreement with the recommended firm/team for the project will then be negotiated.
This process will be completed with the City Council's authorization to the Mayor for the
execution of the agreement or the execution of the agreement by the City Manager.
12.3. The City of Round Rock will not provide compensation or defray any cost incurred by any firm
related to the response to this request. The City of Round Rock reserves the right to negotiate with
any and all persons or firms. The City of Round Rock also reserves the right to reject any or all
proposals, or to accept any proposal deemed most advantageous, or to waive any irregularities or
informalities in the proposal received, and to revise the process and/or schedule as circumstances
require.
Page 4 of 8
RFP 08-023
Specification Number
08-918-00
April 2008
PART II
GENERAL TERMS AND CONDITIONS
1. PRICE: The agreement price shall be firm for the duration of the agreement or extension periods except as
provided for in paragraph below. No separate line item charges shall be permitted for either proposal or
invoice purposes, which shall include equipment rental, demurrage, costs associated with obtaining permits
or any other extraneous charges.
4. INTERLOCAL COOPERATIVE CONTRACTING
Other governmental entities within the State of Texas may be extended the opportunity to purchase off of the
City of Round Rock's solicitation, with the consent and agreement of the successful vendor(s) and the City of
Round Rock. Such consent and agreement shall be conclusively inferred from lack of exception to this clause in
vendor's response. However, all parties indicate their understanding and all parties hereby expressly agree that
the City of Round Rock is not an agent of, partner to, or representative of those outside agencies or entities and
that the City of Round Rock is not obligated or liable for any action or debts that may arise out of such
independently -negotiated "piggyback" procurements.
5. INDEMNIFICATION: The successful Proposer shall indemnify, save harmless and exempt the City, its
officers, agents, servants, and employees from and against any and all suits, actions, legal proceedings,
claims, demands, damages, costs, expenses, attorney fees and any and all other costs or fees incident to
any work done as a result of this quote and arising out of a willful or negligent act or omission of the
successful Proposer, its officers, agents, servants, and employees; provided, however, that the successful
Proposer shall not be liable for any suits, actions, legal proceedings, claims, demands, damages, costs,
expenses and attorney fees arising out of a willful or negligent act or omission of the City, it's officers,
agents, servants and employees, or third parties.
6. INSURANCE: The successful Proposer shall meet or exceed ALL insurance requirements set forth by the
City of Round Rock as identified in Attachment A to the specifications. Any additional insurance
requirements of participating or cooperative parties will be included as subsequent Attachments and shall
require mandatory compliance.
7. VENUE: The agreement shall be governed by and construed in accordance with the laws of the State of
Texas. Venue shall be in the applicable court, Williamson County, Texas.
8. DISCLOSURE OF LITIGATION
8.1. Each Proposer shall include in its proposal a complete disclosure of any civil or criminal litigation or
investigation pending which involves the Proposer or in which the Proposer has been judged guilty.
9. RIGHT TO REPRODUCE DOCUMENTATION AND OTHER INFORMATION
9.1. The City shall have the right to reproduce any and all manuals, documentation, software or other
information stored on electronic media supplied pursuant to the agreement at no additional cost to
the City, regardless of whether the same be copyrighted or otherwise restricted as proprietary
information; provided, however, that such reproductions shall be subject to the same restrictions on
use and disclosure as are set forth in the agreement.
9.2. The Awarded Proposer agrees to execute any non-exclusive copyright assignments or
reproduction authorizations that may be necessary for the City to utilize the rights granted in this
subparagraph.
Page 5 of 8
RFP 08-023
Specification Number
08-918-00
April 2008
10. INDEPENDENT CONTRACTOR
10.1. It is understood and agreed that the Contractor shall not be considered an employee of the City.
10.2. The Contractor shall not be within protection or coverage of the City's Worker' Compensation
insurance, Health Insurance, Liability Insurance or any other insurance that the City from time to
time may have in force and effect.
PART III
SPECIFICATIONS
1. BACKGROUND INFORMATION
The City of Round Rock is a "home -rule" city under the laws of the State of Texas and charter approved by
voters. The City operates under a Council/Manager form of government where the Mayor and six
Councilmembers are elected at -Targe. The Council formulates policy for the City while the City Manager is
the chief administrative officer. Located 8 miles north of Austin and in one of the fastest growing counties in
the nation, Round Rock serves over 94,000 residents with an estimated build -out population at
approximately 250,000. The City's services include maintaining order and enforcing laws, fire response,
emergency medical response (not ambulatory services), open space and park facilities, recreational
facilities, constructing and maintaining urban infrastructure, library services and water and wastewater
services. These services are provided through seventeen general fund and nine utility fund operating
departments.
For years the City has operated under a strategic perspective and developed and utilized strategic plans for
carrying out its core services. The most recent City-wide effort was a 10 year operational plan process
started in the fall of 2005 whereby input from over 600 citizens was received. Some departments have also
created departmental strategic and operational plans. In addition to the planning efforts, the City of Round
Rock has embraced the high performing organization philosophy. Over 70 current City employees have
attended the Leading, Educating and Developing (LEAD) program at the Weldon Cooper Center for Public
Service at University of Virginia. The program focuses on introducing employees to the high performance
philosophy as well as the importance of leadership at every level of the organization to encourage positive
organizational growth and evolution. City staff has already completed a tremendous amount of work to
incorporate this philosophy in the organization; however, a complete plan connecting strategic, leadership
and operational objectives is needed.
Building on its previous success, the assistance sought in the RFP is intended to assist the City develop a
comprehensive strategic plan that not only meets the goals and objectives of the City Council but also
incorporates the City's high performance philosophy. This plan will also be used to guide the City in
developing the future structure of the organization and strategically focus the City.
The City has completed several components of strategic planning including bi-annual updating of strategic
Council goals, gathering a significant amount of input from the public and development of existing
departmental strategic plans. This information will be made available to the selected consultant and is
expected to be utilized in the development of the updated strategic plan.
Information about the City of Round Rock, Texas and the 10 year operations plan process can be found on
the City of Round Rock website at www.roundrocktexas.gov. Additional information regarding the University
of Virginia Leading, Educating And Developing (LEAD) Program referenced in the specifications is available
online at http://www.coopercenter.orq/leadershiplindex.php.
2. PROJECT GOALS
2.1. The goals of this project include, but are not necessarily limited to:
2.1.1. Development of a comprehensive strategic plan that not only meets the goals and
objectives of the City Council but also incorporates the City's high performance
philosophy.
2.1.2. Assessment of organizational culture and leadership philosophy as it relates to the
strategic plan.
Page 6 of 8
RFP 08-023
Specification Number
08-918-00
April 2008
2.1.3. Assess and facilitate discussions on the organizational structure as it relates to meeting
strategic goals and providing core services.
2.2. Resulting from this project, the City should be able to:
2.2.1. Improve management practices to accomplish strategic goals and objectives.
2.2.2. Improve operational performance
2.2.3. Improve customer satisfaction
2.2.4. Improve employee engagement
2.2.5. Improve the measurement of operational and financial results as related to the goals and
objectives of the City
3. SCOPE OF SERVICES:
The City of Round Rock, Texas requests the submission of proposals from professional service consultants
for facilitation and strategic planning advisory services.
3.1. The City views the following as key deliverables of this process:
3.1.1. Provide a project timeline outlining the steps the firm would take in the implementation of
the project.
3.1.2. Facilitate sessions framing issues and opportunities for the City
3.1.3. Facilitate at least one session updating existing Council strategic priorities.
3.1.4. Create and publish Strategic Plan
3.1.5. Identify core businesses.
3.1.6. Facilitate the design of the organizational structure
3.1.7. Establish framework for development of operational plan.
4. ORGANIZATIONAL PROFILE
4.1. Project Organization
4.1.1. Vendor shall describe project organization for the project.
4.1.2. Vendor shall include organizational structure resources available, including number of
staff and locations.
4.2. Key Personnel
4.2.1. Vendor shall include the names and resumes for all key personnel who shall be
involved in this project.
4.2.2. Resumes shall describe relevant experience in facilitation and development of
strategic plan as identified in PART III, SPECIFICATIONS, 2. Project Goals and 3.
Scope of Services.
4.3. Change of Project Personnel
4.3.1. Any change of assignment or responsibility for employees identified as key personnel
in this project are subject to prior notification and approval by the City.
Page 7 of 8
RFP 08-023
Specification Number
08-918-00
April 2008
PART IV
INVOICE AND PAYMENT
1. INVOICING
1.1. Contractor shall submit one original and two copies of each invoice referencing the assigned
Purchase Order number to the following address:
City of Round Rock
Accounts Payable
221 East Main
Round Rock, TX 78664-5299
2. PROMPT PAYMENT POLICY
2.1. Payments will be made within thirty days after the City receives the supplies, materials, equipment,
or the day on which the performance of services was completed or the day, on which the City
receives a correct invoice for the service, whichever is later. The Contractor may charge a late fee
(fee shall not be greater than that which is permitted by Texas law) for payments not made in
accordance with this prompt payment policy; however, this policy does not apply to payments made
by the City in the event:
2.1.1. There is a bona fide dispute between the City and Contractor concerning the supplies,
materials, services or equipment delivered or the services performed that causes the
payment to be late; or
2.1.2. The terms of a federal contract, grant, regulation, or statute prevent the City from making
a timely payment with Federal Funds; or
2.1.3. There is a bona fide dispute between the Contractor and a subcontractor or between a
subcontractor and its suppliers concerning supplies, material, or equipment delivered or
the services performed which caused the payment to be late; or
2.1.4. The invoice is not mailed to the City in strict accordance with instructions, if any, on the
purchase order or agreement or other such contractual agreement.
3. OVERCHARGES
3.1. Contractor hereby assigns to purchaser any and all claims for overcharges associated with this
purchase which arise under the antitrust laws of the United States, 15 USGA Section 1 et seq., and
which arise under the antitrust laws of the State of Texas, Bus. and Com. Code, Section 15.01, et
seq.
Page 8 of 8
ATTACHMENT A
City of Round Rock
Insurance Requirements
ATTACHMENT A
CITY OF ROUND ROCK
INSURANCE REQUIREMENTS
1. INSURANCE: The Vendor shall procure and maintain at its sole cost and expense for the duration
of the contract or purchase order resulting from a response to this bid/Specification insurance
against claims for injuries to persons or damages to property which may arise from or in
connection with the performance of the work as a result of this bid by the successful bidder, its
agents, representatives, volunteers, employees or subcontractors.
1.1. Certificates of Insurance and endorsements shall be furnished to the City and approved
by the City before work commences.
1.2. The following standard insurance policies shall be required:
1.2.1. General Liability Policy
1.2.2. Automobile Liability Policy
1.2.3. Worker's Compensation Policy
1.3. The following general requirements are applicable to all policies:
1.3.1. Only insurance companies licensed and admitted to do business in the State of
Texas shall be accepted.
1.3.2. Deductibles shall be listed on the Certificate of Insurance and are acceptable
only on a per occurrence basis for property damage only.
1.3.3. Claims made policies shall not be accepted, except for Professional Liability
Insurance.
1.3.4. Upon request, certified copies of all insurance policies shall be furnished to the
City
1.3.5. Policies shall include, but not be limited to, the following minimum limits:
1.3.5.1. Minimum Bodily Injury Limits of $300,000.00 per occurrence.
1.3.5.2. Property Damage Insurance with minimum limits of $50,000.00 for
each occurrence.
1.3.5.3. Automobile Liability Insurance for all owned, non -owned, and hired
vehicles with minimum limits for Bodily Injury of $100,000.00 each
person, and $300,000.00 for each occurrence, and Property
Damage Minimum limits of $50,000.00 for each occurrence.
1.3.5.4. Statutory Worker's Compensation Insurance and minimum
$100,000.00 Employers Liability Insurance.
1.3.6. Coverage shall be maintained for two years minimum after the termination of the
Contract.
1.4. The City shall be entitled, upon request, and without expense to receive copies of
insurance policies and all endorsements thereto and may make reasonable request for
deletion, revision, or modification of particular policy terms, conditions, limitations, or
exclusions (except where policy provisions are established by law or regulation binding
either of the parties hereto or the underwriter of any of such policies). Upon such request
by the City, the Vendor shall exercise reasonable efforts to accomplish such changes in
policy coverage and shall pay the cost thereof. All insurance and bonds shall meet the
requirements of the bid specification and the insurance endorsements stated below.
1.5. Vendor agrees that with respect to the required insurance, all insurance contracts and
certificate(s) of insurance will contain and state, in writing, on the certificate or its
attachment, the following provisions:
Page 1 of 4
1.5.1. Provide for an additional insurance endorsement clause declaring the Vendor's
insurance as primary.
1.5.2. Name the City and its officers, employees, and elected officials as additional
insured's, (as the interest of each insured may appear) as to all applicable
coverage.
1.5.3. Provide thirty days notice to the City of cancellation, non -renewal, or material
changes
1.5.4. Remove all language on the certificate of insurance indicating:
1.5.4.1. That the insurance company or agent/broker shall endeavor to notify
the City; and,
1.5.4.2. Failure to do so shall impose no obligation of liability of any kind
upon the company, its agents, or representatives.
1.5.5. Provide for notice to the City at the addresses listed below by registered mail:
1.5.6. Vendor agrees to waive subrogation against the City, its officers, employees,
and elected officials for injuries, including death, property damage, or any other
loss to the extent same may be covered by the proceeds of insurance.
1.5.7. Provide that all provisions of this contract concerning liability, duty, and standard
of care together with the indemnification provision, shall be underwritten by
contractual liability coverage sufficient to include such obligations within
applicable policies.
1.5.8. All copies of the Certificate of Insurance shall reference the project name, bid
number or purchase order number for which the insurance is being supplied.
1.5.9. Vendor shall notify the City in the event of any change in coverage and shall
give such notices not less than thirty days prior notice to the change, which
notice shall be accomplished by a replacement Certificate of Insurance.
1.5.10. All notices shall be mailed to the City at the following addresses:
Assistant City Manager City Attorney
City of Round Rock City of Round Rock
221 East Main 309 East Main
Round Rock, TX 78664-5299 Round Rock, TX 78664
2. WORKERS COMPENSATION INSURANCE
2.1. Texas Labor Code, Section 406.098 requires workers' compensation insurance coverage
for all persons providing services on building or construction projects for a governmental
entity.
2.1.1. Certificate of coverage ("certificate") -A copy of a certificate of insurance, a
certificate of authority to self -insure issued by the Texas Workers' Compensation
Commission, or a coverage agreement (TWCC-81, TWCC-82, TWCC-83, or
TWCC-84), showing statutory workers' compensation insurance coverage for
the person's or entity's employees providing services on a project, for the
duration of the project.
2.1.2. Duration of the project - includes the time from the beginning of the work on the
project until the CONTRACTOR'S /person's work on the project has been
completed and accepted by the OWNER.
2.2. Persons providing services on the project ("subcontractor") in Section 406.096 - includes
all persons or entities performing all or part of the services the CONTRACTOR has
undertaken to perform on the project, regardless of whether that person contracted
directly with the CONTRACTOR and regardless of whether that person has employees.
