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Contract 37418
CITYFcE%qRY�� CON`t � �t'�',i� i NO . EIMS PROFESSIONAL SERVICES AGREEMENT This PROFESSIONAL SERVICES AGREEMENT ("Agreement") is made and entered into by and between the CITY OF FORT WORTH (the "City"), a home rule municipal corporation situated in portions of Tarrant, Denton and Wise Counties, Texas, acting by and through Carl Smart, its duly authorized Acting Assistant City Manager, and TOWER SOFTWARE INC. ("Consultant"), a Virginia Corporation and acting by and through Mr. Jeff Shulman, its duly authorized Vice President and General Manager The Contract documents shall include: 1) This Agreement plus all attachments listed below, which are attached hereto and incorporated herein for all purposes incident to this Agreement: a) Exhibit A —EIMS Pilot Project Statement of Work b) Exhibit B — Payment Schedule c) Exhibit C — Limited Access Agreement d) Exhibit D — Software License Agreement e) Exhibit E — User Acceptance Test Plan f) Exhibit F — Tower Software Support Agreement g) Exhibit G — TRIM Context 6 Software Maintenance & Support Agreement 2) City of Fort Worth Request for Proposal ("RFP") No. 07-0041, which is incorporated herein by reference for all purposes incident to this Agreement; 3) Tower Software Inc. response to that proposal ("Response") dated May 10, 2007, which is incorporated herein by reference for all purposes incident to this Agreement. 4) Tower Software Inc. response to that proposal product demonstration questions ("Response Demo") dated JUIy 277 2007 which is incorporated herein by reference for all purposes incident this Agreement. 5) Tower Software Inc. best and final pricing letter dated August 24, 2007 with price validity extension letter dated December 201 2007. 6) Tower Software Inc. pricing extension letter dated March 17, 2008. In the event of a conflict between the contract documents, the order of precedence is as follows: (i) this Agreement plus all attachments (ii) RFP No. 07-0041 (iii) the Response. 1. SCOPE OF SERVICES. Consultant hereby agrees to provide the City with professional consulting services for the purpose of installing and configuring the (TRIM Context) software application on the City's servers and network and providing project management support while conducting a pilot project to test Consultant's proposed technical solution for the Enterprise Information Management Systems (EIMS) which will ensure regulatory compliance; data safety and consolidation; cross functional workflow collaboration; business process improvement; and product availability. Attached hereto and incorporated for all purposes incident to this Agreement is Exhibit "A," Statement of Work, more specifically describing the services to be provided hereunder. Professional Services Agreement Tower Software Inc. Page 1 of 7 OFFICIAL RECORD CITY SECRETARY T. WORTH, TX 2. TERM. This Agreement shall commence upon the last date that both the City and Consultant have executed this Agreement ("Effective Date") and shall continue in full force and effect until completion of all services contemplated herein but no later than June 30, 2009, unless terminated earlier in accordance with the provisions of this Agreement. 3. COMPENSATION. The City shall pay Consultant an amount not to exceed $196,616 for services defined in association with Exhibit "A" - the Pilot Project Statement of Work in accordance with the provisions of this Agreement and the Payment Schedule attached as Exhibit "B," which is incorporated for all purposes herein. Consultant shall not perform any additional services for the City not specified by this Agreement unless the City requests and approves in writing the additional costs for such services. The City shall not be liable for any additional expenses of Consultant not specified by this Agreement unless the City first approves such expenses in writing. 4. TERMINATION. 4.1. Written Notice. The City or Consultant may terminate this Agreement at any time and for any reason by providing the other party with 30 days written notice of termination. 4.2 Non -appropriation of Funds. In the event no funds or insufficient funds are appropriated by the City in any fiscal period for any payments due hereunder, City will notify Consultant of such occurrence and this Agreement shall terminate on the last day of the fiscal period for which appropriations were received without penalty or expense to the City of any kind whatsoever, except as to the portions of the payments herein agreed upon for which funds shall have been appropriated. 4.3 Duties and Obligations of the Parties. In the event that this Agreement is terminated prior to the Expiration Date, the City shall pay Consultant for services actually rendered up to the effective date of termination and Consultant shall continue to provide the City with services requested by the City and in accordance with this Agreement up to the effective date of termination. 5. DISCLOSURE OF CONFLICTS AND CONFIDENTIAL INFORMATION. Consultant hereby warrants to the City that Consultant has made full disclosure in writing of any existing or potential conflicts of interest related to Consultant's services under this Agreement. In the event that any conflicts of interest arise after the Effective Date of this Agreement, Consultant hereby agrees immediately to make full disclosure to the City in writing. Consultant, for itself and its officers, agents and employees, further agrees that it shall treat all information provided to it by the City as confidential and shall not disclose any such information to a third party without the prior written approval of the City. Consultant shall store and maintain City Information in a secure manner and shall not allow unauthorized users to access, modify, delete or otherwise corrupt City Information in any way. Consultant shall notify the City immediately if the security or integrity of any City information has been compromised or is believed to have been compromised. Professional Services Agreement Tower Software Inc. Page 2 of 7 OFFICIAL RECORD CITY SECRETARY FT. WORTH, TX I 6. RIGHT TO AUDIT. Consultant agrees that the City shall, during the initial term, and 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 consultant involving transactions relating to this Contract at no additional cost to the City. Consultant agrees that the City shall have access during normal working hours to all necessary Consultant facilities and shall be provided adequate and appropriate work space in order to conduct audits in compliance with the provisions of this section. The City shall give Consultant reasonable advance notice of intended audits. Consultant further agrees to include in all its subcontractor agreements hereunder a provision to the effect that the subcontractor agrees that the City shall, during the initial term, and until expiration of three (3) years after final payment of the subcontract, have access to and the right to examine at reasonable times any directly pertinent books, documents, papers and records of such subcontractor involving transactions related to the subcontract, and further that City shall have access during normal working hours to all subcontractor facilities and shall be provided adequate and appropriate work space in order to conduct audits in compliance with the provisions of this paragraph. City shall give subcontractor reasonable notice of intended audits. 7. INDEPENDENT CONTRACTOR. It is expressly understood and agreed that Consultant shall operate as an independent contractor as to all rights and privileges granted herein, and not as agent, representative or employee of the City. Subject to and in accordance with the conditions and provisions of this Agreement, Consultant 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. Consultant acknowledges that the doctrine of respondeat superior shall not apply as between the City, its officers, agents, servants and employees, and Consultant, its officers, agents, employees, servants, contractors and subcontractors. Consultant further agrees that nothing herein shall be construed as the creation of a partnership or joint enterprise between City and Consultant. 8. LIABILITY AND INDEMNIFICATION. CONSULTANT SHALL BE LIABLE AND RESPONSIBLE FOR ANY AND ALL PROPERTY LOSS, PROPERTY DAMAGE ANDIOR PERSONAL INJURY, INCLUDING DEATH, TO ANY AND ALL PERSONS, OF ANY KIND OR CHARACTER, WHETHER REAL OR ASSERTED, TO THE EXTENT CAUSED BY THE NEGLIGENT ACT(S) OR OMISSION(S), MALFEASANCE OR INTENTIONAL MISCONDUCT OF CONSULTANT, ITS OFFICERS, AGENTS, SERVANTS OR EMPLOYEES. CONSULTANT COVENANTS AND AGREES TO, AND DOES HEREBY, INDEMNIFY, HOLD HARMLESS AND DEFEND THE CITY, ITS OFFICERS, AGENTS, SERVANTS AND EMPLOYEES, FROM AND AGAINST ANY AND ALL CLAIMS OR LAWSUITS FOR EITHER PROPERTY DAMAGE OR LOSS (INCLUDING ALLEGED DAMAGE OR LOSS TO CONSULTANT'S BUSINESS AND ANY RESULTING LOST PROFITS) ANDIOR PERSONAL INJURY, INCLUDING DEATH, TO ANY AND ALL PERSONS, OF ANY KIND OR CHARACTER, WHETHER REAL OR ASSERTED, ARISING OUT OF OR IN CONNECTION WITH THIS AGREEMENT, TO THE EXTENT CAUSED BY THE NEGLIGENT ACTS OR OMISSIONS OR MALFEASANCE OF CONSULTANT, ITS OFFICERS, AGENTS, SERVANTS OR EMPLOYEES. 9. ASSIGNMENT AND SUBCONTRACTING. Consultant shall not assign or subcontract any of its duties, obligations or rights under this Agreement without the prior written consent of the City. If the City grants consent to an assignment, the assignee shall execute a written agreement with the City Cl"d the Consultant under which the assignee agrees to be bound by the duties and obligations of Consultant under this Agreement. The Consultant and Assignee shall be jointly liable for all obligations under this Agreement prior to #he=assignment: Wth f�ity Professional Services Agreement OFFICIAL RECORD FT. WORTH, TX grants consent to a subcontract, the subcontractor shall execute a written agreement with the Consultant referencing this Agreement under which the subcontractor shall agree to be bound by the duties and obligations of the Consultant under this Agreement as such duties and obligations may apply. The Consultant shall provide the City with a fully executed copy of any such subcontract. 10. INSURANCE. Consultant shall provide the City with cercates) of insurance documenting policies of the following minimum coverage limits that are to be in effect prior to commencement of any work pursuant to this Agreement: 10.1 10.2 Coverage and Limits (a) Commercial General Liability $1,000,000 Each Occurrence $1,000,000 Aggregate (b) Automobile Liability $1,000,000 Each accident on a combined single limit basis or $250,000 Bodily Injury per person each accident $500,000 Bodily injury per person per occurrence $100,000 Property damage Coverage shall be on any vehicle used by the Consultant, its employees, agents, representatives in the course of the providing services under this Agreement. "Any vehicle" shall be any vehicle owned, hired and non -owned (c) Worker's Compensation Statutory limits Employer's liability $1007000 Each accident/occurrence $100,000 Disease - per each employee $500,000 Disease - policy limit This coverage may be written as follows: Workers' Compensation and Employers' Liability coverage with limits consistent with statutory benefits outlined in the Texas workers' Compensation Act (Art. 8308 — 1.01 et seq. Tex. Rev. Civ. Stat.) and minimum policy limits for Employers' Liability of $100,000 each accident/occurrence, $500,000 bodily injury disease policy limit and $100,000 per disease per employee (d) Technology Liability (Errors &Omissions) $1,000,000 Each Claim Limit $1,000,000 Aggregate Limit Technology coverage may be provided through an endorsement to the Commercial General Liability (CGL) policy, or a separate policy specific to Technology E&O. Either is acceptable if coverage meets all other requirements. Coverage shall be claims -made, and maintained for the duration of the contractual agreement and for two (2) years following completion of services provided. An annual certificate of insurance shall be submitted to the City to evidence coverage. t = ,-1 Certificates. Professional Services Agreement Tower Software Inc. Page 4 of 7 OFFICIAL RECORD CITY SECRETARY FT. WORTH, TX Certificates of Insurance evidencing that the Consultant has obtained all required insurance shall be delivered to the City prior to Consultant proceeding with any work pursuant to this Agreement. All policies shall be endorsed to name the City as an additional insured thereon, as its interests may appear. The term City shall include its employees, officers, officials, agent, and volunteers in respect to the contracted services. Any failure on the part of the City to request required insurance documentation shall not constitute a waiver of the insurance requirement. A minimum of thirty (30) days notice of cancellation or reduction in limits of coverage shall be provided to the City. Ten (10) days notice shall be acceptable in the event of non-payment of premium. Such terms shall be endorsed onto Consultant's insurance policies. Notice shall be sent to the Risk Manager, City of Fort Worth, 1000 Throckmorton, Fort Worth, Texas 76102, with copies to the City Attorney at the same address. 11. COMPLIANCE WITH LAWS ORDINANCES. RULES AND REGULATIONS. Consultant agrees to comply with all applicable federal, state and local laws, ordinances, rules and regulations. If the City notifies Consultant of any violation of such laws, ordinances, rules or regulations, Consultant shall immediately desist from and correct the violation. 12. NON-DISCRIMINATION COVENANT. Consultant, for itself, its personal representatives, assigns, subcontractors and successors in interest, as part of the consideration herein, agrees that in the performance of Consultant's duties and obligations hereunder, it shall not discriminate in the treatment or employment of any individual or group of individuals on any basis prohibited by law. If any claim arises from an alleged violation of this non-discrimination covenant by Consultant, its personal representatives, assigns, subcontractors or successors in interest, Consultant agrees to assume such liability and to indemnify and defend the City and hold the City harmless from such claim. 13. NOTICES. Notices required pursuant to the provisions of this Agreement shall be conclusively determined to have been delivered when (1) hand -delivered to the other party, its agents, employees, servants or representatives, (2) delivered by facsimile with electronic confirmation of the transmission, or (3) received by the other party by United States Mail, registered, return receipt requested, addressed as follows: To The CITY: City of Fort Worth/IT Solutions 1000 Throckmorton Fort Worth TX 76102-6311 Facsimile: (817) 392-8654 14. SOLICITATION OF EMPLOYEES. To CONSULTANT: TOWER Software 12012 Sunset Hills Road, Suite 510 Reston, VA 20190 (703)437-9006 Neither the City nor Consultant shall, during the term of this agreement and additionally for a period of one year after its termination, solicit for employment or employ, whether as employee or independent contractor, any person who is or has been employed by the other during the term of this agreement, without the prior written consent of the person's employer. Professional Services Agreement Tower Software Inc. Page 5 of 7 OFFICIAL RECORD CITY SECRETARY FT. WORTH, TX on GOVERNMENTAL POWERS. It is understood and agreed that by execution of this Agreement, the City does not waive or surrender any of its governmental powers. 16. NO WAIVER. MENEM The failure of the City or Consultant to insist upon the performance of any term or provision of this Agreement or to exercise any right granted herein shall not constitute a waiver of the City's or Consultant's respective right to insist upon appropriate performance or to assert any such right on any future occasion. 17. GOVERNING LAW /VENUE. This Agreement shall be construed in accordance with the internal laws of the State of Texas. If any action, whether real or asserted, at law or in equity, is brought on the basis of this Agreement, venue for such action shall lie in state courts located in Tarrant County, Texas or the United States District Court for the Northern District of Texas, Fort Worth Division. 18. SEVERABILITY. 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. 19. FORCE MAJEURE. The City and Consultant shall exercise their best efforts to meet their respective duties and obligations as set forth in this Agreement, but shall not be held liable for any delay or omission in performance due to force majeure or other causes beyond their reasonable control (force majeure), including, but not limited to, compliance with any government law, ordinance or regulation, acts of God, acts of the public enemy, fires, strikes, lockouts, natural disasters, wars, riots, material or labor restrictions by any governmental authority, transportation problems and/or any other similar causes. 20. HEADINGS NOT CONTROLLING. Headings and titles used in this Agreement are for reference purposes only and shall not be deemed a part of this Agreement. 21. REVIEW OF COUNSEL. The parties acknowledge that each party and its counsel have reviewed and revised this Agreement and that the normal rules of construction to the effect that any ambiguities are to be resolved against the drafting party shall not be employed in the interpretation of this Agreement or exhibits hereto. 22. AMENDMENTS If MODIFICATIONS / EXTENSTIONS. No extension, modification or amendment of this Agreement shall be binding upon a party hereto unless such extension, modification, or amendment is set forth in a written instrument, which is executed by an authorized representative and delivered on behalf of such party. Professional Services Agreement Tower Software Inc. Page 6 of 7 Oi�FICiAL RECORD CITY SECRETARY FT. WORTH, TX 2I ENTIRETY OF AGREEMENT. This Agreement, including the schedule of exhibits attached hereto and any documents incorporated herein by reference, contains the entire understanding and agreement between the City and Consultant, their assigns and successors in interest, as to the matters contained herein. Any prior or contemporaneous oral or written agreement is hereby declared null and void to the extent in conflict with any provision of this Agreement. 24. SIGNATURE AUTHORITY. The person signing this agreement hereby warrants that he/she has the legal authority to execute this agreement on behalf of the respective party, and that such binding authority has been granted by proper order, resolution, ordinance or other authorization of the entity. The other party is fully entitled to rely on this warranty and representation in entering into this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement in multiples this 9th day of _July , 2008. CITY OF FORT WORTH: By: Karen L. Montgomery AssistantCityManager/CFO Date: ATT By: M�i-ty Hendrix City Secretary APPROVED AS TQ� ORM AND LEGALITY: By: Maleshia�8. Farmer Assistant City Attorney CONTRACT AUTHORIZATION Date Approved: -N LS 10 Professional Services Agreement Tower Software Inc. Page 7 of 7 TOWER SOFTWARE INC.: ATTEST: -t I OFFICIAL RECORD CITY SECRETARY FT. WORTH, TX City of Fort Worth Professional Services Agreement - Exhibit A Enterprise Information Management System Pilot Project For Tower Software Inc. EIMS Pilot Project Statement of Work 1.0. 2000 3.0. 4.0. 5.0. 6.0. 7.0. 8.0. 9.0. 10.0. 11.0. 12.0. 13.0. 14.0. 15.0. 16.0. 17.0. Table of Contents Reference Documents Statement of Work Purpose City of Fort Worth Core Requirements 3 Pilot Project Goals Tasks Responsibilities of the City of Fort Worth 6 Out of Scope 6 Approach i Assumptions and Considerations 8 Success Factors 10 Risk Management 10 Deliverables Schedule Milestones 1 Acceptance Criteria 13 Staffing and Roles 14 Pricing 14 Appendix A -Project Change Control Procedure 16 Appendix B -CFW City Secretary Office Business Process Maps 19 Appendix C -Tower Software's Proposed Solution for CFW Core Requirements 33 Appendix D -CFW Expectations of Tower Software 47 �j►S+�luti+o►r�� Form Version 3.0 dated 07.07.04 Page 2 of 51 s����;, n,t•,�. EIMS Pilot Project Statement of Work • • • .• Statement of Work for the EIMS Pilot Project 1.0 Reference Documents: The contents of the following documents are included either by reference or inclusion herein. • City of Fort Worth Request For Proposal No. 07-0041 with all Addendums • Tower Software Response (to RFP No. 07-0041) dated May 10, 2007 • Tower Software Response (to CFW Product Demonstration Questions); dated July 27, 2007 • CFW City Secretary Office Business Process Maps —Section 9.6 and Appendix B herein • CFW User Acceptance Test Plan • Tower Software License Agreement • Tower Software Support Agreement • Tower Software TRIM Context 6 Software Maintenance and Support Agreement • CFW Limited Access Agreement 2.0 Statement of Work Purpose: 3.0 This Statement of Work (SOW) is specifically structured for the purpose of conducting a vendor managed proof of concept Pilot Project, with a very limited scope of operations. This Pilot Project will be conducted under the direction of a CFW Project Manager. The central focus of this Pilot will be the information products and business processes of the City Secretary's Office. The intent of this Statement of Work is to test and solutions proposed by Tower Software Inc. It shall successfully deliver the necessary elements of an which the City of Fort Worth defines as: prove "fitness for purpose" for the software be incumbent upon Tower Software Inc, to Electronic Information Management System The systematic control of all information, adding intelligence by creating categorization to facilitate search, retrieval and disposition, based upon functional context of the information and using structure and policies from document management and records management. The goal is to make the City's information assets more manageable, useful and available thereby increasing the City's efficiency while providing higher levels of customer service. City of Fort Worth Core Requirements: CFW requires an integrated Enterprise Information Management System (EIMS) to ensure: • Regulatory compliance • Data safety and consolidation • Cross functional workflow collaboration • Business process improvement • Product availability 3.1 Records and Information Retention 3.1.1 The proposed solution from Tower Software shall provide the capability to automatically track and maintain records and information in accordance with approved retention schedules legislated by the state of Texas or other retention requirements. Form Version 3.0 dated 07.07.04 Pa�-te 3 of 51 �vllUti►C)irl'Sr y Sfia#-y7;ia: F4��sireers Fesaunrs EIMS Pilot Project Statement of Work 3.1.2 Ability to ensure the security and integrity of electronic records until the expiration of their retention periods, minimizing risk of unauthorized or accidental alteration or erasure of information 3.1.3 Ability for regular recopying, reformatting, and other necessary maintenance to ensure the retention and usability of electronic records until the expiration of their retention periods 3.2 Records And Information Disposition 3.2.1 Provide for regular removal of electronic records and information from the system in accordance with retention requirements and in accordance with City procedures for records and information disposition. 