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HomeMy WebLinkAboutContract 33884 CITY SECRETARY CONTRACT NO. ReportLine Hotline Services Program Agreement & Terms This Agreement for Program Services (the "Agreement"), dated ", j,QL is between The Network, Inc. ("Provider'), located at 333 Research 'Court, Norcross, GA 30092, and City of Fort Worth ("Client"), located at 1000 Throckmorton St, Fort Worth, TX 76102, collectively referred to as the "parties." A. Services The parties agree that Provider will provide Hotline Program Services (the "Services") for Client pursuant to the terms of the description of services and fees shown herein, and the Proposal for the City of Fort Worth dated March 16, 2006, which is attached hereto as Exhibit "A," and incorporated for all purposes incident to this Agreement. To the extent the Proposal conflicts with this Agreement, this Agreement shall control. B. Use of Hotline ReportLine is intended to be offered only as an option for employees, former employees and other program participants to report any illegal and unethical activity that causes loss or harm to an organization, its employees or customers. It is intended to be positioned as an option for reporting these incidents to an independent third party, should an individual feel uncomfortable with reporting to those within the organization. Consequently, in order to maintain the quality of service, Client cannot describe or use ReportLine for other purposes. It is the Client's responsibility to enforce this policy throughout the organization. Should the Client violate this policy, Provider shall provide the Client with written notice specifically identifying the violation. The Client shall have thirty (30) days from the date the Client receives notice of such violation to cure the violation. If Client fails to cure the violation within the cure period, The Network retains the right to re- structure service fees or terminate service. C. Effective Date and Term This Agreement shall be effective on the last date executed by the parties ("effective date") and remain in effect for a period of three (3) years from the effective date. Client shall have the option to renew this agreement for two consecutive one year periods. In the event Client wishes to renew, Client shall provide The Network with written notice of such intent to renew. Unless terminated earlier in accordance with this agreement, if Client fails to notify Provider of intent to renew, and or fails to pay any renewal fees, this agreement shall automatically terminate. D. Cancellation This Agreement may be canceled by either party (a) in the event of a "Default" after the expiration of notice and cure periods; or (b) by either party without cause upon forty-five (45) days' advance notice to the other party. Following such expiration or cancellation, Client will immediately return to Provider or destroy all materials in its possession, custody or control, which promote or describe the Services. `J► v E. Confidential Information �, �, Vill r ReportLine Program Page 1 City of Fort Worth _ )6 r 13 V July,2006 To the extent permitted by law, each party will maintain the confidentiality of "Proprietary Information" except as necessary to carry out the purposes of this Agreement. "Proprietary Information" means any information (a) identifying a hotline caller or the subject of his/her call; (b) contained in a Client-provided database used in processing calls; (c) Provider's toll-free number; (d) related to the Services which is not otherwise available to the public, or (e) identified as confidential by Provider or Client. Nothwithstanding the foregoing, Proprietary / Confidential information shall not include (i) information that is already known to the Receiving Party prior to disclosure by the Disclosing Party; (ii) becomes publicly available without fault of the Receiving Party; (iii) is rightfully obtained by the Receiving Party from a third party without restriction as to disclosure; (iv) is approved for release by written authorization of the Disclosing Party; (v) is developed independently by the Receiving Party without use of or access to the Disclosing Party's Confidential Information; or (vi) is required to be disclosed by law or governmental regulation, provided that the Receiving Party provides reasonable notice to Disclosing Party of such required disclosure and reasonably cooperates with the Disclosing Party in limiting such disclosure. F. Intellectual Property Each party mutually reserves, and agrees to recognize, respect and preserve any and all intellectual property rights the other party has or may be entitled to claim in any Created Works. "Created Works" are defined as all works in any medium which are authored, co-authored, developed, refined, completed, obtained, owned or possessed by the party, including all copyrights, trademarks, service marks, and patents which apply thereto, and any derivative work based thereon, except for any existing rights in works provided to one party by the other. Provider shall receive Client's written consent to utilize any Client-copyrighted material, including Client's logo, for advertising or publicity purposes. G. Data Retention Policy All Incident Report data is retained for a period of 12 months from the original date of the Incident Report. Case Management module data is retained for thirty-six (36) months from the original date of the Incident Report. With the exception of selected data, after this period all Incident Report data is purged. Selected Incident Report data is then archived for billing and statistical reporting purposes including: Report Number, Date of Report, Type of Call, City of Fort Worth, City, State, Zip Code, Client ID Number, Incident Code, and Date(s) of Callback(s). Once report data has been archived, it cannot be restored to its original form. H. Default Any of the following will constitute a "Default" under this Agreement: a. A breach of a material covenant of this Agreement which continues without cure for a thirty (30) day period after either party's receipt of written notice thereof; or b. The filing of a petition for bankruptcy by a party, the insolvency of a party, or the filing of an involuntary petition for bankruptcy against a party shall entitle the other party, upon twenty-four (24) hours written notice, to terminate this Agreement; or ReportLine Program Page 2 City of Fort Worth July,2006 c. Client's failure to perform its payment obligation. d. The parties agree that damages for breach of this Agreement will be limited to the