This includes, without limitation, independent contractors, subcontractors, leasing
companies, motor carriers, owner -operators, employees of any such entity, or employees
of any entity, which furnishes persons to provide services on the project. "Services"
include, without limitation, providing, hauling, or delivering equipment or materials, or
providing labor, transportation, or other service related to a project. "Services" does not
Page 2 of 4
include activities unrelated to the project, such as food/beverage vendors, office supply
deliveries, and delivery of portable toilets.
2.3. The CONTRACTOR shall provide coverage, based on proper reporting of classification
codes and payroll amounts and filing of any coverage agreements, that meets the
statutory requirements of Texas Labor Code, Section 401.011(44) for all employees of the
CONTRACTOR providing services on the project, for the duration of the project.
2.4. The CONTRACTOR must provide a certificate of coverage to the OWNER prior to being
awarded the contract.
2.5. If the coverage period shown on the CONTRACTOR'S current certificate of coverage
ends during the duration of the project, the CONTRACTOR must, prior to the end of the
coverage period, file a new certificate of coverage with the OWNER showing that
coverage has been extended.
2.6. The CONTRACTOR shall obtain from each person providing services on a project, and
provide to the OWNER:
2.6.1. a certificate of coverage, prior to that person beginning work on the project, so
the OWNER will have on file certificates of coverage showing coverage for all
persons providing services on the project; and
2.6.2. no later than seven calendar days after receipt by the CONTRACTOR, a new
certificate of coverage showing extension of coverage, if the coverage period
shown on the current certificate of coverage ends during the duration of the
project.
2.7. The CONTRACTOR shall retain all required certificates of coverage for the duration of
the project and for one year thereafter.
2.8. The CONTRACTOR shall notify the OWNER in writing by certified mail or personal
delivery, within 10 calendar days after the CONTRACTOR knew or should have known,
or any change that materially affects the provision of coverage of any person providing
services on the project.
2.9. The CONTRACTOR shall post on each project site a notice, in the text, form and manner
prescribed by the Texas Workers' Compensation Commission, informing all persons
providing services on the project that they are required to be covered, and stating how a
person may verify coverage and report lack of coverage.
2.10. The CONTRACTOR shall contractually require each person with whom it contracts to
provide services on a project, to:
2.10.1. provide coverage, based on proper reporting of classification codes and payroll
amounts and filing of any coverage agreements, that meets the statutory
requirements of Texas Labor Code, Section 401.011(44) for all its employees
providing services on the project, for the duration of the project;
2.10.2. provide to the CONTRACTOR, prior to that person beginning work on the
project, a certificate of coverage showing that coverage is being provided for all
employees of the person providing services on a project, for the duration of the
project;
2.10.3. provide the CONTRACTOR, prior to the end of the coverage period, a new
certificate of coverage showing extension of coverage, if the coverage period
shown on the current certificate of coverage ends during the duration of the
project;
2.10.3.1. obtain from each other person with whom it contracts, and provide to
the CONTRACTOR:
2.10.3.1.1.
2.10.3.1.2.
a certificate of coverage, prior to the other person
beginning work on the project; and
a new certificate of coverage showing extension of
coverage, prior to the end of the coverage period, if
the coverage period shown on the current certificate
of coverage ends during the duration of the project
Page 3 of 4
2.10.3.2. retain all required certificates of coverage on file for the duration of
the project and for one year thereafter;
2.10.3.3. notify the OWNER in writing by certified mail or personal delivery,
within 10 calendar days after the person knew or should have
known, of any change that materially affects the provision of
coverage of any person providing services on the project; and
2.10.3.4. contractually require each person with whom it contracts, to perform
as required by paragraphs (A thru G), with the certificates of
coverage to be provided to the person for whom they are providing
services.
2.10.3.5. By signing the solicitation associated with this specification, or
providing, or causing to be provided a certificate of coverage, the
Contractor is representing to the Owner that all employees of the
Contractor who will provide services on the project will be covered
by workers' compensation coverage for the duration of the project,
that the coverage will be based on proper reporting of classification
codes and payroll amounts, and that all coverage agreements will
be filed with the appropriate insurance carrier or, in the case of a
self-insured, with the Commission's Division of Self -Insurance
Regulation. Providing false or misleading information may subject
the Contractor to administrative penalties, criminal penalties, civil
penalties, or other civil actions.
2.10.3.6. The Contractor's failure to comply with any of these provisions is a
breach of contract by the Contractor that entitles the Owner to
declare the contract void if the Contractor does not remedy the
breach within ten calendar days after receipt of notice of breach
from the owner.
Page 4 of 4
08-023 CITY RESPONSE TO SUBMITTED QUESTIONS
1. Can you please define "strategic planning advisory services" as it is used in Section 1, Purpose on page 1?
CITY RESPONSE:
Phase see PART III, Sectiou 3, Scope of Services, Page 7.
2. Does the City have a specific timeframe in which it would like all work on the project to be completed?
CITY RESPONSE:
We are anticipating a completion date before February 1, 2009. While we would prefer to complete
the project as quickly as possible, we realize cost factors and proposed vendor approach will determine
eventual timeline.
3. Is there a budget cap (or upper limit) on what is available to support the project?
CITY RESPONSE:
No definitive budget has been determined for this project at this time but will evolve based on the final
agreed scope of services.
4. Are you accepting proposals from out-of-state firms with a local partner involved on the project?
CITY RESPONSE:
Yes.
5. Regarding insurance requirements — Attachment A — Section 1.3 — has professional liability
insurance on a claims made basis at $500,000 per occurrence and a $1,000,000 total limit. We also have general
liability and hired and non -owned auto liability insurance. We have no employees but rather use contractors for
all jobs so we are not required to carry workers compensation insurance. We are covered by an insurance
company that is not licensed in the state of Texas but that would cover us for our work in the state of Texas.
Would we meet the insurance requirements to apply for this project? If no, what are some suggestions to meet
those insurance requirements?
CITY RESPONSE:
The insurance attachment provided with this solicitation is standard requirement for vendors doing
business with the City of Round Rock, We realize that not all elements pertain to services requested in
this solicitation and will evaluate each responders compliance individually. Please include detailed
information for any known exception to the requirements.
6. Will extra points be provided in the proposal evaluation process to consultants that have prior experience with the
City?
CITY RESPONSE:
Please see PART I, GENERAL INFORMATION, Section 11. EVALUATION CRITERIA, Item 11.9. Past
relationship with the City is just one of several criteria that may be used in the evaluation of proposals
received.
7. Section 2, Project Goals (pages 6-7) identifies three goals of the project, beginning with the development of a
comprehensive strategic plan (subsection 2.1.1), then assessin or anizational culture, leadership philosophy,
and organizational structure (subsections 2.1.2 and 2.1.3). typically conducts assessment
activities at the beginning of a strategic planning project. The information obtained from this assessment is used
to develop the strategic plan. Can you please clarify whether this order of activities would meet the City's goals?
CITY RESPONSE:
Vendor is expected to provide recommended approach to meet the goals in the RFP.
8. Can you please define "operational performance" as it ioused insubsection 2.22(pago7)?
CITY RESPONSE:
The city has no specific. definition. This term is meant in the general business context of efficient and
effect;ve performance
S. Can you please provide definitions cf"strategic plan" used insubsection 31.4(page 7)and ^operodona plan"uoedinSuboecUun3.17(page 7)?
-
CITY RESPONSE:
|nageneral sense:
Prescribes ocomprehensive course o7interrelated actions
�
ntegrates that course inta tho roaities of budgeling and business pans
� Estabtishes measurement and review processes to assess progress
10. Can you please explain what you mean by "core businesses" in subsection 3.1.5 (page 7) and provide an
example?
CITY RESPONSE:
The city beheves that there are essentiaf functions organizod to deliver services to our citizons.An
example ofm"core business" would beUtilities,
11. Has the City of Round Rock formed a group or committee to work with the consultant on the strategic planning
process? If yes, who serves on this group or committee?
CITY RESPONSE:
Yes. The group will include City Manager, Assistant City Manager, Department Directors and other
personnel to be dotermned,
12. With respecto the 10 year operational planning process mentioned in the RFP:
a. Was there a written final plan documenor report prepared? If so, is that available for review at this time?
CITY RESPONSE:
There was a final report referred to at the website in the RFP. There is no single document that compiles
each clepartmenvs 10 year operatonal plan.
b. Did the City engage a planning consultant to design and facilitate that process? If yeswho? Ifwillthotconou|tantnrfinnbeo||uwadtopnopoaoonthiopn�ec yes,
CITY RESPONSE:
No. This was dev&oped in house.
13. Item 2�.5addresses the identified need hoimprove the City's abUitvbomeasure o�nb*g�goal m�oinmentin
�nom�m|and operational terms. Doyou axpec this pn�ec�bonaoub^inthe development ofperformance measures
and recommended performance management processes and procedures?
CITY RESPONSE:
Our expectations are the development of a framework for departments to use and follow to create their
own measurements.
14. Item 3.1.3involves efacilitated session with the City Council hnvalidate / update utrob»gcpr�rd�a How and
when vverethe ex�tngSGtnsb*oin��thaWhat�U�a~� ''-
, Goalscurrentpn�ceostheir review,
voUdoUonand update?
city established? ---for
CITY RESPONSE:
The City Couni| updates strategicphoritieaeverytwmyours. There is not a forma/ review or
va|idaUon/upda0eprooems. There is not a current procoss tying the priorities to departmental strategic
plans. One of the goals of this solicitation is to create a link between those items.
15. Are the several sub -goals for each of the six major strategic goal categories static or are they reviewed and
revised periodically? If so, how and by whom?
CITY RESPONSE:
Please see response to Question # 14.
16. The background information section states that "a complete plan connecting strategic, leadership and operational
objectives is needed." I interpret this to mean that your LEAD -inspired high performance philosophy is intended to
drive the linkage between strategic and operational goals. Is that correct? Can you provide some further
elaboration on this apparent gap between strategic planning and operational goal setting?
CITY RESPONSE:
Yes. We are attempting to create a €r7if ed approach and view this as the next stage of development, thus
the necessity of the RFP.
17. You are requesting a "comprehensive strategic plan" that incorporates elements already in place to some greater
or lesser extent. What additional guidance can you give to help us scope the planning effort so as to avoid
duplication of work already accomplished? In other words, what aspects of a classical strategic planning effort do
you consider to already be in place, ie SWOT analysis, environmental scan, mission / vision / values, and so forth.
CITY RESPONSE:
Vendor should anticipate performing ail elements of the planning effort, We have provided access to
information that may allow some insight into some of the work that has been done, but to achieve desired
results, it may be necessary to begin anew for all departments.
18. Item 3.1.2 calls for facilitated sessions for the purpose of "framing issues and opportunities for the City." Do you
anticipate that this effort will entail a public outreach component or is this seen only as an internal process?
CITY RESPONSE:
This is intended to be an internal process.
19. Can you please elaborate on the project goal of assessing the "organizational culture and leadership philosophy
as it relates to the strategic plan"? This is similar to question above in that it suggests that the gap between
strategic goal setting and tactical planning is a function of potential difficulty in overcoming cultural barriers.
CITY RESPONSE:
We believe the organizational culture, leadership philosophy and strategic plan are elements that are
connected within our organization and we desire consistent future alignment. Please see response to
Question # 16,
20. There is a theme of organizational restructuring that runs throughout the scope of services. See the general
introduction and items 2.1.3 and 3.1.6 specifically. Can you elaborate on the level of organizational / structural
assessment you envision? Are you looking for a reorganization plan if one appears warranted?
CITY RESPONSE:
We are seeking a strategic plan that will incorporate council priorities and core businesses. We expect
the selected firm to make assessments and/or recommendations on where organization change may be
necessary to best accomplish strategic organization and plan.
21. Item 3.1.5 asks the consultant to "Identify core businesses." It appears that the core businesses of the city have
been defined in previous efforts. Are you looking to affirm / validate the existing definition of "core" businesses or
do you expect that the definition of "core" has or will soon shift in some way?
CITY RESPONSE:
Yes. It is possible that the definition of "core" has or will shift. Please see response to Question # 10.
22. Item 3.1.7 requests the consultant to "establish framework for development of operational plan." Can you please
elaborate?
CITY RESPONSE:
Please see response to Question # 9.
23. What is your targeted period of performance?
CITY RESPONSE:
Please see response to Question # 2.
24. What is the anticipated overall level of effort in either hours or dollars terms?
CITY RESPONSE:
The answer to this question will be based on the vendor's approach in the proposal.
25. Is this a currently budgeted item?
CITY RESPONSE:
Please see response to Question # 3.
26. Who / which city office, will provide the overall executive sponsorship, guidance and support?
CITY RESPONSE:
City Manager will provide overall executive sponsorship, with guidance and support from City staff..
27. What is the anticipated period of performance for this project being that the approximate start date is June 30,
2008?
CITY RESPONSE:
Please see response to Question # 2.
28. How many people does the city currently employ in the 26 operating departments in addition to the six council
members, Mayor, and City Manager?
CITY RESPONSE:
829 employees as of last budget preparation.
29. What is the budget for this project? If there isn't a defined budget, can you provide a ballpark figure?
CITY RESPONSE:
Please see response to Question # 3.
30. Is there a specific due date for completion of the project?
CITY RESPONSE:
Please see response to Question # 2.
31. Do you envision having City Council members and staff in sessions together during the process? (e.g., sessions
indicated in 3.1.2 and 3.1.3)
CITY RESPONSE:
Yes.
32. In addition to developing a comprehensive strategic plan, are you also expecting the consultant to conduct an
organizational assessment to provide advice about the structure of the city with respect to providing core services
and meeting the goals?
CITY RESPONSE:
Yes
33. Can you be more specific about what is meant by 'Establish frameworkfor developmenof operational plan?"
CITY RESPONSE:
Please see response to Question #22.
34. Attachment A paragraph 1.2.3 identifies a Worker's Compensation Policy as being required of all vendors with the
City of Round Rock. Paragraph 2.1 states that the Texas Labor Code requiresmuch^�aU�m�o
providing man/�aoonbuilding oroonahu�ionpn�e�ofor ogovernment enUb/. Since
'this ia� a building or
construction project, is a Worker's Compensation policy still required for all vendors?
CITY RESPONSE:
The insurance attachment provided with this solicitation is standard requirement for vendors doing
busrness wth the Cty of Round Rock. We realize that not ai eements pertaui to services requested in
this solicitation and will evaluate each responders compliance individually. Please include detailed
inforrnat,on for any kuown exception to the requirements,
35. The RFP mentions some elements of the Strategic Plan — priorities, strategic goals and objectives. Is there a
complete list of the elements expected to be developed and included in the Strategic Plan?
CITY RESPONSE:
There is not a complete Iist at this time. Our expectation s this wiH vary depending on vendor approach
to the project
36. VVill faculty or staff from LEAD participate in anyway in the Strategic Plan development process?
CITY RESPONSE:
No
ROUND ROCK, TEXAS
PURPOSE. PASSION. PROSPERITY.
CITY OF ROUND ROCK, TEXAS
REQUEST FOR PROPOSALS ADDENDUM
STRATEGIC PLANNING and FACILITATION SERVICES
RFP No. 08-023
Addendum No. 1 Date of Addendum: May 7, 2008
The following items in the RFP identified above have been added:
PART I, GENERAL INFORMATION, Item 8, Proposal Submission Requirements:
a. Add 8.5 Proposal shall include pricing component consistent with identified
scope of work and desired deliverables.