3.2.2 Ability to track records and information series/groups for notification, using reports and queries, based upon expiration of retention schedule, advising information removal from the system for secondary storage or deletion/destruction. 3.2.3 Ability to remove information from online storage to a secondary storage medium. 3.2.4 Ability to fully delete/destroy data in accordance with the City's procedures for records destruction. 3.2.5 Ability to remove electronic records from the system that are scheduled for destruction and disposal in a manner that ensures protection of any confidential information (Local Gov't Gode, � 202.001). 3.3 AIIM Content Management Criteria The ability to meet or exceed industry best practice, in accordance with The Enterprise Content Management Association (AIIM), which identify five major elements that when integrated into a cohesive system, provide the capability to electronically manage information. These elements will allow CFW to Capture, Manage, Store, Preserve and Deliver CFW information. 3.3.1 Capture —Regardless of Media Type Typical ways in which documents and other forms of information will be added to the system. • Paper based documents should be easily scanned and imported into the system using a decentralized scanning strategy. • Files already in electronic format must be easily imported into the system. 3.3.2 Manage -Workflow and Collaboration • EIMS must provide a collaborative workspace for document development and sharing. • Electronic Information Management software must include workflow modeling based on process layering. An example of workflow modeling may include recognition of the document originator, contributor(s), reviewers) and approver(s), while enabling electronic signatures. C�Stvltati+or� Form Version 3.0 dated 07.07.04 Page 4 of 51 ��s���.��.��s • Multiple revisions of a document must be tracked while providing the ability to rollback to previous versions as required. • A check in -check out feature is required to ensure consistency of documents and prevent overwrites from occurring 3.3.3 Store and Preserve -Repository and Lifecycle Management • An electronic information management "system" must provide long-term, secure and reliable storage. In addition, it must provide the ability to carefully limit access of documents to specific users or groups. • The software must accommodate; changes to documents as they proceed through their lifecycle increasing volume of documents 3.3.4 Deliver • To the customer, timely and in the required format. 4.0. Pilot Project Goals The goal of this Pilot Project is to demonstrate the proposed system capabilities and provide justification for continuing an investment business case for an enterprise level system implementation. TOWER Software's proposed solution must demonstrate the capability to enable CFW's ability to Capture, Store, Manage, Preserve and Deliver City of Fort Worth owned information across all departments. Regardless of the type of media or the format, all information will be processed with the understanding that it has a purpose, it belongs to the City of Fort Worth, it can be easily located, and it has a defined lifecycle in accordance with City of Fort Worth document and record retention policies. Tower Software's proposed solution will allow the city to secure data for regulatory compliance as well as give the City the ability to utilize the information across departments, making the City's information assets more manageable and more valuable. TRIM "structures" all information an organization creates, whether it is official records, or memos and emaits, which allows the City to effectively and efficiently address common information needs throughout various functional areas. Tower Software's proposed solution must provide the City of Fort Worth a tightly integrated low risk, COTS solution that will enable CFW to capture and manage electronic and physical documents while providing comprehensive, efficient access to authoritative information. This will enable the City of Fort Worth to have: • Regulatory compliance • Data safety and consolidation • Cross functional workflow collaboration • Business process improvement • Product availability Tower Software's proposed solution is a true Commercial off the Shelf (COTS) solution which will allow the City of Fort Worth to manage all information assets across the business in a single managed solution which allows control for the entire lifecycle of a record from creation through archival and disposition to destruction. L"�S�Iutir�rtis Form Version 3.0 dated 07.07.04 Page 5 of 51 stxa�ir.3hyanxss �,�$ EIMS Pilot Project Statement of Work 5.0 Pilot Project Tasks The primary tasks of this Statement of Work are: 5.1 Tower Software Inc must deliver and in cooperation with CFW IT personnel, install their proposed EIMS solution described in their May 10, 2007 proposal referenced in Section 1.0. herein. 5.2 Tower Software Inc. must provide adequate levels of user training to designated members of the City Secretary's Office and designated employees of departments identified in the cross functional process flow charts (provided in Appendix A of the CFW RFP No. 07- 0041) to assure a representative exercise of the collaboration capabilities of their proposed solution. 5.3 Tower Software Inc. must provide adequate levels of training to CFW ITS technical support personnel to assure successful operational support before, during and after the Pilot Project. 5.4 Tower Software Inc. must prove that their proposed solution meets or exceeds the core requirements identified in the CFW RFP No. 07-0041 and this Statement Of Work. The proposed Tower Software solution must enable the City of Fort Worth to: Track and maintain records and information in accordance with approved retention schedules legislated by the state of Texas or other retention requirements. Provide for regular removal or archival and restoration of electronic records and information from the system in accordance with retention requirements. And, in accordance with City procedures for records and information disposition, provide the lowest total cost of ownership, and greatly improve process efficiency in terms of time, tracking and handling. Refer to Project Deliverables on Page 10 herein. 5.5 Tower Software Inc. must act as the Project Manager of record for the EIMS Pilot Project in accordance with Project Management Institute's PMBOK and industry best practices, in addition to the CFW requirements indentified herein while meeting or exceeding the requirements of the CFW RFP and this Statement of Work. 5.6 Tower Software must document lessons learned at the conclusion of the Pilot Project and assist with the production of an objective business case which has as it's conclusion a recommendation and justification to move forward with an EIMS Enterprise Implementation Plan or to terminate the EIMS initiative. 6.0 Scope of Responsibilities for the City of Fort Worth 6.1 CFW Project Manager will participate in the project planning effort to ensure that all CFW employee resources will receive a two week notice prior to their required availability date. 6.2 City of Fort Worth will ensure the required resources are available to complete the tasks and activities assigned and are available in accordance with the above referenced plan. 7.0 Out of Scope Any work not specifically related to the following; !'��+�luiti+ar-�5 Form Version 3.0 dated 07.07.04 Page 6 of 51 a�� rn� z�n,��.� 1. The Pilot Project, 2. The requirements of CFW RFP No. 07-0041, 3. Tower Software's Proposal dated May 10, 2007, 4. Tower Software's Response to Demo Questions dated July 27, 2007, 5. Requirements of this Statement of Work, 8.0 Approach Utilizing actual CFW data, while imposing CFW business policies and exercising a series of well planned process scenarios which generate real-time output, will demonstrate how the software application performs in a large municipal government environment. The pilot project methodology will be a hands-on, collaborative activity that yields high -return when combining business processes with technology solutions. The business case and/or objectives shall be used consistently during functional design and scope management sessions so that changes to the proposed solution can be evaluated in terms of their impact on the pilot objectives. The routine business processes associated with the complete document life cycle may be simulated, running on compressed time or similar methodologies. As much as possible, CFW staff members will play their normal roles, or a person from the function will represent a number of roles from that function. The IT department will perform the role of system support with specifically identified tasks and objectives with appropriate advance notice referenced in paragraph 6.1 above. In the event of computer or program problems which cannot be immediately resolved, the session may be abandoned and resumed when the system problem is resolved. Problems will be documented at the time, using a modified PMO Issues Management Template. Each participant will make notes of all significant problems and issues for discussion at the end of each day. Reality based business process scenarios must be constructed in advance, and will form the basis of the proposed system exercises. A key requirement is for the data to be as realistic as possible and represents the range of possible data variables, including typical products, document types and usual routing. System housekeeping, at the end of each day, may include processes such as running a backup, batch interfaces and reset the calendar if necessary. 8.1 Pilot Project Team Composition The Pilot Project Team will consist of stakeholders that understand current business processes and the future technology requirements, as well as a rapid response IT team that can provide ad -hoc support on short notice. Participating stakeholders will apply their expertise and be willing to consider alternatives while making decisions. Stakeholders will typically come from both business and technology departments, and include both management and tine level representation. �S+o�lulric�ns Form Version 3.0 dated 07.07.04 Page 7 of 51 �ti�����a,��� EIMS Pilot Project Statement of Work The involvement of all necessary personnel, the rapid turnaround on decisions, and the ability to review process flow and system features/functions empower the team to make informed decisions that are easily supported during and after implementation. 8.2 Preparation for the Pilot Project Process documentation sessions begin by defining the target business processes and all roles and responsibilities supporting those processes. The starting point is based on where our organization is today. These are referred to as "As -Is" Processes and they function as the launch point. Next, the focus must shift to a set of best practices that our organization wishes to adopt. When the best practices are incorporated with the As -Is processes, they become are our "To -Be" processes, or our destination. Having defined the processes, the team must analyze how well the chosen solution satisfies the new process requirements. These requirements are then mapped to our chosen application. Any "gaps" will analyzed and solutions or work -a -rounds will be documented. It is essential to recognize that the pilot project team must deal with all aspects of the solution, ensuring that the impact on all areas is considered and weighed against all others. This requires detailed preparation of business process test scenarios, with each scenario testing a representative range of processes. All scenario scripts must be completed and individually tested by the appointed team members. 8.3 Project Testing Environment The focus of this project is to select one, Commercial Off The Shelfi (COTS) software application from industry that the CFW selection committee identifies as the best available candidate to satisfy the goals and objectives stated above. As such, it will not be necessary to conduct detailed tests on the coding and logic of the purchased software application. However, it will be necessary to test the application functionality to prove the claims made by the manufacturer which was the basis for product selection. The entire Pilot Project is structured around proving or disproving "fitness of purpose" for the chosen application including end to end or "cradle to grave" functionality. In addition, Tower Software must provide the methodology and tools) to test and measure load volume with forecasted load criteria for CFW Enterprise operation. The test results will be shared with CFW technical team for analysis and test will be repeated if needed to achieve targeted outcome. Given this proof of concept testing environment, most of the functionality tests will be conducted as described in the User Acceptance Test Plan included by reference herein, by actual departmental employees conducting business as usual while using the new application software. Representatives from the ITS Test Group will be invited to participate or observe while documenting objectives obtained or issues discovered during this process. 9.0 Assumptions and Considerations 9.1 The City Manager's Office supports this project. 9.2 The project is funded. 9.3 Adequate labor resources will be made available in the participating departments. �►S�lutians Form Version 3.0 dated 07.07.04 Page 8 of 51 s�� mG� z�hn,s�. EIMS Pilot Project Statement of Work 9.4 The first efforts will be dedicated to conducting the Pilot Project 9.5 Efforts beyond the Pilot will be dedicated to migrating the chosen solution into other city departments. No efforts shall be made beyond the contemplated scope of the pilot without the express written consent of the City. 9.6 Target business process for this Pilot will be selected from the following pre -selected list: 9.6.1. Official Ordinances 9.6.2. Alcohol Beverage Permits 9.6.3. City Council Meeting Minutes 9.6.4. Resolutions 9.6.5. Corporate Board Minutes 9.6.6. Certification of Agendas 9.7 Services will be performed over a 142 day period, in accordance with Section 13.0 herein. 9.8 Services will be provided from remote locations where possible and onsite where necessary. 9.9 Tower Software Services personnel will perform the services as described in this Statement of Work assuming that: a. Unique user ids for all systems and subsystems in scope are provided for each Tower Software employee requiring access and the user ids have the proper authorization to enable the execution of their assigned tasks. b. A CFW ITS (technical) Point of Contact is identified as a project team resource. c. The CFW ITS Point of Contact has knowledge of procedures for existing ITS practices. d. The CFW ITS Point of Contact has access to manuals and/or documentation (relative to the services to be provided) which will be made available on an "as required" basis. 9.10 Tower Software Services personnel will perform the services from remote locations assuming that dial -up or telnet access to "required" systems and the procedures are made available to each Tower Software employee requiring remote access. 9.11 If it is determined that onsite support is required, Tower Software Inc. Services personnel will perform the identified services onsite assuming that: a. A separate onsite work area that includes a desk, terminal, active telephone, and Internet access will be made available for each Tower Software employee designated to work onsite. Sollutit�rti� Form Version 3.0 dated 07.07.04 Page 9 of 51 s,�a�t�Lx��,�.s b. Building access including badges, security codes and off -hours access is made available for each Tower Software employee designated to work onsite. This is based on justification of need for each employee clearance request. c. Facilities for meetings and onsite activities are provided. 9.12 Tower Software Inc. will provide services as requested, with the limitation that these skills must either currently exist in the company skill set or be readily obtainable by Tower Software Inc. If a resource assigned does not have the skill for a particular service request, Tower Software Inc. will make every effort to provide a resource with the appropriate skill set to fulfill the requested tasks in accordance with the project plan and schedule. 9.13 A City %J Fort Worth Project Manager will provide direction for the project and act as a Management Interface or Liaison between Tower Software Inc. and the City of Fort Worth. 9.15 City of Fort Worth will authorize Tower Software Inc. personnel to contact software vendors for information or to report problems, assuming that there is a requirement to do so. 10.0 Success Factors 10.1 City of Fort Worth will ensure that resources are available to provide Tower Software, Inc. technical staff with the required information and access to enable them to perform the tasks described in this Statement of Work. 10.2 City of Fort Worth will ensure the required resources are available to complete the tasks and activities assigned and are available from the start date of this services engagement. 10.3 City of Fort Worth will provide information for the existing Change Management and Problem Management procedures and for the duration of the project, Tower Software, Inc. technical staff and all other consultants hired by City of Fort Worth will abide by these procedures. 10.4 Tower Software's "TRIM Context' is a true Commercial off the Shelf (COTS) product no development is required during implementation. This lowers the risk and reduces the time and resources required for implementation. Implementation involves ensuring that the City of Fort Worth's business needs are understood and configured in TRIM Context through the checking of boxes, the software is implemented and users trained. 11.0 Risk Management 11.1 Recognizing that The City of Fort Worth has no experience implementing, managing or utilizing an Enterprise Content Management Software system, it shall be incumbent on Tower Software to draw upon their extensive experience and compile a dictionary of Risk Factors to use in tracking project progress, issue management and training CFW personnel in Tower Software's Model Office implementation process. 12.0 Tower Software Deliverables 1201 Enterprise Information Management System Documentation Deliverables: The project deliverables for this engagement shall include, but not be limited to, the following components: �►�t�luii+�ns Form Version 3.0 dated 07.07.04 Page 10 of 51 se��G��,;�,z�.s The Pilot Project Summary will contain the six revised CFW City Secretary business processes, flow charts, roles, responsibilities and descriptions of the technology solutions that support those processes, (reference Appendix B herein, for minimally acceptable process definition). It also defines what requires client -specific technology development. The PPS becomes the source document as the technical solution migrates to other departments throughout the Enterprise. In addition the PPS will describe the improvement in processing time and in tracking &handling of documents between the current City Sectretary business processes and the new processes, as a result of implementing the proposed technical solution. The Business Case Refinement provides a much more concrete and detailed business case than is typically defined prior to the Pilot Project. Refinements to the original business case are made as agreed upon. Including documented evidence that Tower Software's proposed solution satisfied the stated core requirements of this procurement. The Change/Impact Plan describes how the new solution will be implemented, any impacts to the organization, and how those impacts will be mitigated. The Business and Technical Requirements Document defines the approved technical and functional requirements. This includes assigning development responsibilities, assigning complexities, priorities and scope. A key element in this document will be Tower Software's forecast for: o EIMS software and hardware processing scalability requirements based on numbers of users, associated documents, and operational requirements. 12.2 Technical documentation for installation of all components of the Enterprise Information Management Software solution in CFW computing environment. 