actual damages incurred as a result of the breach or the negligence, omission(s), or intentional misconduct of the breaching party. Neither party will be liable for any special, punitive, incidental or consequential damages arising out of or related to any breach of this Agreement. I. Indemnity Provider will indemnify and hold harmless the Client from and against any and all claims, damages, demands, actions, losses, costs and expenses, including attorney's fees reasonably and actually incurred ("Claims") arising out of or related to the performance or non-performance by the Provider (except for Claims caused by the negligence or willful misconduct of the Client), or the Provider's material breach of its obligations under this Agreement. J. Disclaimer Provider will perform its duties and obligations in accordance with industry standards; however, Provider will not be liable for the mistakes or errors in the performance of the Services unless they are caused by the negligence or willful misconduct of Provider. Provider will not be responsible for the verification or review of the accuracy, relevance, or legality of information contained in reports of hotline calls provided to Client and Client waives any claim related thereto. K. Notice Any notice required or allowed under this Agreement will be effective when received in writing at the following address. Designated location for notice: The Network Inc. 333 Research Court Norcross, GA 30092 Attn: Mr. Jim Ganley City of Fort Worth 1000 Throckmorton Street Fort Worth, TX 76102 Attn: Charles Boswell, City Manager L. Payments Budget is valid for 90 days from date of proposal. Payments are due net 30 upon receipt of invoices. Total Budget will be invoiced upon proposal acceptance. The Annual Renewal Package Fee, including hotline service and Education & Awareness materials, will be invoiced annually 60 days prior to the renewal date. Education & Awareness Materials' shipping and handling fees will be invoiced upon delivery to client. M. Collection and Disputes ReportLine Program Page 3 City of Fort Worth July,2006 Client agrees to pay Provider according to the terms on the invoices. Amounts not paid within thirty (30) days after the date of invoice shall be considered past due. On past due accounts, Client agrees to pay a finance charge on any unpaid balance in the amount of 1.0% per month. N. Miscellaneous This agreement shall be governed by the laws of the state of Texas. A specific waiver by either party of any of the terms and conditions of this Agreement shall not constitute a waiver of the same or other provisions of the Agreement at any time in the future. Any approvals required by either party to this Agreement shall not be unreasonably withheld. Neither party shall be responsible for any damage or delay which is caused by an Act of God, government regulation, natural disaster, fire, flood, war, or civil disorder which is beyond the control of either of the parties to this Agreement, and which makes it illegal or impossible to perform the Agreement or any of its terms. It is expressly understood and agreed that Provider shall operate as an independent contractor as to all rights and privileges granted herein, and not as agent, representative or employee of the Client. Subject to and in accordance with the conditions and provisions of this Agreement, Provider shall have the exclusive right to control the details of its operations and activities and be solely responsible for the acts and omissions of its officers, agents, servants, employees, contractors and subcontractors. Provider acknowledges that the doctrine of respondeat superior shall not apply as between the Client, its officers, agents, servants and employees, and Provider, its officers, agents, employees, servants, contractors and subcontractors. Provider further agrees that nothing herein shall be construed as the creation of a partnership or joint enterprise between Client and Provider. If any provision of this Agreement is held to be invalid, illegal or unenforceable, the validity, legality and enforceability of the remaining provisions shall not in any way be affected or impaired. Provider agrees that the Client shall, until the expiration of three (3) years after final payment under this contract, have access to and the right to examine at reasonable times any directly pertinent books, documents, papers and records of the Provider involving transactions relating to this Contract. Provider agrees that the Client shall have access during normal working hours to all necessary Provider facilities and shall be provided adequate and appropriate work space in order to conduct audits in compliance with the provisions of this section. The Client shall give Provider reasonable advance notice of intended audits. O. Terms The following is important information either provided by Client or assumed by Provider in order to develop a budget and prepare for efficient implementation ReportLine Program Page 4 City of Fort Worth July,2006 of the proposed service. Any and all revisions, additions or deletions to these terms may result in a revised budget and/or implementation timeline. Schedule of Deliverables: Once Provider has received a signed Agreement for the Services and all information to be supplied by Client, the Service will be implemented within a two-to four-week time period. All other services will be provided in accordance with the Program Timeline, which will be agreed upon by the parties, and attached hereto and incorporated into this Agreement as ExhibitB. In order to receive incident and monthly summary reports in PDF format, Client must have access to, or gain access to, Adobe Acrobat Reader software prior to program set-up. Provider can provide Client assistance in gaining access to Adobe Acrobat Reader software if necessary. Additional Terms: The Network agrees to block all caller id/phone numbers that come into our call center and will provide a live link from the City of Fort Worth home page to The Network website for web-reporting. [Signature page follows] :AFF 'I A.At nE(C'0 D' i; � Uo Y.,✓,j11iJj a..u. ReportLine Program Page 5 City of Fort Worth July,2006 CITY OF FORT WORTH BY: Assistant City Manager DATE: 7 5 9 APPROVED AS TO FORM AND LEGALITY: ATTEST: Assistant Cit Attorney City Secretary M&C: C-21569 Date Approved: 7/ 8/06 t,\ THE N RK I C. BY: TITLE: Y&V DATE: �Va' ATTEST: [Name] [Title] J'% c;a u. l�ilJ�u FYI r ReportLine Program Page 6 City of Fort Worth July,2006 EXHIBIT "A" ' ly PROPOSAL FOR CITY OF FORT WORTH FORTWORTH oll,IFFIc1AkI '"l cup'D Table of Contents ReportLine Proposal I. City of Fort Worth Proposal Summary .................................................................4 ll. ReportLine Program Overview.............................................................................. 