All other terms and conditions of this RFP and the specifications remain unchanged.
Approved by: Randy Barker, Purchasing Supervisor 5/7/08
By the signatures affixed below, Addendum No. 1 is hereby incorporated into and made a part
of the above referenced RFP.
ACKNOWLEDGED
Vendor
Authorized Signature Date
RETURN ONE COPY OF THIS ADDENDUM TO THE PURCHASING OFFICE, CITY OF
ROUND ROCK WITH YOUR SEALED PROPOSAL. FAILURE TO DO SO MAY
CONSTITUTE GROUNDS FOR REJECTION OF YOUR PROPOSAL.
CITY OF ROUND ROCK, TEXAS
REQUEST FOR PROPOSALS ADDENDUM
STRATEGIC PLANNING and FACILITATION SERVICES
RFP No. 08-023
Addendum No. 1 Date of Addendum: May 7, 2008
The following items in the RFP identified above have been added:
PART I, GENERAL INFORMATION, Item 8, Proposal Submission Requirements:
a. Add 8.5 Proposal shall include pricing component consistent with identified
scope of work and desired deliverables.
All other terms and conditions of this RFP and the specifications remain unchanged.
Approved by:
By the signatures affixed below, Addendum No. 1 is hereby incorporated into and made a part
of the above referenced RFP.
ACKNOWLEDGED
irt\ Ct L -t,^
Vendor or
Authorized Signature 'ate
RETURN ONE COPY OF THIS ADDENDUM TO THE PURCHASING OFFICE, CITY OF
ROUND ROCK WITH YOUR SEALED PROPOSAL. FAILURE TO DO SO MAY
CONSTITUTE GROUNDS FOR REJECTION OF YOUR PROPOSAL.
Proposal to provide
STRATEGIC PLANNING AND FACILITATION
SERVICES
For the City of Round Rock, Texas
RFP 08-023
Submitted by:
EXHIBIT
$ nE n
Analytica
POB 998
Newberry, FL 32669
352 472 7171 Office
352 472 5687 Fax.
1
Table of Contents
Cover letter
3
Qualification and experience of the firm 5
• Technical competencies 5
• Representative projects 10
• Sub -contractor qualifications 12
Approach and timeline 12
• Phase One: Project Foundation 12
• Phase Two: Issue and Opportunity identification 15
• Phase Three: Strategic plan development and submission 17
• Phase Four: Strategy management for high performance 19
• Timeline 26
References
27
Sub -contractor 29
Organizational profile 29
Fees
30
Appendices
• A: Analytica Firm Description and complete work summary 31
• B: Competitive Performance Systems 42
• C: Resumes 43
• D: Working paper on strategy management 46
• E: Working paper - "Balanced Strategy" 56
• F: Working paper on writing mission, vision
and value statements 58
• Amendment One to the RFP
2
Analytica
POB 998
Newberry, FL 32669
May 15, 2008
Mr. Randy Barker, Purchasing Supervisor, City of Round Rock
221 East Main
Round Rock, TX 78664-5299
352 472 7171 Voice
352 472 5687 Fax
352 262 5222 Cell
Telephone (512) 218-3295 Fax (512) 218-7028
Re RFP 08-023 Strategic Planning and Facilitation Services
Dear Mr. Barker:
I am pleased to submit the firm's proposal to provide strategic planning and
facilitation services. I understand the intent of this project is to align strategic
direction with organizational culture, structure and processes so that the City
can perform at a high level and provide the leadership needed for the
community to continue moving forward on multiple fronts.
The firm specializes in the development of strategy management systems that
provide focus on for key results, align resources, policies and practices and
structure to achieve those results and provide feedback loops for continuous
improvement. The proposal itself provides a fuller definition of strategy
management but for the reader desiring a more detailed elaboration appendix D
provides a working paper on strategy management systems, appendix E
explains the firm's approach to the strategic planning element of a strategy
management and appendix F provides a guide to writing mission, vision and
value statements.
The principal of the firm, Dr. Herbert Marlowe, brings over thirty years of
experience in strategic planning, facilitation and organizational consulting on
performance, effectiveness and productivity. This experience has been
3
primarily in the public sector beginning with a 1972 project to prepare the U.S.
Navy for a changing society and world and continuing through current projects
such as the development of new collaborative public sector mechanisms to solve
such difficult and complex issues as water supply and transportation. In the
course of that work he has developed well over 50 strategic plans, facilitated
numerous workshops with both staff and governing bodies and instituted
strategy management systems for both municipal and county governments.
The sub -contractor for this project, Dr. Mary Gamble, has extensive experience
in quality improvement processes, serving as a judge for the Florida quality
award. In her own consulting work she has worked with a variety of
organizations in re -structuring their work to create more impact.
Should there be additional information or clarification needed please contact
me. Neither Dr. Gamble nor I have any business relationship with the City that
would he considered a conflict of interact Thic proposal has been developed
independently of any other proposer. We carry the required insurances and will
provide those upon request and will meet any other requirements needed to
conduct the project.
Cordially,
Herbert A. Marlowe, Jr.
Principal
Cellphone: 352 262 5222
Email:
4
Qualifications and Experience of the Firm
The firm brings extensive experience and skills to this project. Analytica is a
sole proprietorship established in 1989 in Florida. Appendix A provides a full
list of clients and topic areas along with a narrative describing the firm, and a
list of publications by the firm's principal. The next section summarizes the
firm's experiences and provides illustrative projects as it related to this
proposed project. It addresses nine areas of technical competence required for
successful completion of this project. Following this next section is a section
with representative projects. Finally, the qualifications of the sub -contractor
are addressed. Appendix B provides a description of the sub -contracting firm,
Competitive Performance Systems. Appendix C provides the resumes of the two
consultants for the project, Herb Marlowe and Mary Gamble.
1 -CC IIIIIC Clt .uIIipeteliCieS
Technical Area One: Facilitation
Dr. Marlowe is a highly skilled facilitator who has worked extensively with public
policy issues (see table 3 for a list of policy topics he has provided facilitation
services for). His particular facilitation forte is helping groups frame complex
issues in ways that build both consensus and action. He has co -published ICMA
papers on consensus building as well as published other articles in his academic
field of study, social intelligence. He has extensive experience facilitating the
work of elected bodies and executive teams. He is particularly expert at
assisting elected bodies to establish priorities and reach agreement on points of
conflict. Example projects include:
• Southwest Florida Water Planning Alliance. This multi -stakeholder group,
consisting of elected representatives from 4 counties and 13
municipalities, developed a joint approach to water supply planning for
the region.
• Pinellas County Board of County Commissioners. Dr. Marlowe facilitated
a series of topic area workshops with this seven member board which
established priorities and endorsed strategies to address the full range of
county services and issues.
5
• Town of Loxahatchee Groves, FL. Dr. Marlowe facilitated a strategic
planning process that included numerous public input meetings along
with a retreat session for Town Council.
• Children's Board of Hillsborough County, FL, 2012 plan. Dr. Marlowe
facilitated a strategic planning process involving all major stakeholders,
staff and board members to develop a new strategic plan that
significantly shifted resources to early childhood programs. This shift
meant that a number of programs for youth were no longer funded and
that the process had to resolve disagreements over this shift and help
communicate the need for the shift to the community.
Technical Area Two: Strategic plan creation and publication
Dr. Marlowe has assisted over C0 public private and non-profit clients to
develop strategic plans. (Details in appendix A). He has extensive public sector
strategic planning experience having developed strategic plans for both county
and municipal governments as well as special districts. As a result of this work,
he is very familiar with the substantive areas for which a city needs to plan long
term, the various strategies that can be deployed and the challenges that come
with the implementation of the strategic plan. Within the last five years the firm
has developed strategic plans for the following public sector clients:
• City of DeLand
• City of Fort Walton Beach
• City of Orlando
• City of Oviedo
• City of Naples
• City of Palm Coast
• City of West Park
• Pinellas County
• Town of Longboat Key
• Town of Loxahatchee Groves
• The Children's Board of Hillsborough County
• The Children's Trust of Miami -Dade County
• Economic development strategy, Glades region of Palm Beach County
6
Technical Area Three: Core business identification
Core business identification requires the ability to clearly articulate mission and
purpose, develop criteria that assist persons to distinguish core and support
functions, and design and facilitate a process that does not "de -value" those
functions not deemed to be "core" to the purpose of the organization. All staff
believe their work to be important and they are correct in that assumption. It is
very important that core not be equated to importance but rather to centrality of
mission. Dr. Marlowe has extensive experience in assisting clients to identify
core business and then decide how to manage non-core businesses. Two
recent projects of note include:
• Rating of core programs, The Children's Trust of Miami -Dade County.
Dr. Marlowe in collaboration with staff developed a rating system that
would differentiate the over 400 contracts through which the Trust
provides services into a range measuring centrality to mission. Programs
were then rated and funding decisions followed.
• Strategic Financial Plan, Charlotte County Board of County
Commissioners, FL. Dr. Marlowe designed and facilitated a process
through which the Commission could make difficult budget reduction
decisions on the basis of core business assessment. His "hierarchy of
public goods" model was the basis for this decision making process.
Technical Area Four: Assessment of organizational culture and leadership
philosophy
Dr. Marlowe has extensive experience in the assessment of organizational
culture and leadership approaches. He co -developed and published in a peer-
reviewed scientific journal of the first validated measures of organizational trust.
He has used a variety of methods to assess organizational culture including
commercially available quantitative instruments, qualitative tools such as
interviews and focus groups, mind mapping exercises, and quantitative tools
such as values and behaviors analysis using a variety of quantitative techniques.
He brings a working knowledge of various leadership theories and has done
extensive work in the leadership skills of collaboration, framing, and consensus
building.
7
• Project example. Dr. Marlowe conducted an organization wide
organizational culture assessment for a Water Utility and developed from
that assessment a plan to foster higher organizational performance
through training, career path development and team building.
Technical Area Five: Operational and business planning
Dr. Marlowe's approach to strategic planning occurs within the context of
developing a strategy management system. The challenge is not simply the
development of a strategic plan but of a system through which strategy is
continuously developed, updated and monitored at both policy and executive
levels. In a strategy management system strategic plans are rapidly turned into
business and operational plans that are actionable, accountable and
measurable.
Project example• An example of Dr.Marlowe'this arena- �.s workin w is his
work with the City of Palm Coast. Over a three year period the project
created a strategy management system that incorporated community
priorities with the City's strategic, business and operational plans. The
impact data then fed back in to updated goals and strategies. This work
was presented at the 2005 Innovations in Government conference.
Technical Area Six: High performance organizations model, systems and
processes.
High performing organizations are defined by their ability to create positive
impact in an efficient, productive and creative manner. The achievement of high
performance requires:
• a shared actionable vision;
• a culture that values, acknowledges and rewards productivity, innovation,
ownership and engagement, and open communication;
• non -redundant and to the degree possible simple work processes that
prevent re -work, lower errors and achieve stated quality levels;
• clear and flexible structure that clarifies roles and expectations and can
be responsive to emergent events;
• a knowledge and skill base that resides both in people and in formalized
systems that enable expert level performance;
8
• appropriate tools such as:
o analytics that provide performance data in useful time frames;
o collaborative technologies that enable teams to perform at a high
level;
o information technologies that allow for rapid dissemination of
information, foster communication and allow access to expertise;
• and leadership systems which foster leadership at all levels and
encourage reality based decisions.
Dr. Marlowe has appropriately assisted clients in all areas of high performance,
drawing upon technical specialists in hard technology as needed. He has helped
formulate clear and actionable vision statements, work on issues of culture,
facilitated process redesign work, provided numerous consultations on
organizational structure, provided staff training, worked on analytics design and
provided leadership training. A project example is provided below:
• City of DeLand, DeLand, FL. Dr. Marlowe has worked with the City for five
years on the full range of topics needed to move to a high performance
organization. He facilitated early vision work, addressed cultural issues,
engaged in process and structural change and helped build staff skill and
competencies. He has helped development performance metrics and
facilitated a number of decision making session.
Technical Area Seven: Organizational structure consultation
Using a form follows function premise, structural change is usually one of the
last elements of a strategic planning consultation. The goal is to ensure that the
organizational structure aligns with the strategic plan in a facilitative and
accountable manner. Sometimes this is realized through a new reporting chart,
at other times through the institution of a matrix structure or some other team
based structure. The decision as to form is the client's to make. The
consultant's role is to present the options.
Dr. Marlowe has assisted a number of public entities to create new structures.
One example is provided below.
9
• Volusia County, FL. Upon the advent of a new manager, Dr. Marlowe
worked with staff to identify key issues and goals and then design a
structure optimized to address those goals and issues.
Technical Area Eight: Project management
This is a time limited project whose deliverables must be produced within time
and budget. Dr. Marlowe is a highly skilled project manager with a track record
of proven performance as to delivery of quality products within agreed upon
time frames and within budget. The keys to successful project management are
setting clear expectations and timeframes from the start; regular
communication throughout the project, submission of materials with sufficient
lead time that they can be reviewed; careful listening to understand needed
changes and open discussion if work products fail to meet expectations.
Technical Area Nine- Writing and puuhlication
The firm is highly skilled in writing and preparing reports which are succinct,
clear and accurate. They are designed to be user-friendly from both the
perspective of "understandability" and from the perspective of accountability.
The firm is not however a graphic design firm and does not purport to be able
to provide a finished quality product from a "high design" standpoint.
Representative Projects.
City of Orlando, Orlando, FL. The firm completed a comprehensive strategic
plan for the city that addressed all core functions of the City with the intent of
positioning Orlando to better compete in as an international city. The project
involved extensive research on competitive cities, citizen input and numerous
staff workshops. One year contract. Beryl Davis, project manager, 407 246
2678
City of DeLand, DeLand, FL. The firm developed a comprehensive strategy
management system over the course of five years of work with the City. This
system links a community vision plan with the City's strategic plan,
departmental business plans and performance metrics. Mike Abels, City
Manager, 386 626 7106.
10
Pinellas County Government, Clearwater, FL. The firm completed a
comprehensive strategic plan addressing all core functions of an urban county
government. The project involved extensive staff and board workshops along
with focus groups and citizen surveys. Pinellas County is Florida's most
urbanized county with nearly 1,000,000 residents and faces all the issues and
challenge of an established urban area. 18 month process. Chris Staubus,
project manager, 727 348 5721
City of Oviedo, Oviedo, FL. The city is primarily a residential community of
30,000 young families who work either at Cape Kennedy, the University of
Central Florida or in the City of Orlando. The firm is currently developing a
strategic plan to position the City to manage high rates of growth within the City
and its surrounding regions. In process. Bob Benkovsky, Assistant City
Manager, 407
Charlotte County FL, Strategic Financial Plan. Dr. Marlowe is working with
Charlotte County to develop a strategic financial plan to manage an
approximate 10 - 12% budget reduction due to new property tax policy
established by public referendum and economic recession. The project requires
clear identification and consensus on core businesses. Ray Sandrock, Budget
Director, 941 743 1321.