12.3 Project Management Deliverables shall include by reference Appendix D commitments: 12.3.1 Pilot Project Products to be Developed Business Requirements Charter Document Pilot Project Plan Beginning Business Process Charts &Metrics Ending Business Process Charts &Metrics Training Content and Delivery Application Load Test Plan &Methodology Project Communication Plan CFW CFW Tower/CFW CFW Tower Tower Tower CFW �S+or"lutirar�is Form Version 3.0 dated 07.07.04 Page 11 of 51 s��=�;,� r�n,=�� EIMS Pilot Project Statement of Work Consolidated Team Contact List Tower/CFW Project Meetings List with Schedules Tower/CFW Project Meeting Minutes Tower Project Timeline Tower Weekly Project Status Reports Tower/CFW Risk Identification & Management Plan Tower Pilot Project User Acceptance Test Plan Tower/CFW Change Management Plan Tower Issues/Problem Log Tower All project documentation will be centrally stored and made accessible to the entire engagement team and key stakeholders in a customized web -based Document Library. Documentation is prepared using software such as MS Word, MS Excel, MS Project, and Visio. When necessary, files are converted to PDF file format using Adobe Acrobat. Sa►luti�►r�s Form Version 3.0 dated 07.07.04 Page 12 of 51 s� �n ��,G�.$ EIMS Pilot Project Statement of Work 13.0 Pilot Project Schedule '�S+c�luti+orrs Form Version 3.0 dated 07.07.04 Page 13 of 51 ;�at�a a,t�s 14.0 Major Project Milestones and Target Dates Project kick-off meeting Tower 09-08-08 Deliver project management plan Tower 09-22-08 Project management plan approved CFW 09-30-08 Deliver technical architecture report Tower 0 rable 9-24-08 Technical architecture report approval CFW 10-02-08 Train core project team members Tower 09-30/10-03 Deliver TRIM configuration report Tower 11-11-08 TRIM configuration report approved CFW 11- End user training Tower 12-08/12-11 Go live with TRIM Tower/CFW 12-11-08 Develop lessons learned report Tower/CFW 03-19-09 15.0 Acceptance Criteria 3pecific criteria to be agreed to by City of Fort Worth and Tower Software, Inc. All deliverable The City of Fort Worth will accept all Tower Software, Inc. deliverables based on meeting the s must be accepted in writing in a form acceptable to the City. 16.0 Staffing and Roles 16.1 TOWER Software understands the importance of key personnel to the overall success of the project. Our expert staff includes a Senior Project Manager Business, Business Analyst and a Senior Consultant, which are not only versed in the TRIM application, but also provide the industry knowledge to work with you on delivering a solution that meets your needs. TOWER Software will provide a Senior Project Manager to successfully deliver the project within a defined scope, time and cost. The Project Manager will work with the CFW assigned Project Manager or Project Lead to determine the project's key drivers which will lead to the creation of the project plan. After CFW approves a TOWER Software or Incisive info employee as a member of the project team, such members of the team shall not be released and/or replaced without documented consent to do so from CFW. Also, CFW reserves the right remove and replace any member of the project team for convenience or unsatisfactory performance as determined by the City. 16.2 City of Fort Worth will provide liaison Project Manager who will function as the single point of contact for this project. Additional CFW staff participants from the City Secretary's Office and the employees identified as interface points in the cross functional business processes Referenced in Appendix B herein; will be performing operational roles and will have no authority to negotiate or change the scope of this agreement. L"��c�lut:it�ns Form Version 3.0 dated 07.07.04 Page 14 of 51 s��-�s��. EIMS Pilot Project Statement of Work 17.0 Pricing 17.1 Pilot Project Pricing 17.2 Project Management Services - Training Services Grand Total Pilot Software Pricing $184,403.00 $12,213.00 $196,616.00 For the purposes of the pilot, Tower Software will provide the software at no charge to the City of Fort Worth. This will be a full licensed copy of Tower Software. These licenses will expire at the end of the 130 day pilot period. TRIM Context 6 including _the 48 $59,792 '$59,792 $ $ following options - ICE; Content - Indexing; Workflow; Annotate/Redact; **End of option list *" Document Revision History The following table describes the document's modification history for tracking purposes. Only significant changes are shown. The version number is incremented by whole numbers following major changes. 1.0 10/26/07 Statement of Work Creation Gary Goforth 2.0 11/14/07 Peer Review for Submission to IT Finance Cheryl Harris 3.0 12/17/07 PMO Review Dan Allen 4.0 ( 03/20/08 ITS Senior Management Review �.� Form Version 3.0 dated 07.07.04 Pa e 15 of 51 �sc�llut�ar�s EIMS Pilot Project Statement of Work Appendix A: Project Change Control Procedure Instructions: Purpose The purpose of this Project Change Management Plan is to: ® Ensure that all changes to the project are reviewed and approved in advance • All changes are coordinated across the entire project. • All stakeholders are notified of approved changes to the project. All Project Change Requests (CR) must be submitted in written form using the Project Change Request Form. The project team should keep a log of all Change Requests Goals The goals of this Project Change Management Plan are to: o Give due consideration to all requests for change • Identify define, evaluate, approve, and track changes through to completion • Modify Project Plans to reflect the impact of the changes requested • Bring the appropriate parties (depending on the nature of the requested change) into the discussion • Negotiate changes and communicate them to all affected parties. ® Review and decide outcome of requested changes Responsibilities CFW Project Manager &Project Team ;Developing the Project Change Management Plan Tower Software Project Manager i Facilitating or initiating the change management process. Designated member of the Project Team Maintaining a log of all Project Change Requests CFW Project Manager :Conducting reviews of all change management activities with senior management on a periodic basis Ensuring that adequate resources and funding are The Executive Committee and/or I available to support execution of the Project Change Sponsor :Management Plan Ensuring that the Project Change Management Plan is implemented �►;S+c�lutions Form Version 3.0 dated 07.07.04 Page 16 of 51 sc�a� �s,a.� �.��.� EIMS Pilot Project Statement of Work PROJECT CHANGE REQUEST FORM Pro'ect Name: ............................................................................................................................................................................................................................................. Prepared by: ............................................................................................................................................................................................................................................. Date MM/DD/YYYY ............................................................................................................................................................................................................................................. Chan e No. from CR Lo -. Fill in with appropriate information or place an `X"next to those that apply: Area of Change: Scope [ ] Schedule [ ] Bud et Qualit Is this Change the result of a Risk Management Action? No [ ] Yes [ ) Risk No: Proposed Change Description: Provide information below concerning the requested change. ............................................................................................................................................................................................................................................................................................................................................................. Description: ............................................................................................................................................................................................................................................................................................................................................................. Justification: Impact of Not Implementing Proposed Change: ............................................................................................................................................................................................................................................................................................................................................................ Alternatives: Baselines Affected: Configuration Items Affected e. roduct s ecifications Cost /Schedule Impact Analysis Required? (Check Yes [ ] No [ ] one) Impact on Cost: Impact on Schedule: Impact on Resources: Risk associated with implementing the change: Risk associated with not implementing the change: +��+prluti�rts Form Version 3.0 dated 07.07.04 Page 17 of 51 s�,,,,�fs,,., r�n„�,$ EIMS Pilot Project Statement of Work Final Review Results: Review Date: (MM/DD/YYY1� Priorit : Check one Hi h Medium Low The signatures above indicate an understanding of the purpose and content of this document by those signing it. By signing this document, they agree to this as the formal Project Change Request Form. Sc�lutl+r�r�s Form Version 3.0 dated 07.07.04 Page 18 of 51 s�����n,a%mtzc.�s EIMS Pilot Project Statement of Work Appendix B: CFW City Secretary Office Business Process Maps Of the six business processes which are the focus of this pilot project, the following data and corresponding process map are provided as a minimally acceptable model for the process discovery and documentation to be provided by Tower Software. This data set covers the Certification of Alcohol Beverage Permit process. In this document all text within < brackets > and in Template Italics will be deleted and replaced with project specific information to complete the document EIMS - CSO Requirements <IT Online Order #> Business Requirements Matrix Cheryl Harris Certification of Alcohol Beverage Permits S1 I I Certification -The City Secretary, Asst City Sec, or Asst. to the City Sec are authorized to sign this document. To provide for timely processing, staff may sign on behalf of the Supervisory staff. S2 ( ( Certification -The system should be able to stamp the official seal over the authorized signature. G1 I I TABC -This form is handled simultaneously by Police (PD), Development, and City Secretary's Office (CSO). The Original currently goes to Development. The Applicant currently takes a copy to PD and CSO. G2 I I TABC -Only one department should scan this document and make it available to the others for processing. 817-392-8239 Form Version 3.0 dated 07.07.04 Pa e 19 Of 51 ��� ut��IC� g Simm#�ir. Fhtair�s�+ R�rauxc�s EIMS Pilot Project Statement of Work This format describes the documents (Forms) involved, their process repository and renewal frequency. pSoluti+�►rrs Form Version 3.0 dated 07.07.04 Page 20 of 51 ,,a � a,��s EIMS Pilot Project Statement of Work Gary L. Goforth PMP, PMM 817-392-2399 Revenue Tarrant City Development Police Applicant Office County Secretary Department Department o COO LD, Cn m RI a?. ? 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N O (D to � � 3 � � c � 9� ..... �p m CA .n m m N ....--- _... _..._. _ _..... a Q 0 � � T N fl o��=._ ���� y � w� � C � � _ _ �r � 'G L N ��\./1 M�,Rt! i� Form Version 3.0 dated 07.07.04 Page 33 of 51 s� �,� r,����.��� EIMS Pilot Project Statement of Work Appendix C: Tower Software's Proposed Solution for CFW Core Requirements Tower Software Responses to "CFW Core Requirements" which will be demonstrated during this pilot project. 3.'I Records and Information Retention 3.1.1 Provide the capability to automatically track and maintain records and information in accordance with approved retention schedules legislated by the state of Texas or other retention requirements. Records management and the ability to track and maintain records through retention schedules is a powerful strength of TRIM Context. TRIM Context allows for retention periods to be allocated to records based on their Classification or Record Category. TRIM Context's disposition is based on the following four concepts. Disposition of a document can be automatically set at the time of capture, based upon the type of record being captured, or based on a trigger, like the date the document was made inactive. It can also be manually set, either at the time of capture or at a later date, either through search or through regular Retention reviews. Concept 1 -Retention Schedules A Retention Schedule is a document prescribing the disposal treatment for classes of recurring records, as agreed upon by the creating organization, department or as laid down by Legislation. (For example, you might wish to destroy a common Administration file six years after the last time the file was used. You can prescribe that this should be done to an Administration file by attaching a Retention Schedule to the file, which outlines the disposal instruction: Destroy Six Years after Last Action. Within TRIM Context, the Retention Schedule sets off a searchable event date so that you can find out that files are due to be destroyed. You can then locate these old files and destroy them.) Retention Schedules are allocated to records so that records are disposed or retained according to their precedent, historical, legal etc. value. Each Retention Schedule reflects an approved standard of dealing with the eventual disposal of different records. You may make use of published Retention Schedules, or create your own. Concept 2 -Disposition/Disposal The Retention Schedules dictate which disposal tasks have to take place for a certain record. Performing a disposal task on a record will change the Archiving Condition of the Record. TRIM Context calls the archiving condition that applies to a record the Current Disposition. There are two ways to dispose a record, either it will be Destroyed, or it will be Archived (Local, Interim and Permanent). From the creation to its final resting -place, a record may be stored in various Locations like the Active Storage Area, a Local Archive or the Archive of a Storage Provider. All these stages in a record's life can be expressed in TRIM Context, using the Current Disposition Field. So�llutit�►r�s Form Version 3.0 dated 07.07.04 Page 34 of 51 s��sx os�.� The following explains the Disposition Values available: Active -These records are in daily use and are either in circulation or kept in the Active Storage Area like a filing cabinet Inactive -These records are to be disposed of from the active area. A lot of Retention Schedules are based on events like "5 Years after Termination of Employment". The occurrence of these events can be expressed by making the record inactive, which will set off the trigger for the appropriate disposal action to be taken. Archived (Local) -These records are kept in the organization, but in a Local Archive Area, rather than the Active Storage Area. Archived (Interim) -These records have been moved from the organization to a Storage Provider who will hold them pending further disposal action. Archived (Permanent) -These records are to be kept forever and have been passed into the custody of a Storage Provider. This may be a public or private sector archive. An Archived (Permanent) disposition is regarded as more severe than a Destroyed disposition. Destroyed -These records reached the end of their life and are shredded, burned or destroyed in any other fashion. Concept 3 -Severity TRIM Context refers to Severity and Severity Testing when comparing one Retention Schedule to another. This applies when records are contained within other records (for example, a Document in a File or a File in a Box). It would appear to most of us that destroying something is an action much more severe than keeping it. In archiving parlance, this is not the case. A Retention Schedule that prescribes Permanent Archiving is more severe than one that prescribes Destruction. A Retention Schedule that tells us to perform an archiving event later is more severe than the one that tells us to perform the same event earlier. It could be disastrous if you enclosed an important document that has to be kept forever in a file that is due to be destroyed next year. TRIM Context's severity testing takes care to prevent this from occurring (when a record is Contained) by prompting you to review the attached Schedules. Concept 4. Retention Review Most commonly, archiving procedures are applied to a certain level in the hierarchy of records. This means applying Retention Schedules to the Record Types of this level (for example, an Organization might register Documents, Files and Archive Boxes). The Documents are the records that contain the vital information. The Files are a logical grouping of various documents. The Boxes are a vehicle to store and transfer files. The information contained in the documents really determines how long the document has to be kept. Effectively, records managers sentence (select an appropriate Retention Schedule for) each document separately. As it is common practice to group documents together in files or folders, the most severe Retention Schedule of any document is typically applied to the whole file or folder. Should an organization decide to apply Retention Schedules to documents, as well as to files, TRIM Context will use severity checking to ensure that a file cannot have a ��IIt.1'1f:i�f'i5 Form Version 3.0 dated 07.07.04 Page 35 of 51 s�x�,�� x�z„��� Retention Schedule that is less severe than that of any document contained within the file. If the Retention severity does not match for a document and container, then you will be prompted to review the schedules attached to each to determine which should be applied. 3.1.2 Ability to ensure the security and integrity of electronic records until the expiration of their retention periods, minimizing risk of unauthorized or accidental alteration or erasure of information TRIM Context provides an extremely advanced set of security controls. The types of security controls provided in TRIM Context are comprehensive and includes the following functions: Functional Security - This level of security determines what activities a user can perform once connected. This is determined by the login -user group and function options chosen when the user was identified in TRIM Context. Level Security -Probably the most widely understood type of security. A hierarchical set of Security Levels is created, which are then applied to users, records, etc. A user attempting to work with an item must meet or exceed the security level applied to the item in question. Up to 99 security levels can be defined. Caveat Security -Caveats are a binary control - a `yes' or `no' approach to access. To access an item with a given Caveat, or set of Caveats, a user also must have the Caveat or a set of Caveats that includes all Caveats attached to the item. TRIM' Context's Caveat concept is quite broad, and can be used in place of other protective marking system with the same desired behavior. Up to 45 security caveats can be defined. Multiple Caveats can be assigned to each item and each user or group. Only a user that has all the Caveats of an item has access to this item. Access Control Security - As opposed to the aforementioned security features where a Security Level or Caveat is used as a means of determining access to items. Access Control uses a direct link between the item and the location table. When Access Control is specified for an item, a list of users that are allowed access is created. If a user is not on this list, no access is given. Access Control can be applied not only to records, but also to items in TRIM Context's control tables, such as Record Types, Classifications, and Locations, etc. Groups - A Group is a useful way of identifying the security and access rights of users. If a user belongs to a Group they are granted access to the same resources as have been granted to the Group. Records -Documents, folders, and boxes are all examples of records. "Record" is a generic term used by TRIM Context for the primary objects (documents, files folders, �jSc�iuti�t�s Form Version 3.0 dated 07.07.04 Page 36 Of 51 s#rtl�itSi,La,eesx r��,c�� EIMS Pilot Project Statement of Work Gary L. Goforth PMP, PRAM 817-392-2399 attachments, archive boxes, etc.) it manages. Security profiles can be assigned to records. Classifications - Also known as Record or He Plan. Security can be set for a record based on its Classification. Locations - A Location can be a person either internal to the organization or external, an organizational unit, a position, or a group. Security profiles can be assigned for Locations. Location Membership Structure - Locations can be members of other Locations. Access Controls can be inherited from the parent Location. Any or all of these security controls can be applied in the appropriate combination to ensure a security model that is extremely powerful and consistent with the requirements of the organization. Access Control and Security are one of TRIM Context's key strengths. The TRIM Context access control and security matrix can be easily configured against the File Classification plan, so that as an electronic document or physical record is captured, the new record inherits the access control and security profile from the file classification pIan, which is maintained by the Records Administrator. All of TRIM Context's modules adhere to this access control and security plan, and, therefore, a conflict cannot arise between modules. Ability for regular recopying, reformatting, and other necessary maintenance to ensure the retention and usability of electronic records until the expiration of their retention periods All records entered into TRIM are preserved in the original format and file type. As long as a user has the proper security authorizations to access an electronic record, they can access the record for regular recopying, reformatting or any other maintenance to give full usability of the record through the end of the record's retention period. 