5 III. Government Association Participation ................................................................ 6 IV. Association of Certified Fraud Examiners...........................................................6 V. The ReportLine Advantage....................................................................................7 VI. Implementation ...................................................................................................... 8 VII. ReportLine Specifications..................................................................................... 9 A. Telephonic Reporting: In-Depth Interview.............................................9 1. Accessing the Hotline.............................................................................9 2. Translation Services...............................................................................9 3. Greeting .................................................................................................9 4. Organization/Location/Employee Information ........................................9 5. Caller Briefing ......................................................................................10 6. Caller Identification Information............................................................10 7. Incident Documentation .......................................................................10 8. Incident Coding ....................................................................................11 9. Technology Assisted Interview.............................................................12 10. Automated Interview Analysis .........................................................12 11. Real-Time Quality Assurance..........................................................12 12. Next Step Instructions/Closing Statement.......................................12 13. The Incident Report.........................................................................13 14. Quality Assurance ...........................................................................13 B. Web Reporting System.......................................................................13 C. Rapid Dissemination and Follow Up...................................................14 1. Standard Incident Report Dissemination..............................................14 2. Escalation ............................................................................................14 3. Callback Process .................................................................................16 D. Case Management .............................................................................16 E. Direct Access to the Link2 System .....................................................18 1. Accessing the System......................................... ....18 ............................. 2. User Training .......................................................................................18 F. Comprehensive Summary Reports.....................................................19 1. Online Access................................................................... 2. Summary Reports............................................................ r.l'w;a.: 8w� v ReportLine Program Page 2 City of Fort Worth March 16,2006 VIII.Education &Awareness Overview...................................................................... 20 Step 1: Implementation ............................................................................20 Step 2: Ongoing Communication..............................................................20 IX. ReportLine Program Budget............................................................................... 21 X. ReportLine Program Agreement& Terms.......................................................... 22 XI. ReportLine Program Timeline............................................................................. 26 ReportLine Program Page 3 City of Fort Worth March 16,2006 I. City of Fort Worth Proposal Summary City of Fort Worth Situation City of Fort Worth is taking a proactive approach and looking for better ways to manage your City's ethics and Human Resource issues. Beyond these concerns, City of Fort Worth also has highly specialized reporting needs, such as a reliable method for learning about fraud, waste, and abuse. Objectives ■ Reduce losses from illegal or unethical activities ■ Protect the anonymity of whistleblowers ■ Promote ethical practices The Network's Recommendation The Network is pleased to offer the following recommendations to City of Fort Worth, which we believe will offer a robust hotline program that will achieve all of the objectives listed above. ■ Offer employees, contractors, and the general public an anonymous hotline for reporting all allegations of illegal and unethical activities. ■ Implement a communications campaign that educates participants about unacceptable behavior and promotes the hotline as a tool for reporting inappropriate activities. The Network will develop educational materials for each employee as well as awareness materials for each of City of Fort Worth's locations. ■ Monitor follow-up activities using the Link2 system's Case Management tool, which enables Case Managers and Investigators to document steps taken to investigate and resolve issues that have been reported. 0ITFI(,1i<`k,I !r`SUoil?V CITY 3EE iEla 21 ReportLine Program Page 4 City of Fort Worth March 16,2006 II. ReportLine Program Overview Technology Assisted In-Depth Interview ■ Callers access the hotline 24-hours a day. ■ A highly trained Interview Specialist conducts a thorough, 50-point interview, documenting all the details in an Incident Report. • During the interview, the Link2 system suggests questions and provides guidance based on the type of issue being reported; making each interview unique and ensuring the completeness of the information you receive. ■ The Link2 system performs real-time quality assurance checks to ensure the Incident Report is accurate and complete while the caller is still available to clarify any inconsistencies. Rapid Dissemination and Follow Up ■ Incident Reports are automatically sent to your designated contacts within minutes. ■ If an Incident Report requires immediate attention, our Escalation Team immediately calls your designated emergency contacts to relay information. ■ Our callback process allows you to ask new questions of anonymous callers. Comprehensive Reporting ■ The Incident Report is organized to help you quickly assess the incident. ■ Monthly management reports help you analyze hotline activity, recognize trends, and identify "hot spots." • Case Management reporting tools to help you analyze information in real- time. End-to-End Case Management ■ You can manage the entire complaint response process using a convenient, centralized system. ■ Automated activity log provides compliance documentation. • Real-time management reports and ad-hoc data analysis tools help you monitor trends facing your organization. Communications Support ■ The Network's experienced team will help you develop and implement an effective employee communications campaign. ReportLine Program Page 5 City of Fort Worth March 16,2006 III. Government Association Participation The Network is a proud and active corporate member of many associations dedicated to professional accounting, auditing, and fraud-prevention. We share our expertise and best practices through articles, seminars, and white papers. Our memberships include: ■ Association of Inspectors General (AIG) ■ Association of Government Accountants (AGA) ■ National Association of Local Government Auditors (NALGA) Federal agencies can purchase The Network's services via GSA contract# GS- 02F-0220R. Approved services include hotlines, case management, employee communications and critical incident reporting. IV. Association of Certified Fraud Examiners The Network's ReportLine hotline service also powers EthicsLine, the official hotline of the Association of Certified Fraud Examiners (ACFE). The ACFE is the largest anti-fraud organization in the world. The ACFE operated EthicsLine until 2001, when they decided to outsource operations to an organization that could provide consistent service excellence 24 hours a day in the major languages of the world. Based on a review of hotline providers, the ACFE chose The Network to provide EthicsLine service. The Network was selected because of the extremely high quality of information provided by the interview process. The combination of real-time quality control during the interview and stringent hiring and training processes help The Network ensure an interview with an anonymous tipster yields sufficient information to investigate the allegation. vI Fifli,I KEW H; ReportLine Program Page 6 City of Fort Worth March 16, 2006 V. The ReportLine Advantage ReportLine is a powerful, 24/7 hotline service that features a unique interview process that delivers consistently high-quality information. Our experienced, well- trained Interview Specialists utilize The Network's award-winning Link2 system to conduct detailed interviews and generate actionable Incident Reports. Experience _r;0- 0 " r The Network is the leading provider of hotlines to complex organizations. With nearly 25 years of `R` f experience as a hotline provider, we understand - your needs. Real-Time Quality Assurance ;. Our unique interview process leverages the strengths of people and technology to gather the most actionable information possible from every call. Professional Services .- - The Network's technologically advanced call center, s staffed by experienced and well-trained Interview 10 Specialists, offers consistently efficient and professional response 24 hours a day. Our data and system security guarantees your information always remains safe and confidential. rw 'z}r Comprehensive Support = The ReportLine service is supported by a secure online case management system and complete employee communications campaigns. ReportLine's combination of tools ensures the program meets your needs and delivers results. ReportLine Program Page 7 City of Fort Worth March 16,2006 VI. Implementation Comprehensive Planning Developing a best-in-class solution begins prior to implementation, when The Network's Account Management team works with you to define your needs and develop a program that will accomplish your goals. This period of planning includes defining the specifics of the hotline service as well as reviewing your communications plan for introducing the hotline, maintaining awareness of the hotline and measuring the impact of the program. Your account team will work with you to share best practices from our 20 years of experience and make recommendations to maximize the benefit you receive from your program. Hotline Service Planning Your Account Management team will meet with you to plan the implementation of your hotline program including: ■ Organization Messaging ■ Audience for the hotline including groups like employees and vendors ■ General and conditional questions you would like included in the interview ■ Link2 direct access and Case Management training ■ Any documentation services you require to support your compliance efforts, such as documenting receipt of your Code of Conduct Employee Education As part of the planning process, your Account Management team will work with you to evaluate your communications needs. Whether you're using our materials or not, we want to ensure that employees understand your behavioral expectations, know how to use the hotline, and review awareness of the program long after the initial implementation. The team will engage mPower Communications, our in-house agency, as needed to ensure that the messaging fits the look and feel of your program. We can help you choose the message and media including: ■ Posters, wallet cards, signs and other printed collateral ■ Web pages • Video training • Mailings to employees homes ■ Documentation servicesU ReportLine Program Page 8 City of Fort Worth March 16, 2006 VII. ReportLine Specifications A. Telephonic Reporting: In-Depth Interview Utilizing our advanced, Link2 system, a highly trained, experienced Interview Specialist conducts a thorough interview documenting information in an organized, actionable Incident Report. 1. Accessing the Hotline ■ Your employees call City of Fort Worth's custom toll-free number with access throughout the 50 United States, Canada, Puerto Rico and the U.S. Virgin Islands. ■ Your customers, contractors and/or other constituencies utilize the same phone number listed above. 2. Translation Services ■ English and Spanish speaking Interview Specialists are always available at The Network. In order to offer comparable services to all your hotline callers, Interview Specialists utilize translators to enable them to conduct live interviews in more than 150 languages, 24 hours a day. 3. Greeting a. Callers immediately receive a pre-recorded greeting: "Thank you for calling. For English, please press 1 now."