The Children's Trust, Miami -Dade County. The Trust is a special taxing district
in Miami -Dade County Florida with an annual budget of $100 million targeted
to services to youth. The firm developed the initial strategic plan and
operational plan for the Trust. The project involved extensive best practices
review and community input along with development of alternative investment
scenarios. Eight months. Mo Abety, President and CEO, 305 571 5000
City of Naples Vision Plan, Naples, FL. The firm completed a twenty year vision
plan for the City which involved extensive citizen input, a scientific public
opinion survey and a number of Council workshops. Robin Singer, project
manager, 239 213 1040.
11
Sub -Contractor Qualifications
Analytica proposes to sub -contract with Competitive Performance Systems (CPS)
for certain tasks with the project. CPS, headed by Dr. Mary Gamble, focuses on
quality improvement processes. Dr. Gamble will lead or co -facilitate selected
business planning workshops that focus on continuous improvement
mechanisms. Depending upon the organizational assessment approach
selected, she may provide consulting services. The firm description and her
resume will be found in the appendices. References for her are provided in the
references sub -section. Two representative projects for CPS is the re-
structuring of the Tampa Bay United Way to a new focus on community
outcomes and the re -structuring of the Hillsborough County FL School Board to
address de -segregation issues.
Project Approach and Timeline
Phase One: Project Foundation
Task One: Project Organization and Initial Data Collection
The purpose of this task is to organize the work of the project for the
remaining tasks by gathering the initial information for the project. Work at
this stage is primarily in-house among the consultants, and Round Rock
elected and appointed leadership. Task One will be accomplished via an on-
site visit. Among the activities of this task are:
• Initial meeting with the Project Management Team and Advisory Group.
This is the internal team that will manage the project and advise on
logistical and process matters. The consultant's will have been in
discussion with the project manager prior to arrival to schedule the
meetings planned for this task. The purpose of this meeting is for
introductions, review the'schedule, and address any additional planning
tasks or questions about the approach.
• Individual interviews with Council members, senior staff including
department heads. The purpose of these interviews is to identify key
12
strategic issues, opportunities, threats, possible future scenarios,
perspectives on organizational culture, perspective on core businesses,
view of mission, vision and values and other key organizational issues
such as strengths and weaknesses that should be considered during the
project.
Facilitation of three staff focus groups. Focus groups will be conducted
with staff at three levels of organizational responsibility - managers, first
line supervisors and direct service staff. The purpose of these focus
groups is to obtain perspectives on issues and opportunities,
organizational culture and other topics related to organizational
performance.
• Collection of existing strategic and operational plans and
accomplishments along with other relevant studies. This is a collection
of relevant documents that provide background information on the City.
• Limited interviews with Round Rock community leaders. This is a limited
set of Interviews dPCignPd to familiarize the consultants with issues from
the perspective of those persons familiar with the City. The City has
already conducted extensive public input and there is no intent to
duplicate that effort. However, these limited interviews will provide a
valuable perspective.
• Project planning and feedback meeting. This meeting with the project
management group will conclude the first site visit. Initial feedback will
be provided based on interviews and focus groups. However, the primary
purpose of the meeting is to review and modify as needed the proposed
process and develop a schedule for future meetings. A specific decision
to be made in this meeting is the tools that will be used for task three,
organizational assessment. A second specific decision is the thematic
organization of strategic focus areas as discussed in task four.
Deliverables: Revised Project Process and Timeline
Task Two: Issues & Opportunities and Trends & Patterns Analysis
The purpose of this task is to conduct an environmental scan to ensure that
the full scope of potential topics, issues and opportunities which could be
relevant to the future of Round Rock are identified. This task also produces
a briefing document that will be used as a reference in future tasks. Specific
activities of this off-site task include:
13
• Review of demographic, environmental and economic trends, including
any existing reports;
• Review of the existing plans to build the basis for integration of the
strategic plan with current plans;
• Review of key features characterizing superior 215t century communities.
This is a literature review of existing studies and reports that address
highly competitive and superior communities;
• Review of other visioning and strategic planning efforts in the region that
may impact the City;
• Telephonic or electronic discussions with City staff for purposes of
clarification or additional data collection.
Deliverable: Issues & Opportunities, Trends & Patterns Report
Tack Three_ Arg.a,niztiona1 Assessment
The specific activities of this task will be decided during the completion of task
one. The following are options for the City to consider.
• Utilize a Self -Assessment survey such as Sterling Navigator (is web -based
and can be administered on-line) or other similar assessment tool to
conduct a SWOT analysis that provides a "snapshot" of the organization.
• Consider using the web -based Ethical Fitness Seminar provided through
Institute for Global Ethics (offered by MIDI - a provider of web -based
ethics based in Plainsboro, N .J. - to provide a snapshot of the internal
ethical climate. Materials or resources from the Institute
www.globalethics.org may be utilized with the City on issues of values,
consensus building, and constructive dialogue.
• Utilize existing quantitative surveys on topics such as organizational
trust, organizational climate or culture, job satisfaction.
• Design a specific survey of either a quantitative or qualitative nature (or
some combination) for Round Rock and administer either through a paper
survey, a web based surveying site or other appropriate form.
Whichever option the City selects the consultant will organize the survey
administration and data collection process, analyze data as appropriate and
prepare a report of findings.
14
Deliverable: Summary report of findings.
Phase Two: issues and Opportunities Identification
This phase will consist of a series of workshops with staff that will review
various issues and opportunities identified in prior work or during the
workshops. Workshops will be organized thematically along areas of strategic
focus rather than by departmental lines. The final thematic organization will be
selected in task one. A possible thematic organization is:
• Public safety
• Regulatory
• Community development (economic development, community design)
• Public infrastructure (roads, water and sewer, stormwater, any other
utilities, parks, facilities, technology)
• Quality of life services (recreation, libraries, events, etc)
• Administrative support (back office functions, policy, management)
• Organizational performance (culture, satisfaction, community and
organizational leadership)
Task Four: Issues and Opportunities Workshops I
The purpose of the workshops I series is to review and validate or modify the
initial set of issues and opportunities presented in the task two report. Separate
two -three hour workshops will be conducted on each strategic focus theme with
appropriate staff participation. Participants will be provided with the issues and
opportunities report prior to the workshop along with a workshop agenda so
that they can prepare for the event. The result of the workshop will be
concurrence that the various issues and opportunities in a particular strategic
focus area have been identified and correctly framed for future work.
Deliverable: Revised Issues and Opportunities Report
Task Five: Issue and Opportunity Prioritization Workshops II
The purpose of the workshop II series (1 to 1.5 hours per workshop) is to rate
the various issues and opportunities on a prioritization scale to determine from
15
a staff perspective where priority work should occur. The workshops will use
electronic polling technology to ensure both rapid and non -biased ratings. Up
to SO persons can participate in any workshop. Use of technology such as this
provides the Manager and Council with perspectives unbiased by peer pressure
and promotes wise judgments by drawing on the full knowledge base of the
participants.
Deliverable: Prioritized Issues and Opportunities Report
Task Six: Council workshop preparation
To make the Council workshop productive and results oriented, a variety of
preparatory activities will occur. Which of the specific activities listed below are
appropriate and useful will be the subject of task one discussions. Preparatory
activities (-mild include:
• Development of draft vision, mission and values statement or statements
for discussion with Council in task seven. Prior to the Council workshop
the staff workshop series II will review concepts and approaches.
• Development of draft goals statement for discussion with Council. Staff
workshop II will generate this material.
• Development of draft strategies for Council consideration. Again this will
be a work product emanating from the staff workshop II series.
• All this material will be integrated into a strategic choices document that
will structure task seven events.
Task Seven: Council validation and prioritization
Using the Prioritized Issues and Opportunities Report and prior strategic plans
as the background data, a Council workshop will be conducted to discuss
Council's vision for the City and in context validate or revise existing strategic
priorities and potentially add new priorities. In addition Council will be asked to
affirm or modify draft mission and value statements. The length of the Council
workshop will be determined in part by the amount of material to be reviewed.
Council will be provided the Prioritized Issues and Opportunities Report and the
afore -mentioned Strategic Choices document so that they will be aware of staff
perspectives. During the interviews of Council members in task one a topic of
16
discussion will be their priorities. This data, existing priorities and task five
priorities will be combined into a strategic choices document provided to
Council prior to the workshop.
The process of establishing priorities serves to clarify the core businesses of the
City.
The workshop itself may use polling technology if that is deemed appropriate
for the task.
Deliverables: Updated Council Priorities Report
Phase Three: Strategic Plan Development & Submission
Task Eight: Plan Development and Testing
The purpose of this task is to integrate the information gathered in tasks one
through six into a draft updated strategic plan. This draft plan is then
circulated for discussion and revised in a consensus building approach.
It is premature at this point of course to discuss the content of the plan. A
preliminary format is presented below as well as the general steps which
would occur during this task. Specific steps are highly subject to local
refinements needed to meet the particular needs of Round Rock.
The general format of the plan would be:
• The context. This section is drawn from phase one and two information
and describes the opportunities and challenges facing the City.
• Vision statement. This is the statement describing the future Round Rock
this plan seeks to foster.
• Mission statement. A statement describing the purpose of city
government that is clear, concise and can guide the work of every
employee. The discussion in preparing this statement should clarify what
the City views as its core businesses.
• Values statement. A statement of the core values the City will seek to
practice in its work.
17
• Positioning statement. The positioning statement provides a fuller
description of the vision and the core activities or businesses the City
must engage in to achieve that vision.
• Key results. These are the goals or key achievements that need to be
addressed and achieved if the vision is to be realized. These are usually
5 to 7 in number.
• Strategies. These are the actionable approaches that will be taken to
achieve the goal. We normally group key results/goals and their related
strategies into what we call strategic focus areas so that there is a
comprehensive view of what is trying to be achieved and how it will be
achieved. Good strategies often impact more than one goal.
• Managing the vision plan. This section describes at a general level how
the vision plan will be managed, measured and updated. It includes the
governance mechanism, the key metrics or benchmarks that will be used
and a mission statement for the management system.
The activities of this stage include:
• Staff and Council distribution for comment. A comment period will be
allowed to enable staff and Council to comment on the draft. Should
there be extensive comment, a second round of comment may occur.
• Public distribution. At this point the plan can be publicly distributed (via
a variety of forms) and a public comment period provided should the City
wish to do so.
• Senior management workshop. This two - three hour workshop will
serve as a final review of the plan before submission to Council. Should
the City choose, Council members may be briefed individually or a
workshop held prior to formal submission.
Deliverable: Proposed Strategic Plan Update
Task Nine: Strategic Plan Endorsement
• The purpose of this stage is the endorsement of the strategic plan. This
will occur via public presentation to the Council. As noted in task seven,
preceding this presentation a final staff workshop will be conducted to
ensure the plan is comprehensive and responsive to current and future
city issues.
18
Deliverable: Endorsed plan
Phase Four: Strategy Management for High Performance
The purpose of phase four is to ensure that leadership practices and
organizational behaviors; organizational structure, systems and processes; and
resource allocation decisions are aligned with the intents and purposes of the
strategic plan. Our practice to achieve this purpose is to develop a strategy
management system, of which the first element is a strategic plan. Completion
of the strategy management system will meet the following objectives as
delineated in the RFP.
• Improve management practices to accomplish strategic goals and
objectives.
• improve operational performance
• Improve customer satisfaction
• Improve employee engagement
• Improve the measurement of operational and financial results as related
to the goals and objectives of the City
Strategy Management Systems are comprised of the following elements. The
prior phases have developed the first element, a strategic plan. Phase four
develops for the other elements.
• A strategic plan. The driving force of a strategy management system is
the strategic plan. This plan should be consistent with community
priorities while addressing the long term opportunities and issues facing
the county.
• An annual agenda. The key is not in the plan but how the plan is
worked. Where the time frame is annual or quarterly, specific, tangible
actions should be taken through a work plan for that year. In our
approach we develop an annual agenda with the board and executive
group so that the leadership of the organization is focused on the work
to be done that year that will move the plan forward. One way to
continuously move the agenda is to organize the board's meeting agenda
to reflect the strategic plan and annual agenda.
19
• Strategic budgeting. The fiscal resources of the organization must be
appropriately committed to the plan. This requires both dedicated or
targeted funds as well as a budget process that examines strategic
priorities during the process of building the budget each year.
• A strategically focused table of organization. If the strategic plan is to be
implemented, the organization must be structured for that end. In
practice, many strategic goals cross departmental lines and require
multi -disciplinary teams for their design and implementation. In our
work we have distinguished between operational work (existing work
which must be done on a repetitive basis) and project work (time limited
work to initiate a strategic goal). Both types of work contribute to long
term strategic goals, but some strategic goals are best moved forward
with dedicated project teams. The approach to the balanced scorecard
that we use incorporates both operational and project scorecards.
• Performance indicators. Performance indicators help us answer the
question, "What progress are we making toward the strategic goals and
priorities?" They may be of two types: products and processes. Products
are tangible end results, a new economic development strategy, a new
parks program, etc. Processes are interim measures that inform us
whether we are on track. Our belief is that if we work the process, we will
get the product.
• Business and Operational plans. Work plans integrate fiscal and human
resources around a set of performance indicators (with time
benchmarks). An effective strategy management system not only has
work plans but also has a system for managing various work plans in an
integrated manner.
• Individual performance appraisal systems that allow each employee to
have a line of sight between their work and the results sought by the
organization;
• Data bases and information systems that provide user-friendly, readily
accessible and real time when possible information about progress
toward results
20
These major elements do one critical thing. They produce results. Setting a
specific agenda for the year, committing fiscal and human resources to that
agenda, and having a work management system that tracks and adjusts
performance is a proven formula for generating results.
Task Ten: Business and Operational Planning
In this task each department will develop or update its own business and
operational plan in the context of the adopted strategic plan and associated
documents. A business plan consists of the following elements:
• An external business climate/market analysis that examines key
variables that will impact the work of the department such as population,
demographic, regulatory, technology trends, a key stakeholder analysis, a
customer profile analysis, and any other key factors that will impact the
work of the department.
• An internal analysis consists of a business practice analysis that assesses
major products and services and core processes (program and process);
customer satisfaction and citizen engagement. This discusses addresses
core businesses at a departmental and process level.
• The financial environment such as: current/existing revenues and
expenditures; projected revenues and expenditures; revenue generating
opportunities and cost benefits; "Key Ratios, Analyses and Measures"
used within the field; and future financial issues which could impact
performance.
• Resource, facility and equipment analysis, i.e. the physical capital needed
for departmental operations
• A competencies analysis of human and technological competencies
addressing such topics as: core competencies; emerging competencies;
retirement and succession issues; workload trends; and labor pool trends
and demographics.
21
• An organizational values and norms analysis addressing working values;
organizational trust; work climate and leadership assessment, i.e. what
leadership roles do we need to assume?
• Risk and threat assessment of any legal issues; revenue/expenditures
issues; staffing issues, potential actions by other entities, regulatory
issues and any disaster related issues.
Based on this assessment a work plan is developed which addresses the
following components:
• Deliverables which includes a description of the deliverable, a brief
statement of methodology as to how the deliverable will be produced,
timelines, assignments and dedicated resources per deliverable, budget,
key quality and performance indicators and assignment of operational
responsibility. Deliverables may take many forms ranging from services
to processes to enhanced competencies.