3.2 Records and Information Disposition 3.21 Provide for regular removal of electronic records and information from the system in accordance with retention requirements and in accordance with City procedures for records and information disposition. The Archiving component of TRIM Context allows an organization to control the aging of its records so that it can conduct an orderly disposal of unwanted records, or archive its important records for future reference. This is carried out through the application to records of disposal and retention schedules. A schedule for disposal or retention is an instrument that allows the legal destruction, long or short-term retention, transfer or alteration of an agency's records. Disposal can mean alteration, transfer of custody or transfer of ownership, as well as destruction of agency records. In relation to government records a disposal authority is a legal instrument to give agencies and organizations approval to dispose of records. A �S+�luti�rts Form Version 3.0 dated 07.07.04 Page 37 of 51 s�F�,�� nzl�� retention schedule can be assigned to a record. Triggers defined by the schedule enable TRIM to calculate the transfer and destruction dates. A single retention schedule in TRIM can contain multiple date triggers. For example "transfer to an interim archive 5 years after closure and then destroy 10 years after closure" Archival action in TRIM can take place at different record levels. It is possible to assign retention schedules to documents as well as to folders/containers/ dossiers. A simple way of ensuring that all parts of a folder/container/dossier are kept is to attach the same retention schedule to each one of them. When records are placed into a container, TRIM will check all the retention schedules for their severity and will flag the container for review if there are any documents in the container with a more severe schedule. The person with archival responsibilities can manually check the contents of the container and decide what to do with the records. Note that retention schedules apply to the archival process of destruction. Deletion is a process that removes all evidence that a record ever existed and is only available to the administrator. Deletion of a series record will be prevented even for the administrator if there are any records that are linked to the series. Level Retention Scheduling Most commonly, archiving procedures are applied to a certain level in the hierarchy of records. This means applying Retention Schedules to the Record Types of this level (for example, an Organization might register Documents, Files and Archive Boxes). • The Documents are the records that contain the vital information • The Files are a logical grouping of various documents • The Boxes are a vehicle to store and transfer files. The information contained in the documents really determines how long the document has to be kept. Effectively, records managers sentence (select an appropriate Retention Schedule for) each document separately. As it is common practice to group documents together in files or folders, the most severe Retention Schedule of any document is typically applied to the whole file or folder. Should an organization decide to apply Retention Schedules to documents, as well as to files, TRIM Context will use severity checking to ensure that a file cannot have a Retention Schedule that is less severe than that of any document contained within the file. If the Retention severity does not match for a document and container, then you will be prompted to review the schedules attached to each so as to determine which should be applied. The following explains the Disposition Values available: • ACTIVE -These records are in daily use and are either in circulation or kept in the Active Storage Area like a filing cabinet • INACTIVE -These records are to be disposed of from the active area. A lot of Retention Schedules are based on events like "5 Years after Termination of Employment". The occurrence of these events can be expressed by making the �Sollutiar�s Form Version 3.0 dated 07.07.04 Page 38 of 51 ���;.��4 a,s�s EIMS Pilot Project Statement of Work record inactive, which will set off the trigger for the appropriate disposal action to be taken. • Archived (Local) -These records are kept in the organization, but in a Local Archive Area, rather than the Active Storage Area. • Archived (Interim) -These records have been moved from the organization to a Storage Provider who will hold them pending further disposal action. • Archived (Permanent) -These records are to be kept forever and have been passed into the custody of a Storage Provider. This may be a public or private sector archive. An Archived (Permanent) disposition is regarded as more severe than a Destroyed disposition. • Destroyed -These records reached the end of their life and are shredded, burned or destroyed in any other fashion. Holds function in TRIM Context TRIM Context has a feature whereby records may be placed on temporary retention hold. The retention hold facility prevents any modifications being made to a record. It is in effect a stop process that `freezes' a record's state. The option is available also to modify the properties of the hold and cause the Hold to not prevent any tasks to be performed on a record other than preventing archival, destruction and deletion actions. This allows organizations to ensure that evidence does not disappear, but still make use of TRIM's records management features. The changing of the metadata can be further protected using the standard Access Control mechanisms. Authorized administrators can apply this hold. Records Eligible for Disposition The archivist can perform a search by stating atransfer/disposal event (pending event) and a date range in which the event falls. TRIM will then present a list of all folder records that have a retention schedule attached with an event within this date range, i.e. all records to be destroyed within the next Month, all records to be transferred to permanent archive for the last month etc. This report may be forwarded to the relevant personnel for authorization or for decisions to be taken. It may also be browsed online or print merged to an application such as Excel or Word to generate a report. If no change is required the existing sentences can be maintained. An alternate disposal authority can be applied if necessary to extend the retention period if appropriate. This appraisal period can be extended to allow for consultation with other stakeholders. The transfer/disposal event associated with the retention policy is only implemented when an authorized user accepts that it is appropriate. Only then will the event take place. A review date may also be placed on the record. 3.2.2 Ability to track records and information series/groups for automatic notification upon expiration of retention schedule, advising information removal from the system for secondary storage or deletion/destruction. Form Version 3.0 dated 07.07.04 Page 39 Of 51 �3Sc�llut��►ns tiira.#�gc Bu.�ness Fu�sauxcf�s TRIM Context provides the ability to automatically change the state of a record to that of the assigned retention schedule such as pending destruction which means it can easily be located via the pending destruction report or the pending destruction saved search. Once located, the Records Manager can perform the appropriate action such as deletion or migration to secondary storage. 3.2.3 Ability to remove information from online storage to a secondary storage medium. TRIM Context allows for the easy transfer of information from online storage to a secondary storage medium. The system maintains all information about the records including their current location, barcode, CD ROM details, even if the records are in secondary storage. TRIM can reference physical records in secondary storage locations when the location is registered. 3.2.4 Ability to fully delete/destroy data in accordance with the City's procedures for records destruction. TRIM full allows for the deletion/destruction of data in accordance with the city's procedures and developed retention schedules. TRIM distinguishes clearly between deletion and destruction. Deletion is only available to a system administrator and will remove all metadata along with the electronic object. No trace will remain in the database. Destruction is a standard disposition process and the metadata of the record is retained (i.e. when it was destroyed, which retention schedule ruled the destruction and who performed the task in TRIM) even though the electronic object is deleted from the store. For deletion TRIM prompts the user whether they want to delete any contained records at the same time. This should remind the user to check what they actually are deleting. TRIM will not prevent a user with correct permissions from deleting a folder, even if it has contained documents. For destruction, TRIM applies its severity checking on the retention schedules of documents and the folder's retention schedule. The folder can only be destroyed if the most severe retention schedule allows it. Deletion is a process that removes all evidence that a record ever existed and is only available to users with delete permissions (specified by the TRIM Administrator). Deletion of a series record will be prevented even for the administrator if there are any records that are linked to this series. 3.2.5 Ability to remove electronic records from the system that are scheduled for destruction and disposal in a manner that ensures protection of any confidential information (Local Gov't Code, § 202.001). In accordance with the DOD 5015.2 standard TRIM Context provides the ability to not only delete electronic records but to actually overwrite them with random characters prior to deleting them thus ensuring that they can not be recovered. S�Ilutii�r�� Form Version 3.0 dated 07.07.04 Page 40 of 51 ���„ n,��s EIMS Pilot Project Statement of Work 3.3 AIIM Content Management Criteria 3.3.1 Capture —Regardless of Media Type Typical ways in which documents and other forms of information will be added to the system. Out of the box, TRIM Context provides the easiest to use toots so that critical business information assets can be quickly and easily captured for compliance and reuse. The City of Fort Worth will benefit from the tight integration TRIM provides at the desktop into the Microsoft suite of products including email, Word, PowerPoint and other applications, providing an easy to use and configurable solution enterprise wide that allows information to be saved directly into the repository. Paper based documents should be easily scanned and imported into the system using a decentralized scanning strategy. Yes. TRIM Context solution provides numerous ways to capture categorize and manage scanned information. These include modules in the product such as TRIMScan and Trapeze Capture for TRIM as well as integration with industry standard products such Kofax Ascent capture. These solutions give the customer the flexibility to provide support for a range of scanning options covering low end desktop scanning up to high end production scanning and capture. All of the scanning options can be configured and used in a decentralized scanning strategy. Files already in electronic format must be easily imported into the system. TRIM Context provides standard functionality that supports the import (conversion) of large amounts of metadata and any associated electronic objects) into the system through its TRIMPort functionality. This functionality ensures not only that Context's business and security models are adhered to and applied to the metadata and electronic objects, but that the metadata is passed through the indexing engine during conversion, ensuring search ability of those documents soon after being placed into the system. 3.3.2 Manage -Workflow and Collaboration EIMS must provide a collaborative workspace for document development and sharing. Yes. TRIM Context provides as easy to use collaborative workspace for users to easily be able to work and share documents. Complete with security, audit trails, workflow, revisions and versioning users can quickly navigate to each others documents to collaborate. Electronic Information Management software must include workflow modeling based on process layering. An example of workflow modeling may include recognition of the document originator, contributor(s), reviewers) and approver(s), while enabling electronic signatures. TRIM Workflow allows a document or record to be associated with one or more workflows, and a workflow can involve any number of documents or records. Workflows can also be created and used without ever having records attached to them. TRIM Context has a fully graphical workflow manager and viewer, enabling �S�rlluti+�ans Form Version 3.0 dated 07.07.04 Page 41 Of 51 s��;��,�� ��„�s EIMS Pilot Project Statement of Work visualization of a complete process. This makes designing workflow procedures more intuitive as well as making it easier to follow and understand the workflow processes. TRIM Context Workflow has: 1. Support for multiple relationships between workflow and associated documents. 2. Supports complex workflow structures, including branching/parallel workflow, looping and decision points. 3. Resource management, enabling delegation, supervision, automatic allocation and monitoring. TRIM Context'sT"" resource management tools make it easy for mangers and supervisors to manage workflow for themselves and the people for whom they are responsible. 4. Automated and programmed activities across line -of -business and other applications. Relationships between workflow and records can be at the workflow level or the individual activity level. There are two basic workflow/record relationship types. These are Incoming Document and Outgoing Document. An Incoming Document on an activity is a pointer to a document that was either a primary input document on the Workflow or a document created by previous activities. An Outgoing Document is a pointer to a document that will be created during the processing of an activity. The Workflow model in Context is a shell that contains Activities. A Workflow can contain one or more Activities. The flow of a Workflow is determined by Start Conditions on Activities. An Activity cannot start until the criteria of its start conditions are met. An activity can have multiple start conditions and these can be set up as "and" or "or" conditions. Meaning that an activity can be set up so that it cannot be started until all its start conditions are met (And Start Conditions) or only one or some of its start conditions are met (Or Start Conditions). Activities can be started based upon start conditions that are combined with an 'OR'. If any one of such a set of start conditions is met the activity starts. TRIM Context now shows which start condition has caused it to start. Parallel Activities -allows two or more Activities to be "in progress" at the same time. By introducing parallel (or concurrent) Activities, a critical path concept is also introduced. Conditional Routing — at certain stages of the workflow, circumstances specific to a particular work assignment may arise which render a subsequent Activity as unnecessary. In order to support the specification of Workflow to support such situations, any Activity may have a condition attached to it. Along with the normal rules of execution (i.e. preceding Activities must be completed), an Activity will not be deemed to be "in progress" until that condition is met. In fact, this conditional execution facility allows you to determine that an activity may be completely skipped. Sequential Routing —This is where no Conditions have been set to an Activity, hence making it a single step process with the one outcome. Decision Looping —Decision branching can be used not only to determine which path a Workflow process will continue down but also to "Roll Back" the Workflow to a r�Soluti+�ns Form Version 3.0 dated 07.07.04 Page 42 of 51 ;;��;, �„ �,��5 previously completed Activity. Take for example a simple draft loop; in this example the first activity might be to create a draft of a document the second activity might be to approve the draft. If the draft is not approved the Workflow will need to be rolled back to the first Activity for the assignee to do more work on the draft, upon completion the draft will again need to be approved. Like decision branching, a result can be selected on an Activity when it is completed. A special type of result can be set up in an Activity that when selected results in the Workflow being rolled back to a particular Activity. All Activities from the just completed activity back to and including the specified 'roll back to Activity' are set to an incomplete state. Notes are added to all Activities that are rolled back indicating which activity and user caused this. Additional notes detailing the reason for the roll back are added to the specified `roll back to Activity' and the Activity causing the roll back. Uncompleted 'started' Activities wilt be skipped if successive activities (Decision Branch) using 'OR' Start conditions are completed. Graphical View —TRIM Workflow introduces a graphical view of Workflow, where Activities are represented by notes in a window, and dependencies, conditions and parallel situations are reflected by connecting lines. This flowchart type pictorial view can be customized to highlight overdue items, critical paths and other relevant attributes that need attention. TRIM Workflow allows staff (or more generic "locations") to be assigned activities. In addition, each activity can have a supervisor, who has privileges to reassign or complete Activities on behalf of the assignee. Notification of Workflows due to start or Workflows that have become overdue can be automatically emailed to the assignee and/or supervisor of the relevant activity. Automated notification to designated people of progress TRIM Workflow supports the automatic generation of the following email reminders: - An action is ready to commence, or has been reassigned; - An action becomes overdue; -When an activity is completed; - Email next activities' assignee; - Email next activated supervisor. These emails contain an attachment called a TRIM Reference that will launch the (�S+c�luti+ar�s Form Version 3.0 dated 07.07.04 Page 43 of 51 s��;; �,x �,«s EIMS Pilot Project Statement of Work workflow process when it is double clicked. Multiple revisions of a document must be tracked while providing the ability to rollback to previous versions as required. Yes. TRIM Context provides the user with access to extract electronic documents from the system. On extracting the document, the document may be checked out, a choice that prevents other users from making changes to the document until it is returned. When returning the document the user can choose one of several options: Make a New Revision: This option means that a document being returned will be added to the record, the older revision being saved as a "previous revision" Replace Current Revision: This option means that the document being returned will completely replace the one that was in TRIM. Note: this option is set by the System Administrator Discard any Modifications Made: This option means that a new revision is not being returned (usually because there were no modifications). Keep Item Checked out: Choose this option if you are returning a document, yet still don't want others to edit it. The above options are determined by the TRIM Administrator when setting up Record Types. They may choose to set some record types to only allow revisions and others where the current revision can be overwritten. The user may also "promote a revision". Promoting a previous revision means that you can make the revision of a document the latest and current revision. Check in -check out feature is required to ensure consistency of documents and prevent overwrites from occurring. Yes, the TRIM application, using check -in, check-out facilities, prevents multiple users editing the same revisable document version simultaneously, thus maintaining document integrity. Document security and access controls are enforced at the document level providing optimum security and access rights and privileges. Once electronic content has been marked as final, no changes will be made to that content; authorized users will be prompted to either create a new document or a new version. 