(Recorded in English.) "For Spanish, please press 2 now."(Recorded in Spanish.) "The Network's Ethics & Compliance Hotline is a confidential, third- party option for reporting illegal and unethical activities. We cannot provide advice or offer opinions on workplace issues. Please remain on the line. All calls are answered in the order they are received." Calls are automatically routed to the best Interview Specialist with the necessary skills to take the call. b. Callers are greeted in the following manner: "Thank you for calling the Ethics & Compliance Hotline. This is [Interview Specialist's name]. Are you calling regarding a previous report or do you wish to file a new report?" 4. Organization/Location/Employee Information ■ At the outset of each call, the Interview Specialist documents the caller's City of Fort Worth and detailed location information by referencing a location database provided in The Network's standard format (Excel or ASCII) by City of Fort Worth. • Next, the Interview Specialist checks for any special instructions in the Notes section of the greeting prior to taking a report. This aspect of our ReportLine Program Page 9 City of Fort Worth March 16,2006 interview process enables you to tailor the call flow to meet any special needs you may have or refer issues back to the organization. 5. Caller Briefing ■ The Interview Specialist explains to the caller what to expect during the call: "Before we begin, I want you to know that I am going to ask you a series of questions to help me understand your concern. For instance, 171 need to know who was involved, what occurred and when it happened. This interview can take 10-15 minutes or more. Let's get started." 6. Caller Identification Information a. The Interview Specialist then attempts to identify the caller: "May I have your first name or do you wish to remain anonymous?" b. If the caller chooses to identify him/herself, the following information is collected: ■ Caller's first and last names ■ Caller's relationship to employer (i.e., vendor, employee, etc.) ■ Caller's title ■ Best time to contact the caller ■ Caller's phone number ■ Caller's email address c. The Interview Specialist asks all callers how they learned about the hotline as a measure of communications effectiveness. 7. Incident Documentation a. The Link2 system allows the Interview Specialist to focus on understanding the caller's concern, while keeping the interview and documentation of details on track. For instance, the Link2 system ensures that all parties mentioned in the call are clearly identified and their roles in the incident are understandable. Among the information captured: • Identification of persons involved and their title(s) ■ When the issue occurred • Where the issue occurred ■ Details of how the issue occurred ■ How long it has been occurring • How often it has been occurring ■ How caller knows about this ■ If there is documentation that would help the organization's investigation ReportLine Program Page 10 City of Fort Worth March 16,2006 ■ Others who have knowledge of the issue ■ If a supervisor has already been notified of the issue ■ What steps, if any, have already been taken to address the issue b. Interview Specialists may also add observations to the report for your consideration. This information is not part of the narrative provided by the caller, but it may describe the caller's demeanor and provide valuable insight. For example: "caller was uncooperative, caller's speech was slurred, caller was very angry." 8. Incident Coding As part of the incident documentation, the Interview Specialist assigns an Incident Code based on the primary issue reported by the caller. To ensure accurate and consistent use of Incident Codes, the Link2 system displays a definition and examples for each of the codes. Interview Specialists also receive extensive training on proper application of Incident Codes. ReportLine's 24 standard Incident Codes are based on The Network's 20 plus years of experience working with anonymous hotlines: ■ Accounting/Audit Irregularities ■ Conflicts of Interest ■ Customer Relations ■ Discrimination • Employee Relations ■ Falsification of Organization Records • Fraud • Fraudulent Insurance Claims ■ Improper Loans to Executives • Insider Trading • Kickbacks ■ Policy Issues ■ Product Quality Concern ■ Release of Proprietary Information • Retaliation against Whistleblowers • Safety Issues and Sanitation ■ Sexual Harassment ■ Substance Abuse ■ Theft of Cash ��'� Iglu �R�1 HA11 PV • Theft of Goods/Services ReportLine Program Page 11 City of Fort Worth March 16,2006 • Theft of Time ■ Unauthorized Discounts ■ Wage/Hour Issues ■ Workplace Violence/Threats If the interview uncovers two or more distinct issues, the Interview Specialist will produce companion reports. All the relevant information already provided by the caller is pre-filled in the companion report allowing the Interview Specialist to focus on documenting the details of each issue. 9. Technology Assisted Interview Additional system-generated questions and instructions are triggered by the Incident Code, helping the Interview Specialist dig deeper into the unique aspects of a particular issue and ensuring all relevant information is captured. For example: Insider Trading: "Describe the insider information, how they received it, and the amount of illegal trading or benefit. How did individual witness the issue, what was the documentation, when did it occur?" Theft of Goods: "Describe the stolen goods (value, size, color) and the financial impact on the organization." These questions and instructions also help the Interview Specialist validate the Incident Code assigned to the report based on their relevance to the caller's concern. 10.Automated Interview Analysis The Link2 system actively analyzes the report and identifies factors or combinations of factors that require additional information. For instance: Victim Identification Prompt: If an anonymous caller is the victim and there are no witnesses or evidence to corroborate their report, the Link2 system prompts the Interview Specialist to encourage the caller to give his/her name and contact information so that the incident can be investigated. "In order for the organization to investigate an issue in which you're the victim, they need the ability to get in touch with you. Are you sure you do not wish to provide your name at this time?" 11.Real-Time Quality Assurance During the interview, the Link2 system monitors information intake. Before the call is concluded, the system issues a warning regarding missing information and potential errors for the Interview Specialist to review with the caller. The report cannot be completed until every data requirement is met. To produce the highest quality reports, The Network continually reviews and updates Integrity Check criteria based on our experience and feedback from our clients. 