• Community engagement plan which includes a plan for customer
satisfaction data with respect to existing services (how it will be obtained;
how it will be used); community preference and priority data (with respect
to new or changed services); citizen engagement and development and
how public communication and education will occur if appropriate.
• Organizational capacity building plan which addresses internal process
changes to facilitate plan, partnership and collaboration needs, any
succession management issues, any needed technology support and any
organizational culture or employee morale and job satisfaction topics
that need to be addressed. This element also discusses how to better
engage staff toward high performance.
To develop the business plans the following steps are proposed:
Business Planning Workshop 1: Facilitator training
The purpose of this workshop is to enhance the internal capacity of the
City to engage in business planning. A staff member or members from
each department will be trained in the process of developing a business
22
plan. They will serve as the liaison between the consultants and the
departments as the business plans are revised. These facilitators will
post -workshop organize internal teams from each department who will
be responsible for development of the business plans. It is important to
note that strategic goals may cross deparimenra/ lines. In these cases
cross departmental teams may need to be organized to deve/op a
complete business p/an.
Business Planning Workshop 2: Externa/ assessment
This workshop will bring together all the departmental teams that will
work in their teams to complete an external assessment using a
structured process. Teams will work at their own pace in completing the
elements of the external assessment. Facilitators will keep notes and
provide a written summary addressing the topics of the external
assessment.
Business Planning Workshop 3: Internal assessment
This workshop will follow the processes of workshop 2 but focus on
internal assessment.
Business Planning Workshop 4: Deliverables
This workshop will follow the processes of workshop 2 but focus on
deliverables.
Business Planning Workshop 5: Community engagement
This workshop will follow the processes of workshop 2 but focus on
community engagement.
Business P/anning Workshop 6: Capacity building and staff engagement
This workshop will follow the processes of workshop 2 but focus on
capacity building.
23
The completed business plans will then be presented to the executive staff by
department heads on a schedule to be developed.
Deliverables: Workshops
Task Eleven: Strategic budgeting
The purpose of this task is to review the City's budgeting process in the context
of the strategic plan and how to ensure that the priorities of the plan are
addressed during budget development. There are a variety of processes for
addressing this intent. It is proposed that a workshop be conducted with
budget staff to review approaches and develop a recommended approach.
Deliverable: Strategic budgeting workshop.
Task Twelve: Analytics, performance and impact indicators
In this task the business plan indicators, financial indicators, organizational
measures and community indicators will be framed as a balanced scorecard so
that the City can monitor progress as related to the goals and objectives of the
City. The development of a cascading balanced scorecard system is a multi-
year project, often involving the implementation of specialized software. The
intent of this task is to review the scorecard approach in various formats and the
options the City has for development of a balanced scorecard. The product of
this task will be a plan for how the City will finalize the analytics that will be
useful for managing the strategic plan and overall city operations. The primary
activity of this task will be a workshop with staff on public sector analytics and
techniques such as the balanced scorecard.
The process of selecting metrics and which metrics are selected build upon prior
core business discussions and serve to further clarify and validate the core
businesses of the City.
Deliverable: Workshop
24
Task Thirteen: Organizational structure
Once the goals and strategies are delineated, the structure of the organization
should be reviewed to determine if it is consistent with the intent and direction
of the strategic plan. A number of options are available ranging from assigning
goals to departments to creating cross functional teams with strategic
assignments. This task will be completed through a workshop with staff
designed to review options and create a model that would serve the City well.
The timing of this workshop will be decided by the project management group.
In some cases this event should occur prior to business planning in the event
that a re -structuring occurs it precedes business plan development. In other
cases the process of business planning makes the options and needs for re-
structuring clearer.
A key variable to be considered during this discussion are the core businesses
of the City. The workshop usually begins with a review and validation of the
core businesses since the structure is built in part upon ensuring those core
businesses succeed.
Deliverable: Workshop and proposed organizational structure.
Task Fourteen: Continuous High Performance
The premise of this task is that high performance is not a state to be achieved
once and for all but a continuous effort to increase productivity, enhance
quality, and build and maintain the confidence of the public. The purpose of
this task is to review the mechanisms that organization's use to build and
maintain high performance and identify how those mechanisms are and can be
further applied to the operations of City Government. The scope of this topic
encompasses leadership models at all levels, communicating core values and
translating those values into behaviors, building a culture of engagement and
open communication, process redesign and performance feedback loops.
The major activity of this task will be a workshop in which the strategic and
business plans, organizational structure and organizational dynamics are
assessed from a high performance perspective. The intent is to determine if
there are additional needed changes that are either not addressed or
25
inconsistently addressed in the work to date so that Round Rock is focused on
high performance. The workshop will further seek to prioritize two to three
steps that the City should take in the near future to enhance its high
performance efforts. Finally, the workshop will address steps and schedules to
keep the strategic plan and business plans up to date.
Deliverable: Workshop, steps for high performance.
Timeline
Table one provides a project timeline. The project can be completed by
February 2009 assuming staff participation can occur within the proposed
timeframe.
'Table
1
Project Time Frame
Task #
Task Title
Month
1
Project organization &
initial data collection
1
2
Issues & opportunities
analysis
1
3
rirnan-i 7 1 I,,nal..
Ment
4
Issues & opportunities
workshop 1
2
5
Issues & Opportunities
workshop 2
2
6
Council workshop
preparation
2
7
Council workshop
3
8
9
Strategic plan
development & testing
Strategic plan
endorsement
3
4
10
Business and operational
plan development
5 & 6
11
Strategic budgeting
6
26
12
Analytics
6
13
organizational structure
7
14
Continuous high
performance
7
References
For Analytica
• City of Orlando, Florida. Beryl Davis, Director of Audit and Management
Services, 407 246 2678. 400 S. Orange Avenue, Orlando, FL 32801
• Pinellas County, Florida, Chris Staubus, Project Manager, 727 348 5721.
Mr. Staubus is no longer affiliated with Pinellas County Government and
should be contacted by phone.
• WestCare, Las Vegas, NV. Bob Neri, Chief Clinical Officer or William
Stone, Director of Strategic Planning. Mr. Neri may be reached at 727
579 9016, Mr. Stone at 706 889 1872. 9700 Dr. Martin Luther King, Jr.
Street North, St. Petersburg, FL 33702. Suite 200.
References for Dr. Gamble of Competitive Performance Systems
United Way of Tampa Bay
Diana Baker, President and CEO
813-274-0907
Faced with a major shift in its business model due to a national movement
among United Ways to become Community Impact United Ways, United Way of
Tampa Bay (UWTB) contracted with Competitive Performance Systems, Inc. to
provide a multi -faceted project intended to position UWTB as a high performing
organization. Specifics included strategic planning, strategic deployment
planning, organizational redesign and development, and various process
redesigns.
27
MacDonald Training Center
Jim Freyvogel, President and CEO
813-870-1300
Faced with a major shift in how services for adults with developmental
disabilities are funded, i.e., managed care, MacDonald Training Center (MTC)
contracted with Competitive Performance Systems, Inc. for strategic planning
services as well as employee satisfaction/engagement services, succession
planning services and redesign of customer -focus systems all intended to raise
MTC to a level of high performance. National criteria for organizational
performance excellence were used in the design of these systems.
School District of Hillsborough County Florida
Candy Olson
School Board Member
813-272-4045
With the lifting of the court ordered busing of students to insure desegregation,
Hillsborough County Schools implemented "School Choice." The School District
of Hillsborough County contracted with Competitive Performance Systems, Inc.
for organizational redesign/restructuring services intended to make the District
customer focused and high performing. This required the design of customer -
focus systems such as a parent call center, customer satisfaction systems, and
training of school district personnel in customer -service and performance
excellence.
28
Sub -Contractor
Analytica will sub -contract with Competitive Performance Systems for some
portions of the project addressing features of organizational high performance.
The resume for the principal of CPS, Dr. Mary Gamble, will be found in appendix
B. References for Dr. Gamble will be found in the references section. Appendix
C provides a firm description.
Organizational Profile
Project Organization
Analytica is a sole proprietorship fully owned by Dr. Herbert A. Marlowe, Jr. He
will serve as project manager and direct Ms. Gamble as needed in the project.
Key Personnel
Two personnel are proposed as the project team. Their resumes will be found
in appendix B. Brief biographical statements are provided here.
29
Fees
Table
2
Project Fees
Fee
Task #
Task Title
1
Project organization &
initial data collection
$7,500
2
Issues & Opportunities
analysis
$7,500
3
organizational
assessment
$5,000
see note
1
4
Issues & opportunities
workshop series 1
$7,500
5
Issues & Opportunities
workshop series 2
$7,500
6
Council workshop
preparation
$2,500
7
council workshop
$2,500
8
Strategic plan
development & testing
$6,000
9
strategic plan
endorsement
$2,500
10
Business and operational
plan development
$22,000
11
strategic budgeting
$2,500
12
Analytics
$5,000
13
Organizational structure
$2,500
14
continuous high
performance
$2,500
Professional Fees
$83,000
See note
2
Note 1
This fee is for the
consultant's time.
There may be other costs
of administration
depending upon the
selected method.
Note 2
Travel costs will be
reimbursed for out of
pocket expenses. They
will be capped at 25% of
the professional fees.
30
Appendix A: Analytica Firm Description
Firm Description and Qualifications Statement
Analytica
Mission: Support clients to prepare for uncertain futures, make complex and
difficult decisions and add more value for their citizens, customers and clients.
Since 1987, Analytica has developed and implemented systems and processes for
private, public and non-profit clients that improve organizational performance,
strengthen community impact and add greater value. These services include:
• Strategic planning and strategy management and execution;
• Organizational re -structuring ranging from mergers, acquisitions, divestitures
and internal re -organizations;
• Analysis of complex issues ranging from organizational resource re -allocation
to public policy issues such as homelessness, water supply, environmental
protection, behavioral health care, and other topics;
• Developing organizational systems such as:
o Performance management and measurement systems;
o Human resource development and compensation systems and plans;
o Leadership support systems that help connect leadership action with
constituency values, needs and aspirations.
o Organizing systems and structures for achieving organizational goals ;
• Re -designing processes to create greater productivity and greater value;
• Consultation on organizational culture change to align organizational values
and practices with organizational goals;
• Meeting facilitation.
In providing these services the firm employs an array of techniques involving process
facilitation, conflict resolution and consensus building, financial and scenario
modeling, quantitative and qualitative research methods, electronic groupwork
software and its proprietary process for multi -stakeholder planning projects, Public
Study.
31
The firm brings a broad range of experience across geographic, sector,
organizational size and topic or issue perspective. The firm has worked with private
sector firms in agricultural, science and engineering and planning fields; public sector
entities such as municipal governments, county governments, school districts, higher
education institutions, special districts of various types, and pubiic-private
partnerships and various non-profit entities. In terms of size the firm has worked
with entities ranging in employee size from 25 to over 4,000 employees and in
budget from under $1 million to over $1.5 billion. The firm has worked in rural
areas, urbanized areas, financially wealthy communities and very poor areas. Its
work has encompassed every function of general government as well as those
functions provided by single purpose governments such as water management,
water supply, children's services, health care services, stormwater management,
electric utilities, K-12 education and pre -K education.
Due to the scope of its activities in a high growth state, the firm brings a broad
perspective on the issues facing growing states, local communities and the range of
solutions being implemented or developed by various entities in response to the
challenges of growth. It has worked extensively with communities facing high
growth rates and has a substantive understanding of the policy, operational and
community issues and dynamics which occur in this situation. The firm is
distinguished not only by its knowledge and understanding of growth -related issues
but also by its skill in working in multi -stakeholder environments to develop
productive approaches and solutions to complex issues. For example, the firm has
facilitated the efforts of four counties and thirteen municipalities to develop a
common water planning approach.
The firm seeks to build substantive solutions to difficult, complex challenges. To do
so, it brings not only its expertise and competencies, but those of a broader strategic
network of firms and individuals who share its same values of depth and
thoroughness in analysis, creative rigor in solution seeking, attention to process
detail, and the development of a sufficiently broad consensus that action can occur.
The attached qualifications list provides a list of clients, a description of the topic
areas in which the firm has worked, a publications list, the resume of the principal,
Herbert A. Marlowe, Jr. and references.
32
Table 1: Analytica Client List: (Florida clients unless noted)
Public Sector
• Alachua County
• Baker County
• Belle Glade
• Belleair Beach
• Brevard County
• Broward County
• Broward County Property Appraiser's Office
• Business Development Board, Palm Beach County
• Canal Point
• Cape Coral
• Capital City Planning Commission, Tallahassee
• Care Council of Palm Beach County
• Central Florida Business Development Council, Bartow
• Charlotte County
• Charleston County, SC School Board
• Child Welfare Council, Miami -Dade and Monroe Counties
• Children's Board of Hillsborough County
• Children's Services Council, Palm Beach County
• Children's Trust, Miami -Dade County
• Criminal Justice Commission, Palm Beach County
• City of Sarasota
• Collier County
• Coral Springs Community Service District
• Davie
• Daytona Beach
• Debary
• DeLand
• Downtown Development Authority, Tallahassee
• Fort Walton Beach
• Florida Association of Counties
• Florida Commission on Local Government
• Florida Children Services Councils
• Florida Department of Health
• Florida Department of Juvenile Justice
• Florida Governmental Utilities Association
• Florida Heartland Rural Health Network
• Florida Storm water Association
• Gadsden County
• Gainesville
• Gulfstream
• Halifax Health Care District
• Hamilton County
• Hardee County
• Hollywood
• Jacksonville Electric Authority
• Juno Beach
33
• Juvenile Welfare Board of Pinellas County
• Key Largo
• Key Largo Wastewater Treatment District
• Lakeland
• Lake Wales
• Lauderdale Lakes
• Lee County
• Leon County
• Longboat Key
• Madison County
• Margate
• Martin County
• Miami-Dade County
• Miami-Dade Department of Public Health
• Monroe County
• Naples
• North Lauderdale
• North Palm Beach
• Orlando
• Ormond Beach
• Osceola County
• Oviedo
• Palm Beach County
• Palm Beach County School Board
• Palm Beach County Sports Authority
• Palm Coast
• Peace River/Manasota Water Supply Authority
• Pinellas County
• Polk County
• Ponce Inlet
• Port St. Joe
• Private Industry Council, Palm Beach County
• Property Appraiser, Alachua County
• St. Johns River Water Management District
• St. Lucie County Government
• St. Lucie County Supervisor of Elections
• St. Lucie County Children Services Council
• St. Lucie County Executive Roundtable
• St. Lucie West Services District
• St. Petersburg
• Sarasota County
• School Board of Palm Beach County
• School Readiness Board, State of Florida
• School Readiness Coalition, Palm Beach County
• School Readiness Coalition, St. Lucie County
• Seventh Judicial Circuit, Florida
• Shands Hospital
• South Bay
• South Florida Water Management District
• Southeast Volusia Hospital Authority
• Southwest Florida Water Management District
• Suwannee County
• Tallahassee
34
• Tampa Bay Area Regional Transportation Authority
• Tampa Bay Water Coordinating Council
• Temple Terrace
• Tequesta
• Tourist Development Council, Lee County
• Tourist Development Council, Palm Beach County
• Treasure Coast Health Planning Council
• Volusia County
• Wakulla County
• Walton County
• Water Alliance, Volusia County
• Water Authority of Volusia
• Water Planning Alliance, Southwest Florida (Charlotte, Desoto, Manatee and
Sarasota Counties and municipalities)
• West Volusia Hospital Authority
• West Park
• Winter Haven
• Winter Park
• Workforce Development Board, Hillsborough County
Non -Profits
(Florida unless noted)
• 211, Pinellas County
• ACT, Daytona Beach
• ARC, W. Palm Beach
• Children's Home Society, Florida
• Children's Home, Tampa
• Economic Opportunity Council, Bartow
• Evangelical Lutheran Church of America, Chicago
• Family Resources, Inc. St. Petersburg
• Family Counseling Services, Miami
• Family Services Center, Clearwater
• Family Support America, Milwaukee
• Family Support Canada, Toronto
• Florida Families First
• Florida After school Network
• Glades Initiative, Belle Glade
• Leadership, Palm Beach County
• Literacy Coalition, Palm Beach County
• Lutheran Church, Winter Haven
• Marriage and Family Services, Clearwater
• Miami -Dade Health Care Collaborative
• Non -Profit Resource Institute, W. Palm Beach
• Primetime, W. Palm Beach
• Resource Depot, W. Palm Beach
• Southern Gerontological Society, Atlanta
• Tampa Bay Health Care Collaborative
• The Florida Network, Tallahassee
• The House Next Door, DeLand
• The Red Cross of Palm Beach County
35
• The Red Cross of Springfield, Mass
• The Spring of Tampa Bay
• Tri -Counties Mental Health, North Carolina
• WestCare, Las Vegas, NV
• Western Mental Health Center, Belle Glade
• YMCA, Tampa Metro
Foundations, Universities and Charities
• Allegany Franciscan Foundation, Tampa Bay
• Allegany Franciscan Foundation, Miami
• Allegany Franciscan Foundation, W. Palm Beach
• Auburn University, Auburn Alabama
• Barrington College, Barrington, R.I.