3.3.3. Store and Preserve -Repository and Lifecycle Management An electronic information management "system" must provide long-term, secure and reliable storage. In addition, it must provide the ability to carefully limit access of documents to specific users or groups. Yes. TRIM Context's Data tier makes use of industry standard, non proprietary storage platforms thus allowing information to be managed on long-term, secure and reliable �S+�luti�r�s Form Version 3.0 dated 07.07.04 Page 44 of 51 s� �,t o�=�$ EIMS Pilot Project Statement of Work storage media. TRIM Context provides security by group, roles and users as well as administration capabilities for each. The software security provided in TRIM Context can be described in the following concepts: • Security levels • Access Control • Caveats • Permissions • Authentication/Abstraction Record Security TRIM Context's security levels are the simplest form of security to understand. A document can be classified as Secret, Top Secret, and unclassified for example. This way an organization can ensure that only people with the appropriate security level can have access to a document. TRIM Context's Access Control relates to the ability to perform actions on a document. These access controls include the ability to view and edit the metadata, view and edit the document, ability to modify the access controls. These ensure that a user must have the appropriate access controls to perform the action or even know that a document exists. TRIM Context's Caveats allow for an even further defined access to a document. A caveat is a further clarification of a security level, for example, a document may be unclassified from a security perspective, but be commercial in confidence, and with this caveat only those users with the caveat and the other requirements will be able to have access to this document. Every user in TRIM Context has permissions. These permissions denote the functions that a user can perform. In addition to their security level, caveats and the access controls on the objects, TRIM Context can determine whether or not a user can perform a particular function on a particular object in the repository. In order for all of the previous security features to work, TRIM Context must be able to authenticate the user logging into the system. TRIM Context utilizes the DCOM layer of Microsoft Windows to authenticate users via any LDAP directory. Users accessing the system are then subject to the rules of the TRIM Context security matrix that includes Security level, caveats, access controls and permissions. At the server level there is an abstraction of the Software security. TRIM Context users do not require any access to any of the server platform. That includes the TRIM Context tier and Data tier. Users only require access to connect to a Workgroup server, which does not store any critical data. All access to a workgroup server is audited, and secured in the TRIM Context environment. This model is a part of the TRIM Context platform that meets the DoD 50515-2 STD certification for managing classified documents. S+cslutians Form Version 3.0 dated 07.07.04 Page 45 of 51 �{�,A� ��,r�$ The software must accommodate; - changes to documents as they proceed through their lifecycle - increasing volume of documents Yes. TRIM Context allows documents to be modified through their lifecycle until they are marked final at which time they are no longer editable but are still maintained as part of the repository. TRIM Context's scalability has been well proven in the marketplace. We have many customers with implementations around the world who have grown with TRIM over the years, and managed millions of records and documents. We have the world's largest ERM implementation, in the Navy Marine Corps Intranet (NMCI), with a total of 360,000 seats deployed to desktops across the continental USA. We have organizations that have deployed enterprise wide and gone virtually paperless. TRIM Context's architecture supports 64 bit databases, in turn supporting approximately 9 billion documents within a single repository. An estimate to the number of records that can be created is approximately 140 million records for everyone on the planet Earth. The amount of throughput on a system like this is purely determined by the volume of data that can be transferred from the user to the storage platform. TRIM Context's Middle tier, consists of the Synchronization service, Workgroup service and Event Processor. The Workgroup service is where the users connect and is not computational challenging. Hence the messages per hour can be determined by the network throughput available to the hardware, divided by the average message size or average record size. TRIM's multi -tier architecture adds additional options to distribute processing activity, reduce network traffic, reduce the activity on the database server and generally improve application performance. The connection to the primary database is managed through a Workgroup Server. All users, regardless of their geographic location access the central databases via 'workgroup' servers. As additional users are added to a workgroup it is practical to add additional servers to manage the extra load. The workgroup servers use a number of technologies (database and object caching, databases connection pooling etc.) to minimize network traffic/latency improving user response times. Users can access multiple individual datasets concurrently if required. This allows a single search from any point on the network. Electronic objects stored in the system will have a metadata profile added to the primary database. The objects themselves will be added to an electronic store. Electronic stores can be located on the database server, or can be distributed throughout the network (close to users that need access to the items). To reduce network traffic it is possible to replicate database tables, replicate content indexes and cache electronic objects to the workgroup server. The use of replication and object caching results in users accessing information stored locally and reduces Sc�►lute�r�� Form Version 3.0 dated 07.07.04 Page 46 of 51 �;� �,A ��,��� the amount of traffic across the WAN. The Master/Synchronization server ensures that replicated and cached objects are refreshed when necessary. The use of multiple Event Services further distributes the processing load. Audit and billing logs, calculation of retention events, word indexing are some of the activities that can be processed in the background as an Event Service. It is possible to process events on a Workgroup Server. Alternatively, dedicated event servers can be configured to process extremely high transaction volumes. 3.3.4 Deliver • To the customer, timely and in the required format. Yes. TRIM Context allows the end user to quickly access content stored in the repository and delivers it in the required format based on the action performed by the user. L�Solu,�i+�ns Form Version 3.0 dated 07.07.04 Page 47 of 51 ���G �n,��.t Appendix D: CFW Expectations of lower Software: CFW expects TOWER Software to exercise their proposed technical solution described below as deliverable of the Pilot Project and as an overall test of this planned proof of concept. 1.0 TOWER Software's Proposed Technical Solution 1.1 -TRIM Context Software Components: • Electronic Document and Records Management (electronic and physical) • Email Management • Action Tracking and TRIM Workflow /collaboration • TRIM Context Scan (low volume imaging) and TRIM Context Trapeze Capture (high volume imaging) • TRIM Context Web Services Connectivity Tool Kit (CTK) to support a Services Oriented Architecture (SOA) • TRIM Context SDK (Fully published Software development Kit) • TRIM Content Indexing (text search capability or any document) • TRIM Context Administrative Client /TRIM Desktop Client /TRIM Web interface (Ice) Technical Notation: It is important to note that Tower Software's "TRIM Context" is a true Commercial off the Shelf (COTS) product no development is required during implementation. This lowers the risk and reduces the time and resources required for implementation. Implementation involves ensuring that the City of Fort Worth's business needs are understood and configured in TRIM Context through the checking of boxes, the software is implemented and users trained. 1.2 Project Management Solution TOWER Software's proposed implementation plan is based on the TOWER Software Delivery Methodology (TSDM). The Project Management framework has been developed specifically as a "best -practice" delivery solution for the implementation of Enterprise Information Management Systems (EDRMS). It has been formulated from principles acknowledged by project management sources, including PMBOK and PRINCE2, and has been refined and enhanced based on our over 20 years of experience in deploying EIMS solutions. Its primary aim is to deliver solutions to customers in a repeatable, efficient, cost effective and timely manner with a minimum of risk. �ijSt�luti+�r�s Form Version 3.0 dated 07.07.04 Page 48 of 51 s��;� x�,� x�Q,��,.� EIMS Pilot Project Statement of Work 1.3 Project Planning Phase The Project Planning Phase serves as the initiation of the project, the development of the project, training, and rollout plans. It also provides status reporting and project monitoring throughout the entire project. The engagement begins with a "Project Kick-off Meeting". The objective of this Phase is to ensure that: • All objectives and requirements have been clearly identified and established • All the appropriate authorities exist for delivering the project in both the customer and supplier organizations. • Refine the initial project plan which will serve as a living document throughout the entire project • Identify project expectations, success factors or drivers • Identify and develop all reporting tools such as issues logs and status reports • Identify the metrics that will be collected and analyzed throughout the project life cycle • Develop and maintain the appropriate planning documents including but not limited to the Project Schedule, the Communications Management Plan, and the Change Management plan. Key to the success of any project is continual and consistent communication between the vendor and the customer. The proposed project management framework provides an organization structure which ensures constant and regular communication throughout the life of the project. Progress reporting is done during all project phases. Status meetings are held on a regular basis. We recommend at a minimum these meetings be held bi-weekly. A status report and an updated project plan are prepared by the TOWER Project Manager prior to the meeting. The status report will include, amongst other information, the following: • Tasks completed during the period • Tasks to be completed before the next Status Meeting • Budget status • Schedule status • Project issues and resolution plans 1.3.1 Key deliverables for the Project Planning Phase are: • Integrated Project Plan including - Project Schedule - Communication Management Plan - Change Management Plan - Validation Test Plan - Project Exit Plan Soluti�r�s Form Version 3.0 dated 07.07.04 Page 49 of 51 s,�fx, r��„�� - Pilot Project Summary Document • Project Kick-off Meeting 1.4 Analysis and Design The purpose of this Phase is to fully engage with the customer to understand the breadth of the customer's requirements and to develop the configuration or design documents that will serve as a basis for the implementation of the solution. This includes an analysis from both the technical perspective and the business perspective. From a technical perspective, an assessment of the current infrastructure is conducted and a Technical Architecture Report is provided that details the recommended configuration for the deployment of the TRIM solution. From a business perspective, an initial business analysis is conducted to understand the "As Is" current business processes and how documents are controlled within those processes. Then basic TRIM training is provided for the core project team to acquaint the customer with the application and so that the "language" of TRIM will be clarified and terms can be defined and understood between the customer and TRIM. Immediately following the training, a workshop is held to step through the components of the TRIM configuration and determine the required fields based on the business processes needed to be addressed. Based on the workshop discussions, a TRIM Configuration Report is generated with the "To Be" processes defined making sure that all gaps have been addressed, analyzed and recommendations documented. Once the report is approved the TRIM application is stood up with the dataset configured according to the Configuration Report. 1.4.1 Key deliverables for the Analysis and Design Phase are: • Technical Architecture Report based on the CFW Environment • Training Content &Delivery (Power User, Application Administration, and End User) • TRIM Configuration Workshop o TRIM Configuration Report including Ending Business Process Flow Charts 1.5 Project Deployment Phase This phase delivers the detailed products, as defined in the associated plans that have been authorized in both the Project Planning and the Analysis and Design Phase. The purpose of the Deployment Phase is to install, configure, and test the products required to enable the full solution to be brought into operational use. The Project Execution Phase has a number of steps: • TRIM Installation and Configuration -the software products are installed and configured according to the configuration report • Validation of Configuration -exit criteria where initial training/knowledge transfer is conducted to project team members to verify the products in totality as meeting the "Fitness of Purpose". �►S+o►lulri+orn� Form Version 3.0 dated 07.07.04 Page 50 of 51 s��;=m� �n,f�s • Training —where end user personnel are trained in the use of the system. At the end of this stage, the system is handed over for operational use, and is considered to have gone live. • Operational Support — On -site support and floor walking to insure operational support and customer acceptance. 1.6 Project Closure Phase When the Project Deployment Phase is completed, and upon verification that all deliverables and products have been delivered and approved by the customer, the Project Closure Phase allows for successful closure on the project. This Phase is responsible for ensuring that all necessary products are handed over to operational, support and maintenance areas for ongoing operation. This stage also undertakes to formally recommend any follow-on actions, and reports on overall performance. 1.6.1 Key deliverables for the Project Deployment Phase are: • Lessons Learned Report • Turnover to City of Fort Worth Help Desk • Final Acceptance of Exit Criteria Tower Software, Inc. and City of Fort Worth will obtain all signature approvals and complete contractual services agreements before the start of services. Solutii+ar� Form Version 3.0 dated 07.07.04 Page 51 of 51 sue, ,� r�a,��.$ Exhibit B = CONTRACT MILESTONES WITH PAYMENT SCHEDULE The pilot project deliverable events set forth below are required to be performed sequentially, and only in the order as listed. No deliverable shall be accepted and paid for, unless and until all designated predecessor events have been successfully completed. Written official notice from the City of Fort Worth to Tower Software advising of the successful completion and acceptance of a pilot project deliverable shall establish the completion date for that event and shall constitute permission for Tower Software to invoice for payment. Refer to Section 13 of Exhibit A - Statement of Work for the planned submittal dates for the deliverables identified below. Pilot Project Deliverable Milestones and Payment Schedule: 1. Tower Software Project Management Plan Approved $39,323.20 2. Tower Software Technical Architecture Report Approved $399323.20 3. Tower Software TRIM Configuration Report Approved $3%323.20 4. Successfully achieving criteria set forth in PSA Exhibit E $39,323.20 5. Tower Software and CFW Lessons Learned Report Delivered $399323.20 City of Fort Worth Professional Services Agreement =Exhibit C LIMITED ACCESS AGREEMENT This LIMITED ACCESS AGREEMENT ("Agreement") is made and entered into by and between the CITY OF FORT WORTH ("City"), a home rule municipal corporation organized under the laws of the State of Texas and situated in portions of Tarrant, Denton and Wise Counties, Texas, and (Tower Software Incorporated). ("Contractor"). The following statements are true and correct and form the basis of this Agreement: WHEREAS: A. The City owns and operates a file server computer system and network (collectively the "Network"). B. Contractor wishes to access the City's network. C. The Contractor will provide software and services to fulfill .:requirements indentified'in the ELMS pilot project Statement Of Work attached hereto. The City is willing to grant Contractor access to the Network, subject to the terms and conditions set forth in this Agreement and in the City's standard outside connections policy, ("Extranet Standard") attached as Exhibit "A" and hereby incorporated by reference and made a part of this Agreement for all purposes herein. NOW, THEREFORE, the City and Contractor hereby agree as follows: 1. GRANT OF LIMITED ACCESS. Contractor is hereby granted a limited. right of access to the City's Network for the sole City will provide Contractor with a password and access number or numbers as necessary. 2. NETWORK RESTRICTIONS. 2.1. Contractor may not share any passwords or access number or numbers provided by the City except with Contractor's officers, agents, servants or employees who work directly with this project. 2.2. Contractor acknowledges, agrees and hereby gives its authorization to the City to monitor Contractor's use of the City's Network in order to ensure Contractor's compliance with this Agreement. 2.3. A breach by Contractor, its officers, agents, servants or employees, of this Agreement and any other written instructions or guidelines that the City provides to Contractor pursuant to this Agreement shall be grounds for the City immediately to deny Contractor access to the Network and Contractor's Data in addition to any other remedies that the City may have under this Agreement or at law or in equity. 2.4. The City may terminate this Agreement at any time and for any reason. 3. LIABILITY AND INDEMNIFICATION. CONTRACTOR SHALL BE LIABLE AND RESPONSIBLE FOR ALL DAMAGES THAT THE CITY MAY INCUR DIRECTLY ON ACCOUNT OF ANY BREACH OF THIS AGREEMENT BY CONTRACTOR, ITS OFFICERS, AGENTS, SERVANTS OR EMPLOYEES. THE CITY, ITS OFFICERS, AGENTS, SERVANTS AND EMPLOYEES, SHALL NOT BE LIABLE FOR ANY DAMAGES THAT CONTRACTOR MAY INCUR AS A RESULT OF THE CITY'S RESTRICTIONS TO OR DENIAL OF ACCESS TO CONTRACTOR'S DATA ON ACCOUNT OF ANY BREACH OF THIS AGREEMENT BY CONTRACTOR, ITS OFFICERS, AGENTS, SERVANTS OR EMPLOYEES, OR FOR ANY REASONABLE SECURITY MEASURES TAKEN BY THE CITY. IN ADDITION, CONTRACTOR SHALL BE LIABLE AND RESPONSIBLE FOR ANY AND ALL PROPERTY LOSS, PROPERTY DAMAGE AND/OR PERSONAL INJURY, INCLUDING DEATH, AND ALL CLAIMS, DEMANDS AND JUDGMENTS THEREFOR, TO THE EXTENT CAUSED BY THE NEGLIGENT ACT(S) OR OMISSION(S) OR INTENTIONAL MISCONDUCT OF CONTRACTOR, ITS OFFICERS, AGENTS, SERVANTS AND/OR EMPLOYEES. CONTRACTOR, AT CONTRACTOR'S OWN COST OR EXPENSE, HEREBY AGREES TO INDEMNIFY, DEFEND AND HOLD HARMLESS THE CITY, ITS OFFICERS, AGENTS, SERVANTS AND/OR EMPLOYEES FROM AND AGAINST ANY CLAIM, LAWSUIT, DEMAND OR OTHER ACTION TO THE EXTENT THAT THE SAME ARISES FROM THE NEGLIGENT ACT(S) OR OMISSION(S) OR INTENTIONAL MISCONDUCT OF CONTRACTOR, ITS OFFICERS, AGENTS, SERVANTS OR EMPLOYEES. 4. AGREEMENT CUMULATIVE. This Agreement is cumulative of and in addition to any written contracts, agreements, understandings or acknowledgments with the City signed by Contractor. 5. ENTIRE AGREEMENT. The terms of this Agreement shall not be waived, altered, modified, supplemented, or amended in any manner except by written instrument signed by an authorized representative of both the City and Contractor. This Agreement and any other documents incorporated herein by reference constitute the entire understanding and Agreement between the City and Contractor as to the matters contained herein regarding Contractor's access to and use of the City's Network. The signature below of an authorized representative acknowledges that the Contractor has read this Agreement and agrees to be bound by terms and conditions set forth herein. 6. CONFIDENTIAL INFORMATION. Contractor, for itself and its officers, agents and employees, agrees that it shall treat all information provided to it by the City as confidential and shall not disclose any such information to a third party without the prior written approval of the City. Contractor further agrees that it shall store and maintain City Information in a secure manner and shall not allow unauthorized users to access, modify, delete or otherwise corrupt City Information in any way. 2 Contractor shall notify the City immediately if the security or integrity of any City information has been compromised or is believed to have been compromised. 