0� I,, 12.Next Step Instructions/Closing Statement 1 �,, .z � ReportLine Program Page 12 ^~ IN City of Fort Worth March 16, 2006 a. The Interview Specialist confirms the caller is satisfied that all the information they called to report has been conveyed. b. Callers who give their names are provided a report number and asked to call back if they have information they wish to add to their report. The Interview Specialist concludes the call by saying: "We appreciate your call. Since you have provided your name and contact information, your organization now has the option to contact you should they have questions or require additional information. Allow me to give you a report number as a record of your call today, your report number is(XXXXXJ. You will need this number if you call back to add information to this report." c. Anonymous callers are given a report number to reference in subsequent calls and are asked to call back two weeks from the date of their call. The Interview Specialist concludes the call by saying: "We appreciate your call. Allow me to give you a report number. Do you have a pen? Your report number is GkXXXX]. Please call us back on [Date]with the report number in order to see if the organization has any additional questions to ask." 13.The Incident Report The information gathered during the call is organized in a detailed Incident Report. If an anonymous party indicates documents supporting his or her allegation are available, The Network's Interview Specialist can provide your predetermined fax or shipping address. 14.Quality Assurance A combination of automated and manual reviews is utilized to ensure the quality and clarity of every report. In addition to the Automated Interview Analysis and Real-time Quality Assurance that the Link2 system performs during the call, The Network's dedicated Quality Assurance team also evaluates reports to ensure quality standards are met. Reports are subjected to manual Quality Assurance based on the complexity of customization, Interview Specialist quality scores/tenure, incident type, etc. B. Web Reporting System Anonymous reports can be submitted via the web In addition to calling the telephone hotline, reports can be anonymously submitted via our secure, web-based self-reporting system. The format follows the flow of ReportLine's highly successful telephonic interview process, although in a simplified and user-friendly interface. The reporting form requires the user to respond to certain critical questions in order to complete the report, enhancing the amount of information you receive. After submitting a report, the participant receives a confirmation number as a receipt. ReportLine Program Page 13 City of Fort Worth March 16,2006 The web reporting system offers your hotline participants the option of reporting issues in the following languages: ■ English ■ Chinese • Dutch • French ■ French Canadian ■ German • Italian ■ Japanese ■ Korean ■ Portuguese ■ Russian • Spanish ■ Vietnamese Reports that are submitted in a language other than English are translated into English for inclusion in the Link2 system. Translated reports are entered into the system within two business days, (not including U.S. holidays). Web Reports are: ■ Documented in the Link2 system within 24 business hours (48 hours if translation is required) ■ Disseminated or escalated like other Incident Reports ■ Included in monthly summary reporting ■ Accessible through the Link2 system's Case Management module C. Rapid Dissemination and Follow Up The rapid delivery of thorough, actionable Incident Reports for your immediate response. 1. Standard Incident Report Dissemination a. Incident Reports are disseminated within an average of two hours. All reports are guaranteed dissemination within one business day via email to designated recipients. b. Our dedicated Dissemination Team monitors all dissemination activity, ensuring the successful transmission of all Incident Reports. 2. Escalation ReportLine Program Page 14 City of Fort Worth March 16, 2006 a. We immediately call your designated personnel if we receive an Incident Report that meets the following criteria: ■ Threat or harm to employees, customers, or operations ■ Any significant incident projected to reoccur within 24 hours b. If one of the following ten Incident Codes is assigned to a report, the Interview Specialist is automatically prompted to ask if the incident will happen again within the next 24 hours. If the caller believes it will, then escalation is automatically triggered. Those Incident Codes are: ■ Falsification of Organization Records ■ Fraud ■ Fraudulent Insurance Claims ■ Kickbacks ■ Release of Proprietary Information ■ Substance Abuse ■ Theft of Cash • Theft of Goods/Services • Product Quality Concern ■ Workplace Violence/Threats c. The Interview Specialist or our Quality Assurance Team can also override the Link2 system and designate a report for escalation at their discretion. These reports are checked by the Escalation Team prior to escalating. d. Once a report designated for escalation is complete, it is automatically relayed to our dedicated Escalation Team for immediate notification of the designated person. The Link2 system provides the Escalation Team with the list of the best three emergency contacts that you provide, which contains: 1. The contacts' telephone numbers (pager, work, cellular and home) 2. Where they can be reached during business hours, holidays and weekends 3. The order in which they should be called The Escalation Team uses the following escalation process: ■ Calls are made to the first contact within an average of 15 minutes of completion of the report by calling pager, work, cellular and home numbers. ■ If the first contact cannot be reached, a message is left and the same procedure is followed for the two additional contacts. ReportLine Program Page 15 City of Fort Worth March 16,2006 ■ Once a contact is reached, a summary of the report can be read, emailed or faxed and the escalation of the Incident Report is complete. ■ Escalated Incident Reports are also disseminated via email to your designated contacts through the normal dissemination process. (On the Incident Report, a priority level of"1" designates a high priority report that has been escalated.) 