• Community Foundation of Palm Beach and Martin Counties, W. Palm Beach
• Eckerd Family Foundation, Clearwater
• North Dade Medical Foundation, N. Miami
• Palm Beach Community College
• Palm Beach Education Foundation, W. Palm Beach
• South Florida Health Foundation, Miami
• Stetson University, DeLand
• United Way of Hillsborough County
• United Way of Pinellas County
• United Way of Tampa Bay
• United Way of Central Florida (Polk County)
Private Sector
Confidential list available as appropriate
Table 2. Topic areas in which the firm has worked
• Agriculture & Aquaculture
• Budgets and Financing
• Children Services
• Compensation Studies
• Conflict Resolution
• Criminal Justice
• Disaster planning and recovery
• Economic Development
• Environmental Protection
• Fire/Rescue Services
• Health Care
• Human & Social Services
• Inter -governmental Relations
• Land Use
• Library Services
• Neighborhood Plans
• Organizational culture
• Organizational structure
• Performance Based Management Systems
• Planning
36
• Public Facility Siting
• Public works administration
• Public Infrastructure
• Race Relations
• Recreation
• Science and engineering
• Transportation
• Team Building
• Water Supply Management
• Water & Sewer Utilities
Table 3: Analytics: Studies and Planning Projects
Analytica has conducted a number of projects and studies requiring extensive use of
both quantitative and qualitative data. While wide-ranging in topics, all projects
required a high degree of analysis and the capacity to integrate disparate
perspectives into a coherent set of conclusions and recommendations. These
projects demonstrate the capacity of the firm to handle large and complex data sets
and controversial issues, and to reach a set of conclusions based on extensive data
analysis and synthesis.
• Strategic and Business Plans. The firm has developed strategic and business
plans for many clients including Pinellas County, Broward County, Orlando, Palm
Coast, DeLand, the Children's Trust of Miami -Dade County, the Juvenile Board of
Pinellas County, and the Children's Board of Hillsborough County among others.
These plans have addressed issues of economic development, housing and
education among other topics.
• An economic development plan for the Glades area of Palm Beach
County. This study examined the changing economic conditions in the Glades as
well as emerging opportunities and presented a set of strategies for the future.
The plan was awarded a national best plan award by economic development
professionals.
• Economic development strategic plan, City of Daytona Beach. This study
examined the changing economic structure of the tourist based community and
developed successful high technology manufacturing strategies.
• Activity Based Costing System., Children's Board of Hillsborough County
This project involved development of an ABC system for the Children's Board of
Hillsborough County. Phase 1, the internal component has been completed.
Phase 2, measuring external investments by other funders, is underway.
• Post -Disaster Recovery Plan, Monroe County. This project developed a
post -disaster recovery plan for Monroe County. Included in this was a detailed
debris management plan.
• Post -Disaster Recovery Plan for Human Services, Pinellas County. This
project developed a post -disaster recovery management system to address
human service issues in Pinellas County.
• Evaluation of Palm Beach Criminal Justice Commission. This was an
assessment of the business operations of the Commission.
• Fire Services Coordination, City of Gainesville & Alachua County, FL. This
study worked jointly with these two entities to develop new models for the
provision and reimbursement of fire services which are not as contentious as
prior approaches and relied on market based models.
37
• Assessment of Small Business satisfaction. This study examined
procurement and payment practices of the South Florida Water Management
District.
• Integration of Physical Health and Human Services in Volusia County, FL.
This project involved assisting a citizen's task force appointed by the County
Council and the Boards of the three health care taxing districts in the county to
develop a new model for the policy management and governance of health and
human services in the county. This project identified four major alternatives and
made recommendations to the legislative delegation and local boards.
• Assessment of the Florida Department of Health and Rehabilitative
Services District XI's mental health services delivery system. This study
examined the system for mental health services in Dade County and presented
over 70 recommendations for change. Florida Department of Health and
Rehabilitative Services.
• Assessment of Human Service Needs in the Glades Area of Palm Beach
County. This study determined the scope and priority of human service needs in
the Glades area.
• Assessment of homeless needs and services in Pinellas County. This study
examined the scope of homelessness and the effectiveness of the service system
and presented alternative approaches.
• Evaluation of the State of Florida's telemedicine system. This was a study
for the Florida Department of Health of the state's experiment in telemedicine.
Results were published in a referred scientific journal.
• Assessment of Leadership and Management Capacity Building Needs in
the Tampa Bay Non -Profit Community. This study examined alternatives to
build non-profit organizational capacity.
• An integrated health and human services planning and management
system, Pinellas County Board of County Commissioners and the Juvenile
Welfare Board of Pinellas County. This project developed a state of the art
health and human services planning and management system designed to
optimize investments and create more effective services.
• Assessment of "One Less Worry" Health campaign. This was a focus group
assessment of an advertising campaign on child care insurance developed by the
Florida Department of Health.
• Assessment of "We Make the Change" Health campaign. This was a focus
group assessment of an HIV advertising campaign targeted at African-Americans
developed by the Florida Department of Health.
• Salary and Classification Study, The firm has done a number of salary and
classification studies for clients such as St. Lucie County Government; Supervisor
of Elections, St. Lucie County; Walton County: Jupiter; Village of North Palm
Beach; and Juno Beach.
• Housing Needs Assessment for HIV persons on Palm Beach County, FL.
This study examined the housing needs of persons living with AIDS/HIV in the
county.
• Evaluation of the staffing patterns of the Florida mental hospitals. The
project studied staffing levels and work flow analysis to develop staffing formulas
for the mental hospitals of Florida. Florida Department of Health and
Rehabilitation Services.
• Evaluation of the staffing patterns of the State of Florida Medicaid
offices. This project studied staffing and work flow and developed a set of
staffing standards for state Medicaid offices.
• A study of the impact of water plant operator certification, Association of
Boards of Certification. The firm conducted a technical study of water plant
38
operators in several states to measure the impact of operator certification on
plant operations.
• Project Mosaic, Palm Beach County, FL. This study examined factors leading
to residential segregation and then presented ideas and design strategies to
foster racially integrated communities.
Table 4: Management Related Publications and Presentations
Analytica is committed to rigorous and careful analysis combined with innovative and
leading edge solutions. One test of a firm's capacity to engage in both careful
analysis and leading edge thinking is whether it can engage in an analysis of
sufficient quality and depth and presents its ideas and conclusions carefully enough
to warrant publication in scientific and professional journals as well as books. The
following is a list of the firm's publications. Publications are often co-authored with
clients and colleagues.
Peer Reviewed Publications
• Pammer. W. and Marlowe, H. A. 1999. Conflict in City Manager Cities: Insights into
intervention approaches. State and Local Government Review. Fall.
• Nyhan, R. C and H. A. Marlowe, Jr., 1997. Development and psychometric
properties of the organizational trust inventory. Evaluation Review, 21, (5),
614-635.
• Nyhan, R. C and H. A. Marlowe, Jr., 1995. Performance measurement and
Total Quality Management (TQM) in the public sector: Opportunities and
challenges. Public Productivity and Management Review 18, (4) 333-347.
• Marlowe, H. A., R. C. Nyhan, L. Arrington and W. Pammer 1994. The re-ing of
local government: Understanding and shaping governmental change. Public
Productivity and Management Review, 17, 299-311.
• Marlowe, H. A. and Bordelon S. 1992. The application of organizational
development processes to downsizing: A cognitive view. Journal of
Managerial Psychology,
• Weinberg, R. and Marlowe, H. Managerial stress in corrections personnel.
1986. Journal of Correctional Psychology,
• Spector, P. E., & Marlowe, H. A. (1983). Administrative practice and employee
job satisfaction in a psycho -social rehabilitation agency. Psychosocial
Rehabilitation Journal, 7, 29-36.
Books
• Marlowe, H. A. and Ashburn R. Management and Supervision Skills. Atlanta,
GA: Southern Regional Education Board. 1985.
• Marlowe, H. A. and Ashburn, R. Interpersonal Relationship Skills. Atlanta, GA:
Southern Regional Education Board. 1985.
• Marlowe, H.A. and Weinberg, R. 1984. (eds). Competence development. Springfield,
IL: C.C. Thomas.
39
Book Chapters
• Marlowe, H. A. and R. C. Nyhan, 2003. Innovations in public budgeting:
Applying organizational development processes to downsizing. In A. Khan &
W. B. Hildreth (Eds.) Case Studies in Public Budgeting and Financial
Management. Dubuque, IA, Kendall/Hunt.
• Nyhan, R. C and H. A. Marlowe, Jr., 1993 Organizational effectiveness
enhancement under Total Quality Management (TQM) in a non -manufacturing
setting. In Sumanth, D. J., Poupart, R. and Sink, D. S. (Eds.) Productivity and
Quality Management Frontiers- IV, Norcross, GA: Industrial Engineering and
Management Press, 294-303.
• Marlowe, H. A. and R. C. Nyhan 1993. Redesigning a public organization to
activate ego energy. In R. Kilman (Ed.) Ego Energy, San Francisco: Jossey-
Bass.
• Marlowe, H. A. and R. C. Nyhan, 1993. Changing the deep structure of a
public organization: Using the punctuated equilibrium paradigm to guide
productivity and quality improvement programs. In Sumanth, D. J., Poupart,
R. and Sink, D. S. (Eds.) Productivity and Quality Management Frontiers- IV,
Norcross, GA: Industrial Engineering and Management Press, 597-606.
Conference Presentations
• Kelton, R., Wingo, 0., and Marlowe, H. 2006. Integrating systems thinking
and strategy management. Innovations in Local Government Conference.
Dayton, OH.
• Panacek, L. and Marlowe, H. 2005. Organizational transparency. American
Child Welfare Association. Washington, D.C.
• Nyhan, R. C. and H.A. Marlowe, 1994. Performance measurement and Total
Quality Management (TQM) in the public sector: Opportunities and
challenges. American Society for Public Administration, San Francisco, CA.
• Marlowe, H. A., R. C. Nyhan, L. Arrington and W. Pammer 1993. The Re-ing
of Local Government: An integrated model for incremental and dramatic
change. Sixth National Public Sector Productivity Improvement Conference.
September 8-10, Phoenix, AZ.
• Marlowe, H. A. and R. C. Nyhan, 1993. Using the punctuated equilibrium
paradigm to guide organizational change. American Society for Public
Administration, National Conference, San Francisco, CA, July 16.
• Nyhan, R. C. and H.A. Marlowe, 1994. Performance measurement and Total
Quality Management (TQM) in the public sector. American Society for Public
Administration, National Conference, San Francisco, CA, July 16.
• Nyhan, R. C. and H.A. Marlowe, 1993. Organizational effectiveness
enhancement under Total Quality Management (TQM) in a non -manufacturing
setting. Fourth International Conference on Productivity and Quality Research,
University of Miami, Institute of Industrial Engineers, Miami, FL, February 11.
• Marlowe, H. A. and R. C. Nyhan, 1993. Changing the deep structure of a
public organization: Using the punctuated equilibrium paradigm to guide
productivity and quality improvement programs. Fourth International
Conference on Productivity and Quality Research, University of Miami,
Institute of Industrial Engineers, Miami, FL, February 11.
• Arrington, L.W. and Marlowe, H.A. The collapse of consensus in Florida.
Florida Association of Counties Annual Conference. 1992.
40
• Marlowe, H.A. and Beaudet, B. Creating a high performance utility: The link
between culture and organizational health. American Water Works
Association Conference 1992.
• Marlowe, H.A. and Beaudet, B. Creating self -renewing capabilities in a Water
Utility: Lessons learned fro analysis and action in creating a learning
organization. American Water Works Annual Conference. 1991.
• Marlowe, H.A. The learning organization: Implications for trainers. American
Society for Training and Development Technical Conference. 1990.
Non -peer reviewed publications
• Marlowe, H.A. and Arrington, L. W. 2004. Consensus building: Keys to success. ICMA
IQ Report. October.
• Marlowe, H.A. and Arrington, L. W. 2004. Ten Golden Rules for Consensus Building.
Colorado Municipalities, Colorado Municipal League, June, 20.
• Pammer, W. and Marlowe, H. A. 1999. Managing conflict in Council -Manager Cities.
PA Times, June
• Nyhan, R. C. and Herbert A. Marlowe, Jr., 1993. Performance measurement
and TQM in the public sector The Public Manager, 22, (3) 80-81.
• Marlowe, H.A. and Avael, J. Solving multi-year budget problems in a single budget
cycle. Public Manager. 1993.
• Marlowe, H.A. and Beaudet, B. Workplace literacy in the Water industry.
American Water Works Journal. 1992.
• Marlowe, H.A. and Beaudet, B. Creating a high performance utility: The link
between culture and organizational health. American Water Works Association
Journal. 1992.
Publications in working paper status
• Outcomes based costing: A strategic approach to activity based costing
• Systems modeling: An alternative approach to traditional need assessments
for human services
• Public Management Networks: A developmental guide
• Business planning manual.