7. Right to Audit Contractor agrees that the City shall, during the inal term, and until the expiration of three (3) years after termination or expiration of this contract, have access to and the right to examine at reasonable times any directly pertinent books, data, documents, papers and records, both hard copy and electronic, of the Contractor involving transactions relating to this Contract. Contractor agrees that the City shall have access during normal working hours to all necessary Contractor facilities and shall be provided adequate and appropriate work space in order to conduct audits in compliance with the provisions of this section. The City shall give Contractor reasonable advance notice of intended audits. Contractor further agrees to include in all its subcontractor agreements hereunder a provision to the effect that the subcontractor agrees that the City shall, during the initial term, and until expiration of three (3) years after termination or expiration of the subcontract, have access to and the right to examine at reasonable times any directly pertinent books, data, documents, papers and records, both hard copy and electronic, of such subcontractor involving transactions related to the subcontract, and further that City shall have access during normal working hours to all subcontractor facilities and shall be provided adequate and appropriate work space in order to conduct audits in compliance with the provisions of this paragraph. City shall give subcontractor reasonable notice of intended audits. IN WITNESS WHEREOF, the parties hereto have executed this Agreement on this 9`h day of July,2008. CITY OF FORT WORTH: Tower S By: Karen L. Montgorriery Assistant City Manager/CFO ATTEST: By:/-) �1.i� City FORM AND LEGALITY: Attorney M & C: none required By: Tow r�oftware Inc. Authorized Signature Prin d Name: Jeff Shulman Title: Vice President and General Manager ATTEST: OFFICIAL RECORD CITY SECRETARY FT. WORTH, TX 3 I � EXHIBIT EXTRANET STANDARD Overview The purpose of this standard is to establish the requirements under which third party organizations may connect to the City of Fort Worth networks for the purpose of transacting City business. The standards listed are specific activities required by Section 2.2 of the City of Fort Worth Information Security Policy. Scope Connections between third parties that require access to non-public City of Fort Worth resources fall under this standard, regardless of whether a telecommunications circuit (such as frame relay or ISDN) or Virtual Privacy Network (VPN) technology is used for the connection. Connectivity to third parties such as the Internet Service Providers (ISPs) that provide Internet access for the City of Fort Worth or to the Public Switched Telephone Network do not fall under this standard. Standard Security Review All new extranet connectivity will go through a security review with the Information Security department (IT Solutions). The reviews are to ensure that all access matches the business requirements in a best possible way, and that the principle of least access is followed. Third Party Connection Agreement All new connection requests between third parties and the City of Fort Worth require that the third party and the City of Fort Worth representatives agree to and sign a third party agreement. This agreement must be signed by the Director of the sponsoring organization as well as a representative from the third party who is legally empowered to sign on behalf of the third party. The signed document is to be kept on file with IT Solutions. All documents pertaining to connections into the City of Fort Worth labs are to be kept on file with IT Solutions. Business Case All production extranet connections must be accompanied by a valid business justification, in writing, that is approved by a project manager in IT Solutions. Lab connections must be approved by IT Solutions. Typically this function is handled as part of a third party agreement. The sponsoring organization must designate a person to be the Point of Contact (POC) for the Extranet connection. The POC acts on behalf of the sponsoring organization, and is responsible for those portions of this policy and the third party agreement that pertain to it. In the event that the POC changes, IT Solutions must be informed promptly. Establishing Connectivity Sponsoring organizations within the City of Fort Worth that wish to establish connectivity to a third party are to file a new site request with IT Solutions to address security issues inherent in the project. If the proposed connection is to terminate within a lab at the City of Fort Worth, the sponsoring organization must engage IT Solutions. The sponsoring organization must provide !v full and complete information as to the nature of the proposed access to the extranet group and IT Solutions, as requested. All connectivity established must be based on the least -access principle, in accordance with the approved business requirements and the security review. In no case will the City of Fort Worth rely upon the third party to protect the City of Fort Worth's network or resources. Modifying or ChanM ki Connectivity and Access All changes in access must be accompanied by a valid business justification, and are subject to security review. Changes are to be implemented via corporate change management process. The sponsoring organization is responsible for notifying IT Solutions when there is a material change in their originally provided information so that security and connectivity evolve accordingly. Terminating Access When access is no longer required, the sponsoring organization within the City of Fort Worth must notify IT Solutions, which will then terminate the access. This may mean a modification of existing permissions up to terminating the circuit, as appropriate. IT Solutions must conduct an audit of their respective connections on an annual basis to ensure that all existing connections are still needed, and that the access provided meets the needs of the connection. Connections that are found to be deprecated, and/or are no longer being used to conduct the City of Fort Worth business, will be terminated immediately. Should a security incident or a finding that a circuit has been deprecated and is no longer being used to conduct the City of Fort Worth business necessitate a modification of existing permissions, or termination of connectivity, IT Solutions will notify the POC or the sponsoring organization of the change prior to taking any action. Definitions Circuit For the purposes of this policy, circuit refers to the method of network access, whether it's through traditional ISDN, Frame Relay etc. or via VPN encryption technologies. Sponsoring Organization The City of Fort Worth organization that requested that the third party have access to the City of Fort Worth network. Third Party A business that is not a formal or subsidiary part of the City of Fort Worth. City of Fort Worth Professional Services Agreement = Exhibit D TRIM CONTEXT LICENSE AGREEMENT This is a legal agreement between you (the "Customer" or "City') and TOWER Software Engineering ("TOWER'). By installing this software package you agree to be bound by the terms of this agreement. If you do not agree to be bound by the terms of this agreement, return the software and the accompanying items to the place of purchase. Grant and Basis of License: TOWER grants the Customer anon -exclusive, non- transferable perpetual license to the material enclosed, subject to the terms of this document. The Customer is responsible for selection of the software as suitable for its need. Licensing is on the basis of the number of users specified in the applicable TOWER Software Site Registration form. Intellectual Property Rights: All copyright, patent, trade secret and other intellectual property rights to the licensed program are the property of TOWER and no title is transferred by this agreement. The customer is to retain the copyright notice and other legends on all copies, both full and partial, of the licensed material. The Customer agrees not to distribute the licensed program or any part of it to any third party, or to copy, modify, reverse -engineer, de -compile or disassemble the licensed program, or to use the software in any unauthorized manner except as expressly permitted in writing by TOWER. Permission to Copy: The Customer may produce sufficient copies of the product for back up purposes and safe usage of it but may not produce or distribute copies for any other purpose. Terms of Agreement: This agreement is accepted by the Customer on removing the CD from this package. The customer may terminate this agreement without notice. TOWER may terminate it for good cause (including breach of contract and failure to pay license fees), upon 30 days notice. The customer agrees to cease using the product and destroy or return all licensed materials upon termination. Warranty: TOWER warrants that the product as supplied by TOWER complies with its published specifications and is free from defects for 90 days from the commencement of this agreement. TOWER will undertake its best efforts to correct any defects advised to it during that period. Support and other services after expiration of the warranty period are provided under the provisions of TOWER's Standard Support and Maintenance Agreement. Disclaimer: To the maximum extent permitted by law, TOWER disclaims all further or other warranties, including but not limited to warranties of merchantability, fitness for a particular purpose, and non -infringement. Export Control: The software licensed hereby may be subject to export control legislation in certain countries. The Customer shall not export or re-export the software from the country in which the license is granted in contravention of any such export control legislation applying at the time. Limitation of Liability: Except in the event of a claim for infringement of an intellectual property right, TOWER's entire liability and the Customer's entire remedy shall be, at TOWER's discretion, either return of the price paid or repair or replacement of the licensed program which does not meet TOWER's warranty and which is returned to TOWER with a copy of the Customer's receipt. No Liability for Damages: In no event shall TOWER or its suppliers be liable for any consequential, incidental, direct, indirect, special, punitive or other damages whatsoever (including but not limited to damages for loss of business profits, business interruption, loss of business information, or any other pecuniary loss) arising out of the use of or inability to use this product, even if TOWER has been advised of the possibility of such damages. Indemnity: TOWER agrees to defend, settle, or pay, at its own cost and expense, any claim or action against the City for infringement of any patent, copyright, trade secret, or similar property right arising from City's use of the software in accordance with this agreement. TOWER shall have the sole right to conduct the defense of any such claim or action and all negotiations for its settlement or compromise and to settle or compromise any such claim, and City agrees to cooperate with it in doing so. City agrees to give TOWER timely written notice of any such claim or action, with copies of all papers City may receive relating thereto. If the software or any part thereof is held to infringe and the use thereof is enjoined or restrained or, if as a result of a settlement or compromise, such use is materially adversely restricted,. In the event of a claim for infringement, TOWER shall, at its own expense and as City's sole remedy, either: (a) procure for City the right to continue to use the software; or (b) modify the software to make it non -infringing, provided that such modification does not materially adversely affect City's authorized use of the software; or (c) replace the software with equally suitable, compatible, and functionally equivalent non -infringing software at no additional charge to City; or (d) if none of the foregoing alternatives is reasonably available to TOWER, terminate this agreement and refund to City the payments actually made to TOWER under this agreement. Entire Agreement: These terms and conditions supersede all prior oral or written understandings between the parties on the subject -matter of this agreement and constitute the entire agreement between them relating to the license of the material covered by this agreement. There are no understandings or representations, express or implied, not expressly set out herein. Applicable Law: This agreement is governed by the laws of the state of Texas and the United States. TOWER Software 2006 TRIM CONTEXT SUPPORT AND MAINTENANCE AGREEMENT "THE AGREEMENT" This is a legal Agreement between you (the 'Customer') and TOWER Software ('TOWER') or its agents covering the provision of product support services to the customer. As long as the Customer keeps this agreement current, TOWER or its agent will supply the services described herein. Terms of the agreement: This agreement commences at the end of the warranty period specified on the Software Customer Registration Form specified herein, and lasts for twelve months. At the end of every service period, the Agreement is automatically renewed for a further service period of twelve months unless either party gives the other sixty days prior written notice of termination, or unless it is prematurely terminated under the conditions below. The Agreement shall continue upon the same terms and conditions unless the parties agree upon an alteration to the Agreement. No alteration to, this Agreement shall be effective unless it is expressed in writing and agreed to by both parties. Services provided: The services provided under this Agreement include enhancement versions of the product, 'hotline' support via a single point of contact, and eligibility to attend the TRIM® Users Forum (TUF) Conferences. Enhancement versions of the product set include both the minor enhancements selected by TOWER from those identified as desirable in its support of the product in the field as well as the correction, as far as practical, of all errors detected in the product and all circumstances where the product does not perform according to its specifications. TOWER expects to issue enhancement releases bkannually. Hot-line support consists of responding to queries from customer staff and providing assistance to customer staff to achieve or maintain normal operation of the product. Queries may be lodged in person or in writing (including e-mail). The services will be provided from an authorized TOWER Support Center appointed for the purpose and advised to the Customer, and are available during normal working hours of the TOWER Support Centre. The services are available only on the current and immediately previous enhancement versions of the product. If requested by the Customer to provide continued support for an older version, TOWER reserves the right to charge additional fees. Single Point of Contact: The Customer will appoint a "lead user" to coordinate internal product ization support within the Customer's organand to act as a single point of contact with the Authorized Support Center for support purposes. A lead user may be the single point of contact for multiple sites within the Customer's organization. Typically TOWER or its agent will make arrangements with a Customer to provide a lead user with additional support and training to facilitate their support of the product within the Customer's organization and to optimize the achievement of the Customer's objectives. Services provided under other arrangements: Other services such as training courses, conversion, on -site support, implementation and installation consulting services) may be provided under the terms of the standard schedule of service charges applying at the time. Furthermore, some development of new or revised functionality will only be incorporated in a new product line. Where this agreement is current, TOWER does not charge for enhancement of the installed product, but it reserves the right to charge an additional license fee for a new product or a major new module. Price escalation and payment terms: Payment is due within 30 days of commencement of this Agreement and 30 days after each renewal date. Payment is due in advance for the coming twelve months services and is non-refundable. Increases in periodic charges associated with this Agreement will not exceed the proportional increase in the Customer Price Index (CPI) for the period in question. TOWER will inform the Customer of any increases in periodic Agreement charges not less than 90 days before any automatic renewal of this Agreement. Premature termination: Either party may terminate this Agreement immediately by notice in writing if the other party is in breach of the Agreement and the breach is not remedied within 30 days of written notice by the party not in breach. Either party may terminate this Agreement immediately by notice in writing if the other party becomes, or threatens to become, subject to any form of insolvency arrangement. In the event of premature termination, the party terminating it shall not be liable to the other party for any costs or damages however arising, which are incurred because of the premature termination. In the event of premature termination of this Agreement, both parties will continue to comply with the provisions of all other Agreements in place between them. Assignments and sub -contracting. Neither party may assign this Agreement or grant any right or transfer of interest under it without the prior written consent of the other party, which consent shall not be unreasonably withheld. However, notwithstanding this clause, TOWER may at its sole discretion assign or subcontract the fulfillment of its obligations under this Agreement to any of its affiliates or to any company which acquires controlling or majority interest in TOWER. Escrow Facilities: TOWER has lodged the source code of the product with selected escrow agents, in the United States, United Kingdom and Australia. Customers requiring access to these escrow facilities should make the requisite arrangements with the appropriate escrow agent. The details of the current escrow agents will be provided by TOWER Software on request. Dispute Resolution: The parties to this Agreement shall exert their best efforts to resolve any disagreements emerging in the course of fulfilling their obligations under this Agreement. Every reasonable attempt shall be made to resolve such disagreements quickly, simply and cheaply by negotiation with a view to meeting each other's needs. Any disagreement that cannot be resolved by this means within 30 days may be submitted to arbitration upon the written consent of both parties. The arbitrator shall be a person agreed to between the parties with significant experience in software licensing or related matters. Should the parties fail to agree upon an arbitrator, then the arbitrator shall be a person agreed to between the parties selected from a panel suggested by the American Arbitration Association and, failing agreement, shall be a person nominated by the chief executive officer or other appointed agent of the disputes resolution center. Each party shall bear its own costs in arbitration. Entire Agreement: These terms Cl"d conditions supersede all prior oral and written agreements, and constitute the entire agreement between them relating to the services covered by the agreement. On these topics there are no understandings or representations, expressed or implied, not expressly set out in this Agreement. icable Law: This Agreement shall be governed by the laws of the state of Texas Appl and the United States. ........_ ....... Exhibit E Enterprise Information Management System Pilot Project %st Plan Enterprise Information Management System Pilot Project Test Plan .. • • Table of Contents 1. Project Overview....................................................................................................................................................... 5 2. General Test Information......................................................................................................................................... 6 3. Pilot Project Team..................................................................................................................................................... 9 4. Computer Requirements........................................................................................................................................ 14 5. Specific Test Management Roles &Responsibilities for project team members ............................................ 17 6. User Acceptance Test Approval Authority........................................................................................................... 21 7. Testing Process and Deliverables........................................................................................................................ 22 8. Test Verification Process and Deliverable........................................................................................................... 25 9. Test Plan Approval................................................................................................................................................. 29 10. Revision Histo 30 ry...................................................................................................................................................... Exhibit A: EIMS Pilot Project Functional Test Demonstration Check List............................................................. 32 Exhibit B: EIMS Pilot Project Workflow Collaboration Test Criteria....................................................................... 50 Page 2 of 19 Enterprise Information Management System Pilot Project Test Plan .. • • 1. Project Overview The City of Fort Worth plans to implement, via a pilot project, an Electronic Information Management System (EIMS) using Tower Software s application TRIM Context that will provide the systematic control of all information, adding �� intelligence by creating categorization to facilitate search, retrieval and disposition, based upon functional context of the information and using structure and policies from existing document management and records management. A key portion of the pilot project is to design and place a collaborative workflow solution into the organization for use with six (6) specified business processes. The business processes identified as part of this pilot project include: • Official Ordinances • Alcohol Beverage Permits • City Council Meeting Minutes • Resolutions • Corporate Board Minutes • Certification of Agendas 2. General Test Information The software/hardware system setup and configuration tests will be conducted by the Tower Software System Installation personnel in conjunction with ITS Network and Security personnel. The function based user tests described herein will be conducted by CFW employees associated with the business processes identified above. 2.1. Test Scope and Objectives This project will have three distinct test components: 1) System configuration acceptance test; will confirm installation parameters assuring proper connection to CFW network, active directory, other databases and proper user privileges assigned. 2) Testing the functionality of the commercial -off -the -shelf (COTS) software features and attributes to validate vendor claims. Test criteria provided in Exhibit A herein. 