3. Callback Process a. Anonymous callers are asked to call back on a specific date, giving you an opportunity to ask additional questions during the investigation and resolution of the issue. Any caller can call back at any time with the report number and add information to the report. b. Your additional questions can be submitted online through the Case Management Module or via e-mail before the scheduled callback. Questions submitted on-line are added to the Link2 system in real- time. Questions received via email will be added to the Link2 system within one business day. c. Email Process: You can submit callback questions by emailing them to ReportLine at networkcallbacks(a)-tnwinc.com in the following format: ■ Subject Line: Question for the caller ■ City of Fort Worth ■ Your contact first and last name • Original Incident Report number ■ Callback question(s) written exactly as they should be asked to the caller (limited to 2,000 characters) d. If the anonymous caller calls back as instructed, the Interview Specialist will ask the additional question(s) and document the response(s) as an addendum to the original Incident Report. The updated Incident Report will then be disseminated to your original designated contacts via email marked "Callbacks". e. If the anonymous caller calls back as instructed, and there are no additional questions from your organization, the Interview Specialist will thank the caller and notify him/her that there are no additional questions. No further callback arrangements are made in this case, although the caller is invited to call back if there is ever any additional information to add to the report. f. If any caller calls back to provide additional information, the Interview Specialist will document the information as an addendum to the original Incident Report. The updated Incident Report will then be disseminated to your original contact via email "Callbacks". D. Case Management ReportLine Program Page 16 City of Fort Worth March 16,2006 Manage, Analyze and Document Issue Response The Link2 system's web-based Case Management module helps you manage investigations and track trends across your organization. This module centralizes all components of your incident reporting system, from notification through investigation and resolution. The system helps you manage workflow and provides you with a historical record of your investigation. You determine each user's access rights, which can be determined by user type (Super User, Case Manager or Investigator), organization location, and/or incident type. Users are alerted by email when an incident requires their attention, and then they log in to the Case Management module. The three-tier hierarchy ensures that only those authorized to assign and investigate reports have access to that data, maximizing the protection of confidential information. Super Users Super Users have the ability to view all of the incidents for all locations and incident types, offering complete access to all allegations. They also have the same capabilities as Case Managers, which are described below. Case Managers Case Managers have access to all of the incidents for the locations and/or incident types for which they have been granted access rights. They can: ■ Search/sort for specific incident information ■ View incident report data ■ Analyze information using multi-tiered filtering of data ■ Assign an Investigator, or transfer a case between Investigators • Send a case back to an Investigator ■ Transfer approval authority to another Manager • Approve/close a case • Document activities in the Case Log ■ Add attachments to support documentation of an investigation* ■ Follow up with anonymous callers ■ Access and view monthly management reports ■ Request ad hoc reports by setting custom date ranges � ;JIt • Export information to Excel for additional analysis C1Tt1 Investigators i Investigators have access only to the incidents assigned to them. They can: ReportLine Program Page 17 City of Fort Worth March 16,2006 ■ Search/sort for specific incident information ■ View incident report data ■ Document activities in the Case Log ■ Transfer an assigned case to another Investigator, when authorized to do so ■ Document resolution (outcome, disposition, reward) recommendations ■ Send a case to the Approval Authority for closure ■ Follow up with anonymous callers ■ Add attachments to support documentation of an investigation* *Incremental charges may apply for data storage and utilization Case Log Actions taken by Case Managers and Investigators during the incident investigation and resolution process are automatically documented in the Case Log and tagged with a date, time and user ID stamp. Actions captured in the Case Log include: ■ Entering new information into the Case Log ■ Assigning an Investigator ■ Transferring a case to another Investigator ■ Transferring Approval Authority • Sending a case for approval ■ Sending a case back to an Investigator for additional work ■ Approving/Closing a case E. Direct Access to the Link2 System Create a centralized database of ethics complaints You can enter reports based on the face-to-face interviews that you conduct directly into the Link2 system so that all complaints are documented in one database. The result is reporting from one system for all ethics complaints and consistency of documentation. 1. Accessing the System Your designated users will be given rights in the system to add reports, so that all your ethics allegations reside within the Link2 system database. These users will enter data following the same process as Interview Specialists. 2. User Training Up to three users entering the reports will receive a user's guide electronically in the form of a Word document. A two-hour web-conference training session will be scheduled at your convenience. ReportLine Program Page 18 City of Fort Worth March 16,2006 A one-day on-site training class will be held on a date to be scheduled at your convenience. F. Comprehensive Summary Reports Valuable reports to analyze incidents and hotline activity, recognize trends and "hot spots", document due diligence, identify corrective actions and aid in the development of future communications, policies and training programs. 1. Online Access Secure, online access to reports is available via the web. You can: • Review and print report data from anywhere via the Internet. • Search, view and print report data based on a variety of criteria including date range, business entity name, location, etc. ■ Up to three organization representatives may access Link2. 