HomeMy WebLinkAboutThirdWave Corporation; 2000-02-23;Document Management System
City of Carlsbad
Date Accepted: 6/29 /Ol
Document Management System - Phase 2
By signing this document the City of Carlsbad accepts, as complete, Phase
2 of the Document Management System. City acknowledges that
Contractor (ThirdWave Corporation) has completed Tasks 1.0 through 10.2,
as contained on Page 2, Attachment “D”, of the February 15, 2000
Agreement for Installation and Integration of a Document Management
System.
In accordance with Section 27, of the January 8,200l Amendment No. 2 to
the Agreement, the retention amount of ninety five thousand, six hundred
thirty-three dollars and no cents ($95,633) due Contractor will be released.
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Accepted. By:
“,----.LMfaine Wood1 City Clerk
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Date
Records Mana$er
Deliverable Acceptance
1
Exhibit "A"
AMENDMENT NO. 2 TO AGREEMENT FOR INSTALLATION AND
INTEGRATION OF A DOCUMENT MANAGEMENT SYSTEM
(Third Wave Corporation)
THIS SECOND AMENDMENT to Agreement for installation and
integration of a document management system (the "Agreement") is made and
entered into this 8th day of January , 200J^, by and between the
CITY OF CARLSBAD, a political subdivision of the State of California ("City") and
Third Wave Corporation ("Contractor"), and is made with reference to the
following facts:
RECITALS
A. On September 19, 2000, the Agreement was amended to alter the
scope of work to include additional software modifications and programming
services.
B. Contractor has completed Phase I of the Agreement.
C. Pursuant to Section 27 of the Agreement, Contractor was to obtain
a surety bond for vendor performance in an amount equal to one^hundred (100)
percent of the Agreement price.
D. City is satisfied that Contractor has made a good faith effort,
without success, to obtain a surety bond for vendor performance in an amount
equal to one hundred (100) percent of the Agreement price.
E. With the Completion of Phase I of the Agreement, Contractor has
attempted, without success, to obtain a surety bond for vendor performance in
an amount equal to one hundred (100) percent of City payments for Phase 2 of
2/2/98
the Agreement. City is satisfied that Contractor has made a good faith effort in
this regard.
F. With the completion of Phase 1 of the Agreement, the Parties
desire to amend the Agreement to allow the Contractor to post an amount equal
to ten (10) percent of the total Agreement price in lieu of the surety bond
required by Section Twenty-Seven (27) of the Agreement.
NOW THEREFORE, incorporating the above recitals and in consideration
of the covenants and obligations set forth herein, the parties hereto agree as
follows:
1. Recitals. That the above Recitals are true and correct.
2. Amendment. That Paragraph 27 of the Agreement shall be
amended, in its entirety, to read as follows:
"27. SURETY FOR CONTRACTOR PERFORMANCE
As surety for Contractor performance under this Agreement,
Contractor shall provide City with ten (10) percent of the total
agreement price or ninety-five thousand six hundred thirty-three
dollars ($95,633). The ten (10) percent retention described in
Section Four (4) of this Agreement shall serve as the surety for this
Agreement, and shall not be considered a retention amount for the
purposes of this Agreement. Upon final acceptance by City of
Phase 2, City will release the surety amount to Contractor. For the
purposes of this Section 27, final acceptance by City of Phase 2
consists of the successful completion by Contractor of Tasks 1.0
through 10.2 that are contained on page 2, of Attachment "D"
3. Authority. The parties executing this Second Amendment on
behalf of Contractor represent and warrant that they have the legal power, right
and actual authority to bind Contractor to the terms and conditions hereof.
4. Severability. Each provision, term, condition, covenant, and/or
restriction, in whole and in part, in this Second Amendment shall be considered
2/2/98
.severable. In the event any provision, term, condition, covenant, and /or
restriction, in whole and in part, in this Second Amendment is declared invalid,
unconstitutional, or void for any reason, such provision or part thereof shall be
severed from this Second Amendment and shall not affect any other provision,
term, condition, covenant, and/or restriction, of this Second Amendment and the
remainder of this First Amendment shall continue in full force and effect.
5. Effective Date. This Second Amendment shall be effective upon
the date and year first above written.
2/2/98
7
.6. Agreement Provisions. Notwithstanding this Second Amendment, all
other provisions of the Agreement shall remain in full force and effect.
Acknowledged and Accepted:
CONTRACTOR:
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(name of Contractor)
By:
(print name/title)
(Proper notarial acknowledgment of execution by Contractor must be attached.