• Community Return on Investment: A new metric for measuring return on
investment in the public sector
• Strategy Management Systems: Integrating balanced scorecard, community
return on investment and performance effectiveness
• Organizational transparency
• Balanced strategy: Integrating strategic planning with the balanced scorecard
approach
• Mutual accountability: An alternative approach to community based planning
• The new public leadership
• Policy leadership: Integrating the balanced scorecard and Carver's
governance model in the public sector.
41
Appendix B: Competitive Performance Systems
Competitive Performance Systems, Inc. (CPS) an organization development firm
dedicated assisting organizations plan strategically, design how they do their
work, and measure performance.
The firm's areas of expertise include:
➢ Organizational Assessments using nationally recognized criteria for
organizational success
➢ Strategic Success PlanningrM including vision/mission development,
identification of organizational success factors, and development of strategies
to insure those success factors.
➢ Strategic Deployment Planning and Execution, including alignment of
organizational structure, systems, and processes to support strategic
direction.
➢ Work System Design including integration of work functions, cross -functional
teaming, and performance management systems.
➢ Leadership Systems and Succession Planning among all levels of an
organization
➢ Process Management and Redesign required for the effective and efficient
delivery of products and services.
42
Appendix C: Resumes
Herbert A. Marlowe, Jr.
Dr. Marlowe received his Ph.D. from the University of Florida, where he specialized in
process facilitation and strategy in the areas of organizational change and
effectiveness. His undergraduate work was also at the University of Florida.
Prior to completing his Ph.D., he had served as an organizational development
consultant for the U.S. Navy where he was a member of the team that developed the
Navy's strategy for continuous organizational improvement and the management of
cultural diversity. After completing his doctoral coursework at the University of
Florida, he joined the Florida Mental Health Institute. There he was a member of the
team charged with developing and implementing a new strategy for mental health
services.
After receipt of his Ph.D., he joined the staff of the University of Florida in a Center
focusing on the state's environmental issues. While there he managed a number of
research projects addressing strategies for natural resource protection and
management. Upon joining another Institute in the University, he was lead
consultant to a water utility developing and managing strategies for extensive
growth and organizational change.
Upon completion of this last project in 1991, he established a full time consulting
practice providing process facilitation and organizational strategy services. In
addition to organizational strategy, the practice quickly expanded into public policy
and community strategy development and facilitation. Clients have included non-
profit agencies, governmental entities, communities, and for-profit businesses.
Strategic planning services has been provided in such diverse topics areas as
economic development, downtown redevelopment, tourism development, water
policy, land use, environmental protection, public facility sitting, race relations, public
health, health and human services, and criminal justice. Dr. Marlowe has extensive
experience working on controversial and complex public policy issues with both
policy and citizens groups. Furthermore, since the majority of his practice is in
Florida, he is conversant with effective economic development strategies in the state.
Dr. Marlowe published extensively during his academic career and he has continued
to publish scientific and professional articles. He has had articles published in
journals such as: State and Local Government Review, Evaluation Review, Public
Productivity and Management Review, the Journal of the American Water Works
Association, the Journal of Educational Psychology, the Public Manager, Journal of
Managerial Psychology, Hospital and Community Psychiatry, and the Journal of
Correctional Psychology. In addition he has edited a number of books, technical
reports and book chapters.
In addition to his consulting practice Dr. Marlowe operates a working cattle ranch
and is a member of the Florida Cattleman's Association, the Florida Farm Bureau and
the Beefmaster Breeders' Association. He is a principal in Ricelake, Inc, which is a
property development and management firm. He is a fourth generation Floridian
with family and friendship ties in many areas of the state.
43
Mary G. Gamble
Ms. Gamble is President of Competitive Performance Systems, Inc. (CPS) an
organization development firm dedicated assisting organizations plan
strategically, design how they do their work, and measure performance.
Ms. Gamble holds degrees in Social Administration and Business Administration.
Her areas of expertise include:
➢ Organizational Assessments using nationally recognized criteria for
organizational success
➢ Strategic Success PlanningTM including vision/mission development,
identification of organizational success factors, and development of strategies
to insure those success factors.
➢ Strategic Deployment Planning and Execution, including alignment of
organizational structure, systems, and processes to support strategic
direction.
➢ Work System Design including integration of work functions, cross -functional
teaming, and performance management systems.
Leadership Systems and Succession Planning among all levels of an
organization
➢ Process Management and Redesign required for the effective and efficient
delivery of products and services.
Prior to CPS, Ms. Gamble served as Vice President and Corporate Director of
Quality for Hellmuth, Obata and Kassabaum, Inc. the largest architectural design
firm in the world. In addition she has extensive experience working with
corporate organizations such as The Gillette Company and Hospital Corporation of
American.
She currently serves as Senior Judge for the Florida Sterling Award for
Organizational Performance Excellence; this panel of Judges is responsible for
selecting from among the manufacturing, service, health care, education, and
public and not for profit sectors, winners of the Florida Governor's Sterling
Award.
She has been selected by the Governor of Florida, as one of 23 Florida business
leaders to serve on the Florida Sterling Council, and charged with promoting
organizational Performance Excellence as a vision for Florida's economic future.
She continues to actively serve on that Board of Directors. In addition, she has
served as on the Malcolm Baldrige Board of Examiners, and numerous state
quality initiatives.
Since 2003-2004, when United Way of Tampa Bay developed the Strategic Plan
which called for that organization to become a Community Impact United Way, Ms.
Gamble has worked with United Way of Tampa Bay volunteer and professional
leadership and staff in that transformation process. The following is a summary list
of the types of services Ms. Gamble has provided United Way of Tampa Bay thus
far:
- Development of the Strategic and Annual Business Planning
• Strategic Deployment activities to align United Way board, staff, systems
44
and processes, including the traditional investment process, to the
Community Impact Model.
• Integration of the United Way Standards of Excellence into United Way of
Tampa Bay's systems and processes.
• Both formal and informal gathering of community information including
surveys, interviews and meetings intended to provide an understanding of
Tampa Bay community conditions and community indicators/metrics.
• Facilitation of numerous meetings to determine and develop United Way of
Tampa Bay's focus on Family Economic Well Being.
• Research on Family Economic Well Being Models.
Ms. Gamble continues to work with not for profit agencies throughout Tampa Bay
such as Big Brothers Big Sister, The Children's Home, Mac Donald Training Center,
The Spring, The Child Abuse Council, Girl Scouts, 211, and the Children's Board of
Hillsborough County. She is currently redesigning Hillsborough County School's
Choice Program based on information gained through a Community Engagement
process.
45
Appendix D
Why a strategy management system?
What is the true value of a strategy management system? A strategy management
system is not in the end about measuring every aspect of county government that
can be counted. It is not ultimately about creating process maps that detail every
work flow sequence. It is not finally about using new words or concepts to say we
are doing business differently. While it addresses measures, processes, and
communication concepts, a strategy management system is about leadership
for the public good. It is about the alignment of the needs, aspirations and values
of stakeholders so that they trust the organization and its leaders and are willing to
support leadership to address the issues that need to be addressed and create the
solutions that are needed for the future.
Once we are clear that the purpose of a strategy management system is to promote
and facilitate leadership for the public good we are halfway home. To complete the
journey, we must design and deploy a system truly focused on adding value through
leadership. This means we must avoid creating such an elaborate system that what
we wind up serving is the system instead of the public good. We cannot become so
obsessed with our method that it becomes the end instead of a tool. Time and time
again, we have seen staff create meaningless measures in response to a demand for
performance measurement. We should measure those activities or processes that tell
us if we are adding value and that can help us add greater value. If the measures
don't assist staff to determine where and how they can better contribute, then they
are the wrong measures.
A strategy management system enables three actions:
• Establishes strategic goals, priorities and direction.
• Aligns the human and fiscal resources, the organizational structure and
processes, and the performance indicators with the strategic goals.
• Produces key strategic results through a system of controls and
accountabilities.
Table 1 summarizes the high level changes that are occurring in the public sector
that are driving interest in strategic management systems. In addition to these high
level changes, there are all the local dynamics that urban Florida counties are
experiencing that creates pressures for approaches such as a strategy management
system. These include:
• Continued fiscal pressures due to unfunded mandates and state and federal
pass-throug hs;
• Growing populations with changing demographics;
• Changes in technology;
• Continued pressures for accountability;
• Municipal annexations;
• For Pinellas and Broward counties an increased role of redevelopment as raw
land availability disappears;
• Public taxation policies.
46
Table 1: The strategic context for change
Historic public sector
_ To
Future approach
Centralized planning
To
Stakeholder based adaptive and
dynamic planning
Fixed, predictable environment
To
Changing environment
Mature organization_
To
Mix of mature and new organizations
Input based management - focus
on programs
To
Outcome based management - focus
on results
Appropriated funds - cost is free
To
Market based model
Segmented information - closed
architectures
To
_
Networked information - Open
architectures
Stove piped units
To
Aligned units; public management
networks
A strategy management system that is most likely to succeed in an urban county
government setting has the following features:
• A vision, widely -shared by the community, forms the foundation of the
system. The system's purpose is well -understood and accepted internal and
external to the organization.
• The system strikes the right balance among simplicity, clarity, substance, and
professional utility.
• The governing board provides strong leadership in the development of the
vision and key strategic plan components.
• The key leadership of the organization is engaged in keeping the plan current
through periodic updates and reviews. The Strategic Management System is
more like a motion picture than a still picture.
• A straightforward method, such as balanced scorecard, for both
communicating the plan and measuring progress toward the plan's goals and
priorities.
• Systems that aligns the goals and priorities of the community and
organization with human and fiscal resources.
• The organization evaluates itself by measuring progress toward achieving
strategic goals.
• There is systematic and regular review of organizational performance and
progress by leadership.
Each of these features is discussed in greater detail in appendix a.
47
Four Key Terms
Four terms summarize the essence of our approach to strategic management
systems - "results"; "alignment"; "accountability" and "added value". Why these
four terms?
• Results. The purpose of a strategy management system is to produce results
but not just any results. Every organization every day produces results.
Those results may be of poor quality, may conflict with each other, and may
fail to satisfy stakeholders. What a strategy management system should
produce are strategic results, results that substantively contribute to the
vision, to the goals, to community and organizational priorities. Strategic
results should move the organization to a higher level of performance and the
community to a higher quality of life.
• Alignment. One of the reasons that strategic plans fail is that neither the
financial nor human resources of the organizations are aligned with the intent
of the plan. Staff continues to do what they do, budgets reflect past year
expenditures rather than strategic priorities. Other factors that contribute to
the failure of strategic plans are that neither the structure nor processes of
the organization are redesigned to better produce the desired results. As
figure 1 illustrates, there are a number of factors which must be aligned
together to produce the results of the strategic plan.
• Accountability. One key to achieving results is to align the organization as a
whole toward the results. The second key is to establish clear points of
accountability at team and individual levels. This accountability answers the
questions of whom, what and when. Without specific accountability
assignments, and systems to track accountability, the pressures of everyday
work override strategic goals.
• Added value. The true test of a result is whether it adds value. Is the product
or service of higher quality? greater affordability?; More satisfying to the
user?; than the current product or service? Added value is defined as a
dynamic that results when the organization's leadership, its stakeholder's
values and aspirations and performance are consistent and produce results
important to the community.
Aligning needs, aspirations and values is the definition of leadership by James
McGregor Burns. A strategy management system is a system for producing
leadership by aligning community goals with organizational goals. When customer
service, organizational goals and community values align, there is truly added value.
Managing Strategy for Results
Our approach to strategic management systems draws on our extensive experience
developing successful approaches and learning from practices that did not produce
the desired results. Our approach also draws on leading practices from the field that
others have found effective, specifically those practices found in other County
Governments that have successful strategy management systems while also
48
including Florida Sterling and/or Malcolm Baldrige Award Winners. These
organizations serve as our benchmarks for the design and implementation of the
strategic management systems we provide.
Figure 2 illustrates the major elements of our approach. In brief these are:
• A strategic plan. The driving force of a strategy management system is the
strategic plan. This plan should be consistent with community priorities while
addressing the long term opportunities and issues facing the county.
• An annual agenda. The key is not in the plan but how the plan is worked.
Where the time frame is annual or quarterly, specific, tangible actions should
be taken through a work plan for that year. In our approach we develop an
annual agenda with the board and executive group so that the leadership of
the organization is focused on the work to be done that year that will move
the plan forward. One way to continuously move the agenda is to organize
the board's meeting agenda to reflect the strategic plan and annual agenda.
Textbox 1 comments on this technique.
Textbox 1
Organizing the regular meeting agenda around the
strategic plan and annual agenda.
Many of our clients have re -organized their agenda
to reflect their strategic priorities. One approach is
to organize the agenda not by departments but by
strategic goals. Another approach is within each
agenda item, even if organized by department, is to
reference the strategic goal the agenda item is
addressing. A third approach is to provide a
scorecard report regularly at board meetings.
• Strategic budgeting. The fiscal resources of the organization must be
appropriately committed to the plan. This requires both dedicated or targeted
funds as well as a budget process that examines strategic priorities during the
process of building the budget each year.
• A strategically focused table of organization. If the strategic plan is to be
implemented, the organization must be structured for that end. In practice,
many strategic goals cross departmental lines and require multi -disciplinary
teams for their design and implementation. In our work with Broward County
we have distinguished between operational work (existing work which must
be done on a repetitive basis) and project work (time limited work to initiate a
strategic goal). Both types of work contribute to long term strategic goals,
49
but some strategic goals are best moved forward with dedicated project
teams. The approach to the balanced scorecard that we use incorporates both
operational and project scorecards as discussed in appendix b.
• Performance indicators. Performance indicators help us answer the question,
"What progress are we making toward the strategic goals and priorities. They
may be of two types: products and processes. Products are tangible end
results, a new economic development strategy, a new parks program, etc.
Processes are interim measures that inform us whether we are on track. Our
belief is that if we work the process, we will get the product.
• Work plans. Work plans integrate fiscal and human resources around a set of
performance indicators (with time benchmarks). An effective strategy
management system not only has work plans but also has a system for
managing various work plans in an integrated manner.
• Individual performance appraisal systems that allow each employee to have a
line of sight between their work and the results sought by the organization;
• Data bases and information systems that provide user-friendly, readily
accessible and real time when possible information about progress toward
results
These major elements do one critical thing. They produce results! Setting a specific
agenda for the year, committing fiscal and human resources to that agenda, and
having a work management system that tracks and adjusts performance is a proven
formula for generating results.
Figure 1
50
Aligning the Organization to the Strategic Plan
T1
Balanced
Scorecard
Human Resources
Fiscal Resources
Organizational Structure
�I I!
Organizational Processes
Work Plans
Performance Indicators
Strategic
Goals &
Priorities
51
Figure 2
Strategic Management System: Major Elements
Strategic
Plan
Performance
Indicators
Strategic Budget
SIC ,0,30
Annual
Agenda
Strategically
Focused T.O.
The Balanced Scorecard
Work Plan
The firm's approach to strategy management system development is built around the
use of the balanced scorecard as the organizing framework. Appendix b discusses
our approach to balanced scorecard in greater detail. We approach the development
of a balanced scorecard as a series of value adding questions as shown in figure 3.