3) Testing the functionality of the collaborative workflow features using six CFW cross functional business processes. Test criteria provided in Exhibit B herein. Out of Scope -There is no intention to test the coding logic of the software since this is a commercial of the shelf (COTS) product. In addition, all other business processes associated with the City Secretary's office are out of scope. Page 3 of 19 Enterprise Information Management System Pilot Project Test Plan - - - .. .. • 3. Pilot Project Team The following table details the proposed members of the project team (awaiting confirmation of desired team members) Position Name Em to er Cit Secretar Mart Hendrix Cit of Fort Worth Records Mana er Dou Jones Cit of Fort Worth Project Mana er Gar Goforth Cit of Fort Worth IT Business Planner Lead Cher I Harris Cit of Fort Worth IT Lead / S stem Administrator Steven Vandever Cit of Fort Worth Cit Secretar Office SME Ron Gonzales Cit of Fort Worth Cit Secretar Office SME Marlena Tinker Cit of Fort Worth Cit Secretar Office SME Allison Tidwell Cit of Fort Worth Cit Secretar Office SME Tennie Cole Cit of Fort Worth Cit Secretar Office SME Yolanda Ramos Cit of Fort Worth Cross Functional De artmental SME's Cit of Fort Worth Project Mana er David Godfre Tower Software TBA Tower Software TBA Tower Software TBA Incisivelnfo TBA Incisivelnfo 3.1. Roles and Responsibilities The process of conducting each section of the User Acceptance Test must be carefully managed to ensure that it is able to meet the objectives above. The project team, comprised of employees of Tower Software, Incisiveinfo and CFW will be responsible for coordinating the preparation of all test cases and for the execution of all test cases. High level Responsibilities of the Project Team during the User Acceptance Test: e Ensure that the definition of the tests provide comprehensive and effective coverage of all reasonable aspects of functionality. • Execute the test scenarios using real CFW data/documents to ensure the final outcomes are satisfactory and reflective of the production environment. • Validate that all test scenario (input and output) results are documented and can be audited. • Document any problems, and work with the project team to resolve problems identified during the tests • Sign off on all test scenarios will be provided by the project team member conducting the test. By signing the completed test check sheets and the test documentation deliverable will be approved in accordance with section five below. • Recognize and document any changes necessary to existing processes and take a lead role locally in ensuring that the changes are made and adequately communicated to other users. • Provide first level support for all testing issues. • Advise on changes to business process and procedure and/or change the system functionality, where possible, via set up changes. Track and manage test problems while documenting solutions. Page 4 of 19 Enterprise Information Management System Pilot Project Test Plan Test Schedule • A Test Schedule will be developed to ensure that the system configuration and related business process are suitable for the organization. The following section shall be completed for the system and include specific tests to address each business process. The Test Schedule will be developed after the TRIM Context Core Configuration Report has been documented and signed off. This will enable the Test Cases to incorporate the system configuration and related business process. 4. Computer Requirements Outlined below is a list of resources required for this Test Schedule. 4.1. Hardware Resources Identify all Hardware Components Required: Resource Specification Computer ;Minimum Specifications: • Intel Pentium III class processor (800MHz) or equivalent • 256M6 of RAM • SVGA Monitor (1024 x 768) 4.2. Software Resources Identify all Software Components Required: Operating 3I32bit version of one of the System � following: TRIM Context ;TRIM Context Software a MS Office €Microsoft Office Suite Email jlEmail Client (Outlook) earation • Windows XP • Windows XP SP2 • Windows 2003 Server • Windows 2003 Server SP1 • Windows 2003 Server R2 6.x.x.xxxx 2003 2003 Status Page 5 of 19 Enterprise Information Management System Pilot Project Test Plan .. • • 5. Specific Test Management Roles &Responsibilities for .project team members Outlined below is a list of roles and responsibilities required for each test scenario. 5.1. Project Team ITS Business Planner ;� Cheryl Harris � Develop test scenarios TS Project Manager David Godfrey Develop project plan and test schedules TS Project Manager David Godfrey � Execute project plan and system configuration test _ —__ TS Project Manager David Godfrey _ Conduct core team and end user training 5.2. Test Scenarios All cross functional business process driven test scenarios will be executed using real CFW data/documents to ensure the final outcomes are satisfactory and reflective of the production environment. 1. Official Ordinances 2. Alcohol Beverage Permits 3. City Council Meeting Minutes 4. Resolutions 5. Corporate Board Minutes 6. Certification of Agendas 5.3. Issues Log All issues related to the tests planned for all three sections shall be logged in a table and formatted as the sample provided below to ensure that they can be addressed and resolved. 5.4. Issues Resolution All issues identified in the Issues Log above shall be resolved by the Project Team in conjunction with any relevant stakeholders and documented in the table above to ensure that satisfactory resolutions can be met in preparation for the rollout of the system to a production environment. Page 6 of 19 Enterprise Information Management System Pilot Project Test Plan 6. User Acceptance Test Approval Authority All test deliverables must be approved by the Project Manager for TOWER Software, the Project Manager for the City of Fort Worth and CFW's City Secretary. Position Organization Name Tower Project Mgr. Tower Software David Godfrey CFW Project Mgr. City of Fort Worth Gary Goforth Cit Secretar Cit of Fort Worth Mart Hendrix 7. Testing Process and Deliverables In order to carry out an effective test, all steps concerning test verification, test metrics, defect reporting and tracking must be determined and documented prior to testing. The following represents the Configuration Set Up Test steps. The additional two tests; System Functionality and Collaborative Workflow, are described in Exhibits A and B respectively. Ref TRIM Context Configuration UAI Action Steps Duration Predecessor Responsibility 11 Technical Architecture Report 11 days 12 Conduct meetings with IT 2 days 4 TOWER / Ft Worth 13 Develop TRIM Technical Architecture Report 2 days 12FS+1 day TOWER 14 Deliver Technical Architecture Report 0 days 13 TOWER 15 Ft Worth Review of Technical Architecture Report 5 days 14 Ft Worth 16 Finalize Technical Architecture Report 1 day 15 TOWER 17 Technical Architecture Report Approved 0 days 16 Ft Worth 18 Business Analysis &TRIM Configuration 50 days 19 Perform Business Analysis 11 days 4 TOWER / Ft Worth 20 Train Core Project Team 4 days 21 Setup Training Room 1 day 19 TOWER / Ft Worth 22 Power User Training 1 day 21 TOWER / Ft Worth 23 Application Administration Training 2 days 22 TOWER / Ft Worth 24 Conduct TRIM Configuration Workshops 10 days 23 TOWER / Ft Worth 25 Design &Develop the TRIM Configuration &Report 15 days 24 TOWER 26 Deliver TRIM Configuration Report 0 days 25 TOWER 27 Ft Worth Review of TRIM Configuration Report 5 days 26 Ft Worth 28 Finalize TRIM Configuration Report 1 day 27 TOWER 29 TRIM Configuration Report Approved 0 days 28 Ft Worth 7.1. Training The Project Team will receive both Core Team Training and End User Training. Page 7 of 19 Enterprise Information Management System Pilot Project Test Plan 8. Test Verification Process and Deliverable The purpose of test verification will be to ensure the integrity of test results. 8.1. Test Management Process 8.1.1 Tower Software will conduct the system configuration acceptance test which will confirm software installation parameters, assuring proper connection to CFW network, active directory and all other required databases. In addition, proper user privileges for members of the pilot project team will be established and validated. The Configuration Test steps are described in section 7 above. Tower is also responsible for developing collaborative workflow models required by the tests described in Exhibit B herein. These workflow models will be developed in a team workshop beginning with an examination of the "as -is" business process maps provided by CFW. The goal will be either new or modified processes which describe the "to -be" state of each of the six selected processes. Developing these new models and loading them into TRIM will be the responsibility of Tower. 8.1.2 Testing the functionality of the commercial -off -the -shelf (COTS) software features and attributes to validate vendor claims. Test criteria provided in Exhibit A herein. This series of tests will be the responsibility of CFW. 8.1.3 Testing the functionality of the collaborative workflow features using six CFW cross functional business processes. Test criteria provided in Exhibit B herein. This series of tests will be the responsibility of CFW. 8.2. Back ®ut/Restore Process All functional tests related to the capture, managing (workflow), storing, and delivering information will be accomplished in a test mode, using real information in a production environment. In the event that the pilot project proves the Tower Software solution is inadequate for the intended purpose or for any other demonstrated reason that results in the same conclusion; the software will be removed from CFW Computers and Network and any files indexed and stored on CFW servers during the pilot project will remain the property of the City of Fort Worth. 8.3. Reports Report content and format are to be determined by the pilot project team. Page 8 of 19 Enterprise Information Management System Pilot Project Test Plan Gar L. Gofort PMP PMM 817-392-23 9 9. Test Plan Approval Project Customer Ms. Marty Hendrix Date Project Manager Mr. Gary L. Goforth PMP, PMM Date ITS Contact Ms. Cheryl Harris Date Tower Software Title Date 10. Revision History The following table describes the document's modification history for tracking purposes. Version Date Modifications Chan ed B 01 02-28-2008 Document Created Gary Goforth 02 03 04 03-04-2008 03-06-2008 Peer Review Final Review Tower Software Approval C. Harris & D. Allen M. Hendrix & D. Jones David Godfrey Page 9 of 19 Enterprise Information Management System Pilot Project Test Plan - - - .. .. • Exhibit A: EIMS Pilot Project Software Functional Test Demonstration Check List Category: Capture Information 1. Capture/import an electronic document a. Demonstrate the capture or importation of a graphic, image or drawing document in its native file format. b. Demonstrate the capture or importation of a text file in its native file format. c. Validate that the graphic/text document was stored in the native format. What was the format and how was it validated? 2. Scan/import hardcopy documents a. Scan (various size) graphic, image or drawing documents. b. Validate the scanning process produces an imported document with editable text, support indexing based on full text and support full text searching. c. Validate the format that graphics and drawings are stored in after scanning. d. Validate the format that text documents are stored in after scanning. 3. Capture methodologies a. Test the ability to capture/import hardcopy or electronic graphic documents in batch mode. b. Test the ability to capture/import hardcopy or electronic graphic documents in an unattended batch mode. c. Document the largest dimensional (size) document that was scanned and stored. d. Demonstrate the process of scanning oversized documents (e.g. an engineering drawing or development plat); is this process different from an 8.5 x 11 document? Determine if file size presents a challenge to the software and how does it manage different file sizes. e. Validate what media types the software accommodates —paper, microfilm, microfiche, large maps, books, photographs, etc. f. Validate the capability to import and index documents that are currently stored on microfiche and microfilm. 4. Compatibility with Bar Coding Systems a. Validate the software's capability to interface with existing active files that maintain bar coding systems. b. Validate the software's capability to interface with existing inactive files that maintain bar coding systems on record storage boxes. c. Determine if TRIM Context is compatible with CFW's current bar code readers. Category: Manage Information 1. Workflow a. Demonstrate and document the process of establishing/creating a work flow process in TRIM Context. b. Validate that documents flow based on established work rules. c. Demonstrate ad hoc routing if the work flow routing needs to deviate from the norm or if a person is out of the office. d. Demonstrate the alert mechanism (email?) informing the next person in the chain that there is a document requiring action. e. Demonstrate an alternate notification if circumstances require. f. Demonstrate workflow utilizing parallel paths; branching paths and decision trees. g. Validate that supervisors can view workflow status. 2. Documents/Templates in the Workflow Process a. Demonstrate how document templates are created/imported in TRIM Context. b. Demonstrate if pre-existing templates (e.g. MS Word) can be imported. Page 10 of 19 Enterprise Information Management System Pilot Project Test Plan emu, �.....,,�„ _._.. 3. Collaboration a. Validate the document check out and check in process. b. Validate that the product supports versioning. c. Validate that the product records approvals, disapprovals, concurrences, non -concurrences, drafts, etc. d. Demonstrate what happens to a rejected approval; (does it start over, go back one level or other)? e. Test the ability to add document attachments in the collaborative work space. 4. Digital /Electronic Signatures a. Demonstrate and document the software processes for using digital signature. b. Test and document if signature pages can be included as part of printed report output. c. Test and document the ability for users to add their own comments when applying signatures. d. Test, validate and document that all data covered by a signature is protected from change/edit. Category: Store and Preserve Information 1. Information Security a. Test and document user/group permissions down to the document level. b. Validate the use of Active Directory to manage permissions. c. Document the security methodology; does it integrate with NT security or is it maintained separately? d. Demonstrate and document how the software security hierarchy set up. e. Document how many levels of security are in the enterprise system. Demonstrate how the security levels are protected. f. Demonstrate and document how the documents are stored for department use only; for read only use by anyone on the enterprise system. 2. Redaction a. Demonstrate and document how the product supports the redaction of information in documents while preserving the integrity of the original version. b. Test and document user/group permissions to redact portions of a document. Category: Deliver Information 1. Indexing a. Text documents -Regardless of form (electronic or hardcopy) or capture methodology (scan, electronic import) demonstrate how; i. Documents can be indexed automatically based on recognition of words appearing in the full text of the document. ii. Documents can be indexed automatically based on recognition of words in specified sections/areas on a form/document. iii. Documents can be indexed based on words assigned by the user/author (metadata). iv. Documents can be indexed based on document/form type. v. Documents can be indexed based on bar codes. vi. Documents can be indexed based on association with other documents —such as documents that would normally be found together in a file (personnel file, case file, etc). vii. Demonstrate and document all indexing methodologies; attended or unattended mode, batch or a single document at a time. b. Graphic images i. Regardless of form (electronic or hardcopy) or capture methodology (scan or electronic import) how; ii. Documents can be indexed automatically based on the recognition of text embedded in the graphic image. iii. Documents can be indexed based on text assigned by the user/author (metadata). iv. Documents can be indexed based on bar codes. v. Documents can be indexed based on document/form/graphic type. vi. Documents can be indexed based on association with other documents —such as documents that would be found together in a file personnel file, case file, etc). Page 11 of 19 Enterprise Information Management System Pilot Project Test Plan .. • • vii. Demonstrate and document all indexing methodologies; attended or unattended mode, batch or a single document at a time. 2. Search capabilities —demonstrate the ability to; a. Search on terms found in the full text of the text document and text embedded in graphics/drawings/maps etc. b. Search on metadata assigned by the user/author. c. Search based on bar coding. d. Search based on document type. e. Conduct searches based on Boolean operations, relational operations, "wild card" characters or fields, document/record associations, date calculations, etc. f. Save and reuse often used ad hoc queries. g. Return associated documents such as those that would be found together in a file (personnel file, case file, etc). 3. Web -based capabilities a. Demonstrate how documents can be pushed out to the City's web page, number of steps, format changes required, etc. b. Demonstrate how to search for and access documents over the Internet. 4. Transportability a. Validate the indexing data is stored in anon -proprietary fashion so that it may be migrated to other platforms as technology changes. b. Validate that documents are stored in anon -proprietary fashion so that they may be migrated to other platforms as technology changes. c. Demonstrate the functionality read-only permissions. Records and Information Retention a. Demonstrate and document through report and query creation; how TRIM Context tracks and maintains records and information in accordance with approved retention schedules. b. Demonstrate and document how retention values assigned to records or record groups. c. Demonstrate how TRIM Context ensures the security and integrity of electronic records until the expiration of their retention periods, minimizing risk of unauthorized or accidental alteration or erasure of information. d. Demonstrate if TRIM Contest requires or allows recopying, reformatting, and other necessary maintenance to ensure the retention and usability of electronic records until the expiration of their retention periods. Records and Information Production a. Demonstrate and document how TRIM Context facilitates or enhances information searches in support of open records/public information requests within statutory deadlines and requirements (Gov't Code, § 552.230, .268; T.A.C., Title 13, Part 1, § 7.79). Records and Information Disposition —Notification a. Demonstrate and document through report and query creation; how TRIM Context tracks records and information series/groups for notification upon expiration of retention schedules, advising information removal from the system for secondary storage or deletion/destruction. Migration or storage a. Demonstrate how TRIM Context facilitates or allows for the removal of information from online storage to a secondary storage medium. Page 12 of 19 Enterprise Information Management System Pilot Project Test Plan Destruction a. Demonstrate how TRIM Context facilitates or allows for the ability to fully delete/destroy data in accordance with the City's procedures for records destruction. Records Management a. Demonstrate and document TRIM Context's ability to assign retention criteria to documents and files. Manually. Automated. b. Demonstrate how retention schedules are updated on previously added documents/files and new documents. Manually. Automated. c. Demonstrate and document the process of authorizing a document to be "destroyed". d. Demonstrate TRIM Context's ability to electronically manage records that have to stay in paper format. Other a. Validate the system meets DOD5015.2 specifications. b. Validate that TRIM Context either does, or does not, support OMR (optical mark recognition). c. Validate that TRIM Context either does, or does not, support OCR (optical character recognition) producing output with editable text, supporting indexing based on full text found in a text document and text embedded in a graphic, and supporting full text searching. d. Document if there are hardware vendors that TRIM Context does not work with. e. Demonstrate and validate TRIM Context also accepts video and sound files. f. Test and document if TRIM Context captures voice mails as records. g. Demonstrate and document recovery procedures for back -end databases. How fast can changes be rolled back? h. Demonstrate that TRIM Context preserves the original version of the document in such a way as to satisfy the requirements of legal discovery. Integration a. Test and document if security and workflow able to interface with an LDAP environment. b. Document Tower Software's assertion that TRIM Context will integrate with (via SDK); • HTE Customer Information System • PeopleSoft Customer Relationship Management • IBM Maximo (CMMS) • ESRI ArcGIS Desktop, ArcGIS Server Technical —Server Infrastructure a. Develop an infrastructure (requirements) report and system architecture plan for both the pilot and enterprise projects. Page 13 of 19 Enterprise Information Management System Pilot Project Test Plan .. • • Exhibit B: EIMS Pilot Project Workflow Collaboration Test Criteria Business Process Test Scenarios 1. Official Ordinances 2. Alcohol Beverage Permits 3. City Council Meeting Minutes 4. Resolutions 5. Corporate Board Minutes 6. Certification of Agendas Business Process Test Criteria The test steps outlined herein represent normal business process actions and are not intended to be finite or all inclusive. The purpose of this test is to facilitate CFW lessons learned and to that end, actions may be added or deleted. 1) Official Ordinances: a. Is the Official Ordinance template in TRIM system? b. Can user easily get into TRIM and locate template? c. Is the template fully functional and supportive of word processing? d. Once the Official Ordinance document is created and stored, can another user find it? e. Can the document be checked out for review and editing? f. Can the document be checked in with changes (version control)? g. Can the document be checked in with no changes? h. Can the Official Ordinance be exported to eCouncil system, and added as an attachment to an M&C? Is workflow progress available to interested stakeholders? j. Can the final approved document be locked? k. Can the Official Ordinance be "unlocked" by authorized user to add Ordinance #and effective date? Can electronic signatures be added to final document version? m. Can an electronic stamp be added to final version? n. Can the Official Ordinance be saved in PDF format and imported into eCouncil system? Page 14 of 19 Enterprise Information Management System Pilot Project Test Plan . .. 