2. Summary Reports a. Each month your designated contacts receive valuable Summary Reports via email as a PDF attachment. These reports help you analyze hotline activity, recognize trends and "hot spots" in your organization, document due diligence and identify corrective actions and ongoing communication needs. b. Summary Reports include: ■ Executive Summary Report: This report shows the total incidents for the month and year-to-date tabulated by type and frequency, the percentage of issues that were previously reported to a manager and an issue type summary showing the number of calls per Incident Code. As a means of trend analysis, these percentages are also reported using ReportLine's entire client base ("Market"). The top ten issues are also shown in a graph. ■ Activity Report: This report details all call activity for the month by location and by type of concern reported, including call location (City and State), report number and date, if the incident was previously reported to management and a brief summary of the incident (Incident Code, caller name, and name of the reported individual). • Hot Spot Report: This report shows locations that have reached or exceeded your designated number of Incident Reports for the month. City of Fort Worth designates a number of reports per location to consider the location a "hot spot." This report will show all those locations within the month that reached this number. For City of Fort Worth, this number is [Hot Spot Threshold Number]. • Resolution Tracking Report: This report details all call resolution activity and status for the month by location. It includes all pending reports and all resolved reports for that month along with supporting resolution detail. Reportline Program Page 19 City of Fort Worth March 16,2006 VIII. Education & Awareness Overview Reach the Unique Workplace Audience Materials for program introduce the program to employees, educate them on vital issues and encourage participation. Your employees are your organization's strongest defense against illegal and unethical activity. Providing a hotline helps your City identify and respond to potentially damaging issues. The Network provides all the tools you need for a comprehensive feedback and communication program. Step 1: Implementation The Network provides implementation tools that ensure successful launch of your hotline: ■ Implementation Guides—Your implementers receive simple instructions for introducing the hotline and maintaining the program after the initial launch. ■ Employee Kits — Employees receive materials that describe the hotline, its purpose and how to report illegal or unethical behavior. ■ Location Awareness Centers —High-impact materials like posters and letters from management posted prominently in employee common areas help promote the message of the program. The Network can provide sturdy acrylic displays to help create a unified message center. ■ Promotional Materials— Incentive items help increase the awareness of the hotline. ■ Web Pages —We can help you add content to your internal or external website. ■ Certification/Verification Services —The Network offers a variety of tools for Surveys, Testing and Compliance Tracking that engage your employees and customers in providing the information you need to monitor your business initiatives and activities. Step 2: Ongoing Communication You can sustain the momentum of your program by periodically updating materials to maintain top-of-mind awareness of the hotline program. Posters in high-traffic areas educate employees on important workplace issues and preventive techniques. New materials draw attention to the issues, reminding employees of the program and the organization's commitment to workplace ethics. The Network's award-winning in-house agency can support your communication campaign by creating employee mailings, payroll stuffers, wallet cards and web pages for your intranet, creating a well-rounded communications effort that supports the hotline and helps you prove due-diligence regarding the anonymous complaint process. �N� � �J 'a�✓�!fl � I�4U� 4 ReportLine Program P go'30 City of Fort Worth March 16,2006 IX. ReportLine Program Budget ReportLine Service Annual Fee (based on 5,860 employees & general public)........................$7,500.00 *Any calls after the cap of 188 original incident reports or 159 general inquiries would cost. o $35 per call for calls resulting in an Incident Report o $10 per call for all other calls (general inquiry calls, referral calls, call backs, etc.) Additional Case Management (Optional) Annual Case Managers.............................................................$750.00/user Annual Investigators..................................................................$250.00/user * 1 Case Manager and 1 Investigators included in the ReportLine Service budget. Education & Awareness Materials (Optional) ..............................TBD *TBD based on program (generally between $1-$3 per employee) ReportLine Program Page 21 City of Fort Worth March 16,2006 EXHIBIT B ReportLine Program Timeline Due Date EventlTas DOscfi tion Yillho . TBD—at least 2-4 Signed agreement to The Network City of Fort Worth weeks prior to start date TBD—at least 2 Dissemination, contact and other information for City of Fort Worth weeks prior to program set-up to The Network program start date TBD—at least 1 Location Database to The Network City of Fort Worth week prior to program start date 45-60 days prior to The Network start date for each International calling options determined City of Fort Worth international phone line (based on telephone service provider) TBD—always on a Program Live (start) Date The Network Friday TBD— First month First Month's Management Summary Reports The Network after program start date (this is a calendar month, not a program month TBD—as needed, at Escalation Information Updates City of Fort Worth least 5 business & The Network days notice required TBD —as needed, at Dissemination and Location Database City of Fort Worth least 5 business Information Changes &The Network days notice required TBD —as needed, at Location Database Information Updates City of Fort Worth least 24 hours (standard only) & The Network (business day) notice required 45 days prior to Annual Program Evaluation and Renewal City of Fort Worth program year-end & The Network renewal date ReportLine Program Page 7 City of Fort Worth July,2006