Chairman, president or vice-president and secretary, assistant secretary, CFO
or assistant treasurer must sign for corporations. Otherwise, the corporation
must attach a resolution certified by the secretary or assistant secretary under
corporate seal empowering the officer(s) signing to bind the corporation.)
APPROVED AS TO FORM:
RONALD RIBALL, City AttorneyI ««^. ^^5
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Deputy City Attorney
2/2/98
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O 1994 National Notary Association • 8236 Remmet Ave., P.O. Box 7184 « Canoga Park, CA 91309-7184 Prod. No. 5907 Reorder: Call Toll-Free 1-800-876-6827
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AGREEMENT
THIS AGREEMENT is made and entered into as of the c7&-L day of
, 2000, by and between the CITY OF CARLSBAD, a municipal
corporation, hereinafter referred to as “City”, and Third Wave Corporation, a California
Corporation, hereinafter referred to as “Contractor”, or ‘TWC”.
RECITALS
City desires to purchase a Document Management System. Through a
competitive proposal process the City has selected Third Wave Corporation as the
Contractor with the proposed solution that best fits the needs of the City to provide the
necessary the necessary software, hardware, systems integration and conversion
services for Phases 1 and 2 of the Document Management System; and Contractor
possesses the necessary skills and qualifications to provide the services required by
the City to furnish, install, implement and maintain the system;
NOW, THEREFORE, in consideration of these recitals and the mutual covenants
contained herein, City and Contractor agree as follows:
I. CONTRACTOR’S OBLIGATIONS
The Contractor agrees to provide system analysis, design, staging and
configuration, implementation, testing, document, training, document conversion,
project management, DMS hardware and software, and support, as contained in: the
City’s Request for Proposals, dated May 24, 1999 (Attachment A); Thirdwave
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rev. 12/28/99
Corporation’s Proposal for the Document Management System, dated July 9, 1999
(Attachment B); and as modified by the agreed to Additions/Modifications to the scope
of work in the Addendum to the Contract, dated January 17, 2000 (Attachment C); and
DMS Project Costs unit price list dated January 31, 2000 (Attachment D). In addition,
the Contractor grants to the City a nonexclusive, nontransferable, perpetual license for
the use of the Document Management System software, as listed in Attachment B, and
as more fully described in Attachments C and D. The City is hereby granted the rights
to use the Software according to the terms and conditions of this contract.
Contractor also agrees to provide professional services in accordance with the
Implementation Schedule set forth in Attachments A, B , C and D for the design,
configuration, delivery and installation of the software, and warrants that the software
will be and will perform as specified in the Contract. The Contractor agrees to provide
training and training materials to City personnel in the use of the software as required
by the Contract, and agrees to provide systems integration support for the installation
and implementation of the hardware and software purchased from Third Wave as
specified in the Contract and Attachments A, B, C, and D. Contractor shall assume
this task from the effective date of this Contract until successful completion of the
performance/acceptance tests for each deliverable, more particularly, the Contractor
agrees to provide the following:
Phase 1:
A. Project Initiation as listed as Task T 1 .O in Attachments A-D to this Contract.
B. Analysis and Requirements Definition as listed as Task T 2.0 in Attachments
A-D to this Contract.
rev. 12/28/99
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C. System Design as listed as Task T 3.0 in Attachments A-D to this Contact.
D. System Staging and Configuration as listed as Task T 3.0 in Attachments A-D
to this Contact.
E. System Implementation as listed as Task T 5.0 in Attachments A-D to this
Contract.
F. Comprehensive Testing as listed as Task T 6.0 in Attachments A-D to this
Contract.
G. Documentation Testing as listed as Task T 7.0 in Attachments A-D to this
Contract.
H. Training as listed as Task T 8.0 in Attachments A-D to this Contract.
I. Conversion as listed as Task T 9.0 in Attachments A-D to this Contract.
J. Project Management as listed as Task T1O.O in Attachments A-D to this
Contract.
K. Document Management System (Hardware and Software) as listed as Task T
11 .O in Attachments A-D to this Contract.
Phase 2:
A. Phase 2 Project Initiation Meeting as listed as Task T 1 .O in Attachments A-D
to this Contract.
B. Analysis and Requirements Definition as listed as Task T 2.0 in Attachments
A-D to this Contract.
C. System Design for Phase 2 as listed Task T 3.0 in Attachments A-D to this
Contract.
rev. 12128199
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D. System Staging/Configuration as listed as Task T 4.0 in Attachments A-D to
this Contract.
E. System Implementation for Phase 2 as listed as Task T 5.0 in Attachments A-
D to this Contract.
F. Comprehensive Testing as listed as Task T 6.0 in Attachments A-D to this
Contract.