This approach is based on our belief and experience that when an organization is
focused on adding value for its stakeholders and customers, it will produce results
that do truly add value. To do show requires that we answer questions of value
addition at every step in the process.
52
Figure 3
An added value approach
to the balanced scorecard
Action Plan
Strategy
Vision
Values
Mission
-o
a) co
u
c
al L.
o
m
w,
How we will add value?
Pathway to added value
1
Value we seek to add
Guiding principles for adding value
Value we are purposed to add
53
A cyclical strategy management system
Our approach to a strategy management system, Managing Strategy for Results,
develops a system that operates in three major phases, as shown in figure 4, which
are iterative and overlapping. The first phase is strategic thinking; envisioning the
future with its opportunities and challenges. The second is Integrated Planning;
selecting the pathways most likely to achieve the desired results and planning how to
effectively pursue those paths. The third is strategy deployment; working and
adjusting the plan to achieve results.
Figure 4
Major Phases of Strategy Management System
Strategic
Thinking
Deployment
Integrated
Planning
54
pc! vai 111011%-c 11IcaJUI CI1ICI IL w 1110 JLI CL I UIICLLIUI 1 di IU sudley. IC results are
produced. To create a truly effective strategy management system we must focus
on results, alignment, accountability and added value. The system continuously
moves from thinking (analysis and synthesis) to planning to action to rethinking
based on results. Most importantly, it is a system which fosters enhances leadership
by aligning the needs, values and aspirations of stakeholders to the results produced
by the organization.
Types of Competencies Needed
for Strategy Management Design and Deployment
The
Competency
Cube
Expertise in Strategy
AAanaciement
(605
55
Appendix E: Balanced Strategy: A Public Capital Building Approach to Strategic
Planning
Introduction
The purpose of a strategic plan is to develop strategies that will increase the
company's assets or capital while minimizing its liabilities or weaknesses. In the
private sector assets and liabilities are most frequently measured in financial
terms and strategic thinking seeks some form of competitive advantage.
In the public sector financial sustainability is obviously significant. However
there are other forms of capital that are also significant and should be addressed.
In the Balanced Strategy approach four forms of public capital are addressed. A
public sector strategic plan should address each type of capital if it is have optimal
impact. These four forms of capital are described below.
Four Types of Public Capital
Social Capital
Social capital addressed the relationships in a community and the level of trust
that exists among its members. Research studies have shown that communities
with low levels of social capital fare less well in terms of economic vitality and
quality of life issues.
In the public sector social capital is strengthened through a number of activities.
Civic and recreational services, health and human services, boards and
commissions, and community events all serve to bring people together, to let
people engage in shared tasks, to develop skills in working together for shared
ends.
Environmental Capital
Environmental capital addresses both the built and natural environment. A
community's quality of life and economic vitality is highly dependent upon both.
The built environment consists of physical objects such public facilities,
infrastructure and housing. But it also consists of a legal and regulatory
infrastructure such as land use regulations, zoning codes, architectural standards,
master, comprehensive and redevelopment plans and enforcement activities.
The natural environment obviously consists of preservation areas, parks, open
space, green space, water supply as well as regulatory functions such as air and
water quality regulations. The quality of the environment, both built and natural
have significant impact on resident's quality of life as well as on the economic
opportunities of the community.
56
Financial Capital
Obviously a strategic plan cannot succeed if the financial resources are not
available to make the needed investments. Financial viability is just as
significant for a public entity as it is for a private entity. The difference
obviously is in how that economic viability is obtained. A strategic plan for the
public sector should address strategies for growing the tax base while fostering
other forms of economic development. Other strategies for revenue generation
such as bonding (and maintaining bond ratings), grant seeking, and partnerships
should be considered.
In addition to revenue generation, expenditure control is the other path to
financial stability. Ongoing efforts to control costs are of equal importance.
Since the major operational costs of the public sector involve personnel, costs for
pensions, insurance and annual salaries and benefits are some areas to address.
The other major cost monitoring strategy is ensuring the costs of maintaining
capital projects are not overlooked.
Human and Intellectual capital
Finally, human and intellectual capital should not be overlooked. There are
enormous hidden costs associated with staff errors or low quality work and
significant costs associated with staff turnover. Improving quality, reducing re-
work; reducing turnover, fostering creative thinking are all ways to enhance
performance.
We should also recognize that the development of human and intellectual capital
is not restricted to staff As volunteers become more knowledgeable, as the
community is more informed, as more ideas are generated and considered, the
quality of work and community life improve.
A public sector organization builds human and intellectual capital through
activities such as staff development; public information and education efforts,
participation on boards and commissions, public participation events, health and
human service activities, arts and culture programs and recreational activities.
Summary
The Balanced Strategy approach to strategic planning examines strategies in all
four of these areas in the belief they are interdependent. As interdependent forms
of capital, failure to address one area creates weaknesses in the strategies for the
other areas. By addressing all four forms of capital, the linkages, overlaps and
opportunities for synergy are enhanced.
57
Appendix F:
Communicating direction, distinctive added -value,
culture and boundaries: Compelling vision
statements, Actionable mission statements and
Guiding value statements
Draft 1.0
May 15, 2008
Working Paper
Herbert A. Marlowe, Jr.
The purpose of this guide is to assist you in developing effective vision, mission
and value statements. Almost all organizations have such statements, but most
are of little practical value and rarely justify the time and effort spent in
developing them. It is our belief that there can be real value in such statements
and they form the basis for ongoing strategy management. All organizations
want committed employees who are genuinely striving to do the best for the
customer. All organizations want strong and enduring customer relationships
that are mutually beneficial. All organizations want to sustain themselves and
thrive in the future. All organizations want to develop and maintain a good
reputation with the customers, employees, stockholders, stakeholders, etc.
Achieving these wants begins with vision statements that are compelling,
mission statements that are actionable and values statements that guide actions
and decisions.
This guide is divided into the following sections:
Section 1: The purpose of vision, mission and value statements. This section
serves to clarify the various purposes and uses of these statements.
Section 2: Characteristics of compelling vision statements, actionable mission
statements and guiding values statements. This table delineates the elements of
these various statements.
Section 3: Features of a Compelling Vision Statement. This narrative discusses
the various features of a compelling vision statement.
58
Section 4: Features of an Actionable Mission Statement. This narrative discusses
the various features of an actionable mission statement.
Section 5: Features of a Guiding Values Statement. This narrative discusses the
various features of a guiding values statement.
Section 6: Questions which generate key mission, vision and values points. This
table lists some questions that can be used to generate the information needed to
develop these statements.
Section 7: Mission statement examples. This section provides some examples of
mission statements.
59
Section 1: The purpose of vision, mission and value statements. This
section serves to clarify the various purposes and uses of these
statements.
Section 1: Purpose of Vision, Mission and Core Values Statements
This table details the multiple purposes of vision, mission and values
statements.
Purpose of the
vision statement
Purpose of the mission
statement
Purpose of the values
statement
Communicate a
desired future
state.
Communicate the
end result of an
organization's
effort.
Drive a strategic
plan;
organizational
change effort.
Communicate the
ideal toward
which the
organization is
striving.
Communicate what the
organization will do to
achieve the vision.
Communicate the value-
added products and
services the organization
will provide for their
customers.
Provide a basis for
decisions about whether
current or future work is
a "fit" with the
organization.
Communicate what
distinguishes the
organization from those
in a similar business.
Communicate significant
behaviors and attitudes that
should be exemplified during
the process of achieving the
vision.
Communicate the boundaries
within which the daily work
of the organization will occur.
Provide a basis for
identifying behaviors which
fall outside the expected or
accepted.
Communicate the culture
which will characterize the
organization as it achieves the
vision.
Create a distinctive and
shared identity.
Provide a basis for decisions
about relationships within
and without the company.
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Section 2: Characteristics of compelling vision statements, actionable
mission statements and guiding values statements.
This table delineates the elements of these various statements.
Section 2: Characteristics of Compelling vision statements, actionable mission
statements and guiding values statements
A compelling vision
statement should
Be exciting
Create "pull"
Be challenging
Inspire
Motivate
Be memorable
Have high communication value, i.e. create a strong
image
Communicate a worthwhile legacy
Communicate a sense of that one is part of
something greater
An actionable mission
statement should:
Communicate what it is we will do
Communicate why we are doing what we do
Communicate how we will do it differently
Communicate who we are doing it for
Communicate the results of doing it
A guiding values
statement should
Be believable
Identify desired behavior
Communicate undesirable behavior
Communicate what is truly important to the
company
Communicate the reputation the company wants to
build
Communicate the culture the company wants to
build
Provide a standard against which organizational
behavior can be judged
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Section 3: Features of a Compelling Vision Statement
• It should excite and challenge. A compelling vision statement should
communicate a future that people want to help create and that will call
forth from them their best work. It should create the "pull" that brings
people to the table. The vision itself should inspire and tap into the
internal motivations of those who must contribute to it.
• It should be memorable. A compelling vision statement should
communicate a strong image of the future. While the details will be
developed during the process, the vision statement should communicate a
shared image which is "big picture" clear.
• It should be worthwhile. Achieving a vision requires significant
contribution and effort from all parties. It must be worth this effort.
There must be enough "payoff" in the end to justify the work that will be
required. This "payoff" may be a legacy, the intrinsic rewards of
contributing to something greater than oneself and/or the growth that
comes from achieving a challenging goal.
Section 4: Features of an Actionable Mission Statement.
• It should be useful. It actually helps in making decisions, guiding
organizational actions. Some of the following features describe the potential
"usefulness" of an actionable mission statement.
• It should foster focus and boundaries. A useful mission statement is one
which helps you determine whether to say "yes or no" to new opportunities.
It should provide a standard against which to judge the activities of the
organization. Does this program, project, strategy, etc keep us "on mission"
or does it not? A useful mission statement helps the organization make
consistent decisions.
• A useful mission statement should identify your core business or
competency. For example, if the mission statement of the railroads had been
"we transport people and goods efficiently and effectively" they might have
responded to trucking and air transport differently than they did. A useful
mission statement helps you see opportunity. When you put the means in a
mission statement, you limit yourself. If for example, we change the above
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mission statement to "we transport people and goods efficiently and
effectively by rail" we will limit our view of business opportunity.
• It should foster identity. A useful mission statement lets everyone know who
you are and how you differ from the rest of the world.
• It should be meaningful enough to be memorable. This means it cannot be
unduly long as any organizational member, board or employee, should be
able to state it when asked. When the target audience is larger than these
groups, then tag lines consistent with the mission should be short and
memorable enough that the target audience "gets it"
• It should meet our human need for purpose. It should communicate why we
do what we do. It should help members see that we are working for
something larger than ourselves and a paycheck.
• It should communicate the targets or objects of the mission. To whom is this
mission directed? If there are multiple targets (customers, employees, visitors,
businesses, residents, etc), these should be specified.
• It should be enduring. Board members come and go as do staff. Strategies
shift as do specific goals and objectives. But the mission statement should be
such a fundamental statement of what the organization is about that
changing it substantively truly reflects a significant organizational
redirection.
Section 5: Features of a Guiding Values Statement.
• It must be believable. If the values statement is so contradictory to actual
values in practice that employees smirk when they read it, then it will not
work as a values statement. If this is the case, and the leadership believes
these values need to be instilled, then a substantive values and culture change
intervention should occur.
• It should communicate high level behavioral boundaries. It should help
employees and other associates understand the desired behaviors at a high
level and by definition what behaviors are not desired. Using the word
"integrity" as an example it communicates that the organization wants to act
in an honest and trustworthy manner. Therefore it doesn't want to lie and
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cheat. That is the principle which must be applied over and over again. It is
the standard against which specific actions or behaviors will be judged.
• It should communicate how the company wishes to be and be seen as. It is in
acting out the values that the reputation of the firm is built. The values
statement answers the question, "What reputation do we want to have?"
• It should communicate the culture the organization is seeking to keep or
build. The organization's culture is it values and norms in practice. The
culture is an actual representation of what is valued, rewarded, encouraged.
The culture guides acceptable and unacceptable behaviors.
Section 6: Questions which generate key mission, vision and values
points.
This table lists some questions that can be used to generate the information
needed to develop these statements.
Questions to help develop vision, mission and value statements
These questions, used singly or in combination, are designed to assist a group to
think through the concepts, ideas and words that are important to them. The
answers supply the raw data from which vision, mission and value statements
can be crafted.
Vision Statement
Mission statement
Values statements
What do we want to be
recognized for?
Why do we exist?
What is important to us?
What position do we
want to hold in our field?
What is our function?
Based on our behaviors,
what are our values? Are
those the values we want
to emphasize in the
future?
What opportunities do
we want to seize?
What is our purpose?
How do we want people
to treat each other in the
organization?
How do we want to
distinguish ourselves?
What do we do
differently than others in
our business?
How do we want to treat
our customers and
stakeholders?
What will be different as
What is the value we
What kind of
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a result of this effort?
want to add to the
products and services we
produce that others also
produce?
organizational culture do
we want?
If we continue on our
current course, where
will we be in ... years?
Do we want that?
What do others think we
contribute?
What reputation do we
want?
What is energizing?
What possibility excites
you?
What are we known for?
What do others think we
could contribute that we
aren't contributing
today?
How do we differ from
our competitors? From
those who provide
similar services and
products?
What could we
contribute that we aren't
contributing today?
What is the one thing we
must never take our eye
off of?
What would we like to be
known for?
How do we want to
differ from our
competitors?
How must we
fundamentally change
our business?
What we did in the past
that worked that we
aren't doing today?
What legacy do we want
to leave?
Why do we exist?
What are we passionate
about?
What do we want to
become when we grow
up?
What is our purpose?
What behaviors do we
encourage in our policies
and procedures?
What are our dreams and
hopes for the future?
Who are we and for what
are we known?
For us, success is?
What are our dreams and
What are we trying to
What do our priorities
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hopes for this
organization?
accomplish?
tell us about what we
value?
What are our highest
aspirations for this
company?
How do our customers
see us? What are we
doing for them?
What do our allocation of
resources
(time/people/dollars) tell
us about what is really
important to us?
How will we be unique
and different in ... years?
What is the one thing we
must never take our eyes
off of?
What do vendors say our
values are?
What are the
opportunities we must
seize?
What is our special
calling?
What do customers say
our values are?
How must we
fundamentally change
how we do business?
At the core of what we
do, what business are we
really in?
What makes employees
most proud/most
embarrassed to work
here?
What could really excite
and turn on our
workforce?
How are we different
from our competitors?
The real trophy for us
would be?
Section 7: Mission statement examples.
This section provides some examples of mission statements.
Company
Mission Statement
Advest
We are committed to helping people build wealth, primarily
toward retirement, through the highest quality, most
committed professionals in the industry
Anheuser-Busch
The mission of Anheuser-Busch is to:
Be the world's best beer company
Enrich and entertain a global audience
Deliver superior returns to our shareholders
Blockbuster
To be the global leader in rentable home entertainment by
providing outstanding service, selection, convenience and
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value
Cray Research
Cray Research provides the leading supercomputing tools
and services to help our customer's most challenging
problems.
CUNA Mutual
Creating financial security
Starship
Enterprise
Its five year mission: To explore strange new worlds, to seek
out new life and new civilizations, to boldly go where no
man has gone before.
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