2) Alcohol Beverage Permits a. Can a user scan the completed L101 form into TRIM? b. Can a user scan the L40 form into TRIM? c. Can a user scan the APLVF form into TRIM? d. Can a user scan the "E" zoning form into TRIM? e. Can a user scan a City License (permit) into TRIM? f. Can a user scan a Revenue Office receipt into TRIM? g. Can a user find these forms in TRIM? h. Can a user link the L101, L40, APLVF, "E" Zoning, City License, and Revenue Office receipt forms in TRIM (they are all related to the same citizen application)? i. Can any related emails also be linked to the citizen's application? j. Can electronic signatures be added to the L101 and L40 forms in TRIM? k. Can an electronic stamp (or official CSO sea!) be added to the L101 form? Can any of the linked documents be checked in with changes (version control)? m. Can any of the linked documents be checked in with no changes? n. Can the entire citizen application package be checked in and out? OR Do the documents have to be checked in and out separately? o. Is workflow progress available to interested stakeholders? Can others (who are not part of the workflow process) review status/progress? p. Can a user redact personal information (e.g. SS#) from any of these forms once they are in TRIM? q. Cana 3`d party review the entire audit trail of all the documents associated with the Citizen's application? Page 15 of 19 Enterprise Information Management System Pilot Project Test Plan . .. 3) City Council Meeting Minutes a. Is the Council Meeting Minutes template in the TRIM system? b. Can a user easily get into TRIM and locate the template? c. Is the template fully functional and supportive of word processing? d. Once the Council Meeting Minutes document is created and stored, can another user find it? e. Can the document be checked out for review and editing? f. Can a user easily import required information from the M&Cs into the template? Can TRIM easily obtain data from the eCouncil system? g. Can a user easily import required information from the ordinances into the template? The Ordinance information should already be stored in TRIM. h. Can the document be checked in with changes (version control)? i. Can the document be checked in with no changes? j. Some events are scheduled to occur within specific time frames. Do the users get email reminders in a timely fashion? What happens if a user delays taking the required action? k. Is workflow progress available to interested stakeholders? Can others (who are not part of the workflow process) review status/progress? Can the final approved document be locked? m. After the minutes are approved, can the final version be loaded into City Secretary website? n. Can electronic signatures be added to the final document version? o. Can an electronic stamp be added to final version? p. Can we get these meeting minutes to the Mayor for signature? In the past, he would sign these as part of a batch of documents. q. Can we generate an "official" hardcopy that is put into the Minutes Book in the vault? r. Cana 3�d party review the entire audit trail associated with creating these Council Meeting Minutes? Page 16 of 19 Enterprise Information Management System Pilot Project Test Plan 4) Resolutions a. Is the Resolution template in TRIM system? b. Can the user easily get into TRIM and locate template? c. Is the template fully functional and supportive of word processing? d. Once the Resolution document is created and stored, can another user find it? e. Can the document be checked out for review and editing? f. Can document be checked in with changes (version control)? g. Can document be checked in with no changes? h. Can the Resolution document be exported to eCouncil system, and added as an attachment to the Council Agenda document? Is workflow progress/status available to interested stakeholders? j. Can the final approved document be locked? k. Can the Resolution documents be "unlocked" by an authorized user to add Resolution number? Can electronic signatures be added to final document version? m. Can an electronic stamp be added to final version? n. Can the final version be loaded into City Secretary website? Page 17 of 19 Enterprise Information Management System Pilot Project Test Plan 5) Corporate Board Minutes a. Is the Corporate Board Minutes template in the TRIM system? b. Can a user easily get into TRIM and locate the template? c. Is the template fully functional and supportive of word processing? d. Once the Corporate Board Minutes document is created and stored, can another user find it? e. Can the document be checked out for review and editing? f. Can the document be checked in with changes (version control)? g. Can the document be checked in with no changes? h. Some events are scheduled to occur within specific time frames. Do the users get email reminders in a timely fashion? What happens if a user delays taking the required action? i. Is workflow progress available to interested stakeholders? Can others (who are not part of the workflow process) review status/progress? j. Can the final approved document be locked? k. Can the document be exported to the eCouncil system and added as an attachment to the Council Packet? Can electronic signatures be added to the final document version? m. Can an electronic stamp be added to final version? n. Can we generate an "official" hardcopy that is put into the Minutes Book in the vault? o. Cana 3�d party review the entire audit trail associated with creating these Corporate Board Minutes? Page 18 of 19 Enterprise Information Management System Pilot Project Test Plan . .. 6) Certification of Auendas a. Is the Agenda template in TRIM system? b. Can the user easily get into TRIM and locate template? c. Is the template fully functional and supportive of word processing? d. Once the Agenda document is created and stored, can another user find it? e. Can the document be checked out for review and editing? f. Can the document be checked in with changes (version control)? g. Can the document be checked in with no changes? h. Is workflow progress/status available to interested stakeholders? Can the final approved document be locked? j. Can electronic signatures be added to final document version? k. Can the Agenda be saved in PDF format? Can the final agenda be saved in a folder in CMS? Page 19 of 19 Exhibit F Software Support � .. Welcome to TRIM Context CONTENTS WELCOMETO TRIM CONTEXT.......................................................................................3 IMPORTANT INFORMATION FOR TRIM CUSTOMERS. a 3 SUPPORT............................................................................................................................... 3 TRIMUSER FORUM............................................................................................................4 TOWERSOFTWARE GREEN POLICY..............................................................................6 TRIM CONTEXT INSTALL ATION RELEASE NOTES...................................................6 Welcome to TRIM Context � 2 WELCOME TO TRIM CONTEXT WE Software, its representatives and agents, congratulate you on joining thousands of others who have become part of the TRIM User community! We value your business highly and take pride in providing you with a quality product and excellent service. We anticipate a long and productive relationship with your organization. As part of our dedicated service, we will confirm your license details and provide some important information for you on the following pages. You will also find information regarding affiliations and services available to our valued customers together with license and support agreements and your licensing and installation details. Should you have any questions or require any other assistance, please feel free to contact your TRIM Authorized Value Added Reseller. We look forward to receiving any feedback you may have on any of our products and services. Thank you for your confidence in TRIM and TOWER Software and, once again, congratulations for taking that vital step to ensuring your future success through the use of superior information management tools. IlOiIPORTAI�T II�PORll�][ATIO1lT LOR TRIll�I DUSTOlVILRS SUPPORT TRIM is renowned as a product backed by a high quality support service. Your support contacts are responsible for providing technical support/help desk services for TRIM Context. The TRIM Context Help Desk is a service provided to nominated points of contact within organizations holding a current TRIM Context License. Before contacting the Help Deslc with a question, we suggest you first check the TRIM Online Help file for assistance. It contains extensive information about the installation, configuration and day-to-day use of TRIM Context. Telephone support is available in most business areas during business hours. Check our Web site at www.towersoft.com for the support center that services your location: ♦ Your organization's name ♦ Your name Welcome to TRIM Context I 3 ♦ License number ♦ Operating System/platform ♦ Version of TRIM Build # ♦ Database (e.g. Oracle, Microsoft SQL Server, IBM, DB2, Sybase ASE etc.) ♦ Description of problem or issue ♦ Error message (if available) TRIM USER FORUM The TRIM User Forum (TUF) is an association of TRIM users who communicate regularly about their experiences using TRIM within their organizations. TUF services and events open to all TRIM users include: ♦ The TUF e-mail discussion forum; ♦ Local TRIM Context User Groups (TUG's); and Annual TUF Conferences. Information on all of these services and events can be found on our Web site at: www.towersoft.com TUF E-MAIL FORUM This is an e-mail listsery for general discussion about TRIM Context. Access is available to all current users of TRIM Context. This forum is ideal for asking questions of other TRIM Context users about how best to use a particular feature. "fo subscribe, send a message to listserv(�listserv.towersoft.com.au with the subject blank and the first line of the message being: SUBSCRIBE TRIM-TUF-L firstname lastname TRIM USER GROUP (TUG) MEETINGS TRIM User Group Meetings are held regularly in various areas. The User Group Meetings are aimed at providing a forum for local users to exchange information on the functional use of TRIM Context. Usually, customers in a TUG initiate and host the meetings and present a topic of interest. Welcome to TRIM Context 4 TRIM USER FORUM (TUF) CONFERENCE TOWER Software holds a users' conference annually. TUF Conferences have been held every year since 1988 and enjoy growing support. Guest Speakers, TRIM customers and developers present seminars over a 2-3 day conference which is held at a different venue each year. Previous TUF Conference Papers can be found in the Customer section of the TOWER Software Web site. All customers will be informed of the TUF Conference arrangements by mail, e-mail, and through the TOWER Software Web site. Alternatively you may contact your Account Manager for more information. TRIM DEVELOPER NETWORK The TRIM Developer network gives TRIM SDK (Software Development Kit) developers all the latest news and information on the TRIM SDK. For information see: www.towersoft.com TRIM CONTEXT ENHANCEMENT AND SOFTWARE DEVELOPMENT REQUESTS TOWER Software is committed to developing TRIM Context to maximize its usefulness to our customers. TOWER Softwares enhancements and Software Development Request system enables our customers to provide feedback on the use of TRIM Context and to request enhancements for future releases. Requests can be made by e-mailing: enh(rncemeut cr,towersoft.com.au or through our Web sites. OTHER SERVICES —TRAINING, CONSULTANCY AND DATE CONVERSION TOWER Software Value Added Resellers, offer services designed to maximize the efficiency of TRIM Context within your organization. Please contact your Value Added Reseller for more details. Welcome to TRIM Context I 5 TOWER SOFTWARE GREEN POLICY TOWER Software is committed to environmentally responsible business practice. To support this policy, TOWER has: ♦ Reduced the size of the TRIM Context product packaging to 80% of conventional packaging while at the same time increasing its quality and user -friendliness; ♦ Consolidated the number of documentation items with each package. r- ABOUT THE TRIM CONTEXT MANUAL The TRIM Context software is supported by a full user guide. TOWER Software has provided several ways for you to access this guide: ♦ A complete copy of the Guide is available online to each user on the desktop through TRIM Context,$ ♦ Your license entitles you to print as many individual topics from the outline help as you require. Thani< you for choosing TRIM Context and supporting our policy and environmentally responsible business practices. TRIM CONTEXT INSTALLATION RELEASE NOTES MINIMUM SYSTEM REQUIREMENTS FOR TRIM CONTEXT Minimum system requirements for TRIM Context servers and desktop clients are fully detailed in the document "TRIMSpec.pdf". This document can be found in the root folder of the CD-ROM. INSTALLATION ♦ Insert TRIM Context CD into your CD-ROM drive ♦ If your CD-ROM drive is set to auto run, simply follow the online instructions. If your computer does not automatically run the installation program, open the file called "runme.exe" in the CD -ROM's root folder and follow the online instructions. Welcome to TRIM Context 6 ALL RIGHTS RESERVED i TRIM and TRIM Context are trademarks of TOWER Software. Other trademarks used herein are used for reference purposes only and are trademarks of their respective owners. Welcome to TRIM Context � 7 Exhibit G TOWER Software Corporation provides support for the TRIM software package to customers throughout the world. Helpdesk coverage in the US is provided from 8 am EST to 8 PM EST Monday through Friday. The helpdesk is closed on Christmas and New Years Day. This coverage is part of the standard Annual Support and Maintenance Agreement. Support is provided both over the phone (1-800-840-9098) and by email (helpdesk(cDtowersoft.com). Standard Maintenance The TOWER Software standard maintenance includes helpdesk support for the hours and days listed above. The helpdesk can be contacted by email or phone. Additionally, standard maintenance provides, free of charge, access to all future updates and new versions of the product. Onsite Support TOWER Software will provide on -site support, the cost of this coverage is negotiated at the time the customer desires such support. The Annual Support and Maintenance Agreement provides the customer with unlimited helpdesk support and free upgrades of the software. The following is an outline of the level of support provided to all customers subscribing to our annual maintenance agreement along with the procedures for handling support calls: Additional Support Levels Where required by the customer TOWER Software can provide additional standard helpdesk support (phone and email) for periods up to 7x24 (24 hours a day 7 days a week 365 days a year). The cost of this coverage is negotiated at the onset of the contract period. Summary of Support Procedure There are four priority levels of support calls: • Priority 1 System Down: The Customer has a major problem with TRIM. Either all normal operations are not possible or the application is so impaired that the Customer's business usage cannot continue. • Priority 2 Major problem: A partial loss of operability and/or access. The Customer has a significant problem with TRIM. Operation is affected and urgent attention is required. The Customer is still fundamentally operational. • Priority 3 Minor problem: The Customer has a minor problem that has none, or little, effect on the day to day functioning of the system and/or the staff using TRIM. • Priority 4 Customer Information Request: The Customer is seeking advice on planning, installation, migration, configuration, etc. of the product. Customer Contact Response Times The following are the acceptable response times for the various priority levels: Priority Level Description 1 System Down 2 K3 0 Major Problem Minor Problem Response Time 1 hour 2 hours 4 hours Customer Information Request 2 days Escalation Matrix The following is the escalation process for the various priority levels: ''Responsible Staff Technical Support Analysis Director of Technical Support `Head Quarters Quality Assurance Priority 1 Priority 2 Priority 3 Priority 4 1 hour 2 hours 4 hours 2 days 3 hours 6 hours 4 days 1 week 12 hours Next day 1 week 2 weeks Manager of Operations, Headquarters Until fixed Until fixed Until fixed Until fixed Support Call Response Process All support calls are recorded in the Customer Support Tracking Database. The call is categorized by customer, priority, software version, build, problem type and software module affected. A problem description is also entered. The call is automatically assigned a time and date for tracking purposes. Priority 1 Support Call: Step l: Called Logged When received Step 2: Issue replicated in lab 30 Minutes Step 3: Solution researched 30 minutes Step 4: No solution, escalated to Director of Technical Support 3 hours • • • DATE: Tuesday, July 29, 2008 LOG NAME: 04EIMS PILOT REFERENCE NO.: �`�`C-22937 SUBJECT: Authorize Execution of an Agreement with Tower Software, Inc., for the Enterprise Information Management System Pilot Project for the Information Technology Solutions Department at a Cost Not to Exceed $196,616.00 RECOMMENDATION: It is recommended that the City Council authorize the City Manager to execute an agreement with Tower Software, Inc., for the Enterprise Information Management System pilot project for the Information Technology Solutions Department at a cost not to exceed $196,616.00. DISCUSSION: Information Technology (IT) Solutions will use this agreement to purchase and install Enterprise Information Management System (EIMS) Software from Tower Software as a pilot project to demonstrate the proposed system capabilities and provide justification for a long term investment for aCity-wide system implementation. The goal is to make the City's information more manageable while providing higher levels of customer service. Tower Software's proposed solution must demonstrate the capability to capture, store, manage, preserve and deliver City of Fort Worth owned information across all departments. Regardless of the type of media or the format, all information will be processed with the understanding that it should be easily located, and it has a defined lifecycle in accordance with City of Fort Worth document and record retention policies. The Statement of Work is specifically structured for the purpose of conducting a vendor managed proof of concept pilot project with a very limited scope of operations. The central focus of the pilot project will be the information products and business processes of the City Secretary's Office. The intent of this Statement of Work is to test and prove "fitness for purpose" of the software solutions proposed by the vendor. It shall be incumbent upon the vendor to successfully deliver the necessary elements of an EIMS: . Efficient storage and retrieval of recorded information under control or custody of the City; . Recorded information should be protected from unauthorized access, alteration, removal and destruction; . Eliminate unnecessary collection and maintenance of stored and/or recorded information; . Reduce costs associated with management and use of CFW s enterprise paper -based information resources and improve the capture, preservation, sharing of critical information; . Enhance enterprise accountability and transparency through improved access to, and preservation of critical records; . Increase reliability through authoritative versions while preserving and assessing the authenticity and relevance of records and protection against unauthorized alteration; . Risk avoidance through ensured preservation of records required to document rights, liabilities and responsibilities while documenting content and rationale for decisions; Logname: 04EIMS PILOT Page 1 of 2 . Enhance information security through comprehensive, secure and precise assignment of access permissions; and . Improve customer service, consistency and responsiveness. On April 11, 2007, a Request for Proposals (RFP) was issued for EIMS pilot program for software license, maintenance, support, implementation services and training. Staff from eleven City departments evaluated the proposals and recommends that the requested software and services be purchased from Tower Software. This pilot project is anticipated to begin in September 2008 and run through March 2009. Although the request for proposal was only for the pilot, quotes were also requested for projections for an enterprise wide solution. If the pilot is successful, planning will begin for an enterprise implementation project. If approved, the enterprise project is expected to take additional three years to complete. Cost Projections for EIMS Project Management Services Training Services Total Estimated Costs for Enterprise Implementation Enterprise Software Licenses Annual Software Maintenance Hardware and Maintenance Training and Support Total $184,403.00 $12,213.00 $196,616.00 $450,730.00 $103,272.00 $250,000.00 $200,000.00 $1,004,450.00 BID ADVERTISEMENT -This RFP was advertised in the Commercial Recorder on April 11 and April 18, 2007. The Purchasing Division solicited 43 vendors from the City's purchasing database system and Demandstar.com plan holders. The City received 15 proposals. M/WBE -Tower Software is in compliance with the City's M/WBE Ordinance by committing 20 percent M/WBE participation. The City's goal on this project is 15 percent. FISCAL INFORMATION/CERTIFICATION: The Finance Director certifies that funds are available in the current operating budget, as appropriated, of the Information Systems Fund. TO Fund/Account/Centers Submitted for City Manager's Office b� Originating Department Head: Additional Information Contact: FROM Fund/Account/Centers P168 539120 0045000 $196,616.00 Carl Smart (6525) Karen Montgomery (6222) Peter Anderson (8781) Mai Tran (8435) Gary Goforth (2399) Logname: 04EIMS PILOT Page 2 of 2