G. Documentation as listed as Task 7.0 in Attachments A-D to this Contract.
H. System Training as listed as Task 8.0 in Attachments A-D to this Contract.
I. Project Management as listed as Task 9.0 in Attachments A-D to this
Contract.
J. Document Management System (DMS) Hardware and Software as listed as
Task T 10.0 in Attachments A-D to this Contract.
K. System Support as listed as Task T 11 .O in Attachments A-D to this Contract.
The Contractor will be solely responsible for: coordinating the installation of the
hardware and software at the City’s site, and will ensure the availability of personnel
required to complete the installation within the projected time frame within this contract;
ensuring that the software performs according to the specifications in Attachments A, B,
C, and D; being the sole source of contact for all Hardware and Software installation
and operation issues through Phases 1 and 2 of this Contract as specified in
Attachments A, B, C, and D to this Contract; troubleshooting any deficiencies,
problems or other conflicts in the operation of Hardware or Software to identify the
source and take whatever actions necessary to rectify the deficiency, problem or
conflict.
rev. 12/28/99 -4-
2. CITY OBLIGATIONS
The City shall have the responsibilities as set forth below:
A. The City agrees to use the Software licensed under this Contract for its own
use on the City’s computer system, with the exception that public access to the
information contained within the system may be provided in later phases either
via the internet or at onsite facilities. Accompanying documentation and user
guides may be reproduced for internal use, distribution and training purposes.
B. The City acknowledges that the City’s right to use the Software shall at all
times be subject to the restrictions set forth in this Contract.
C. The City acknowledges that the Software, including modifications made by
the Contractor, constitutes a valuable property, and the City agrees, within its
control and capacity, to hold all of the Software and related documentation in
strictest confidence, agrees not to use them except in the performance of this
Agreement, and agrees to release them only to employees requiring the
Software and related documentation. The obligation contained in this
paragraph (2C) shall exclude any matters already in the public domain or
later made public through no fault of either the contractor or the City, and
shall also exclude anything which is required to be disclosed by court order,
statute, regulation, or decree, including any applicable public open records
laws.
rev. 12128199
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D. The City agrees to assign a Project Manager and a backup Project Manager
who will serve as Contractor’s primary contact. Contractor will submit all
deliverables to the Project Manager in accordance with Section 2.6 of
Attachment C, the Addendum to the Contract. However, the city agrees that
any delay in the City’s completion of tasks shall not be considered a breach
of this Contract or a basis for added cost for the Contractor.
3. PROGRESS AND COMPLETION
The work under this contract will begin within ten (10) days after receipt of
Notification to Proceed by the City and be completed according to the Implementation
Schedule in Attachments A, B, C, and D. Extensions of time may be granted if
requested by the Contractor and agreed to in writing by the Records Manager. The
Records Manager will give allowance for documented and substantiated unforeseeable
and unavoidable delays not caused by a lack of foresight on the part of the Contractor,
or delays caused by City inaction or other agencies’ lack of timely action.
4. FEES TO BE PAID TO CONTRACTOR
The total fee payable for the services to be performed shall be as identified in
Attachment D, Phase 1: $729,351, and Phase 2: $227,282, for a total of $956,633. No
other compensation for services will be allowed except those items covered by
supplemental agreements per Paragraph 8, “Changes in Work.” The City reserves the
right to withhold a ten percent (10%) retention until the project has been accepted by
the City.
rev. 12128199
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Incremental payments, if applicable, should be made as outlined in attached
Attachments A, B, C, and D. The City will also reimburse Contractor for reasonable
expenses during this Contract, as contained in Attachment D, in amounts not to exceed
$7,520 for Phase 1 and $5,885 for Phase 2.
5. DURATION OF CONTRACT
This Contract shall commence upon issuance of the Notice to Proceed by the
City, and shall extend through the Implementation period as outlined in Attachments B,
C, and D, unless terminated as provided herein. The contract may be extended by the
City Manager for one additional one (1) year period or parts thereof, based upon a
review of satisfactory performance and the City’s needs. The parties shall prepare
extensions in writing indicating effective date and length of the extended contract.
6. PAYMENT OF FEES
Payment of fees for approved deliverable items on the invoice shall be made in
accordance with Section 2.16 of the Addendum to the Contract, Attachment C,
following and within 30 days of City testing and acceptance of each deliverable.
7. FINAL SUBMISSIONS
Within 15 days of completion and approval of the tasks and deliverables for
Phases 1 and 2, outlined in Section 1 of this Contract, and further outlined in
Attachments A, B, C, and D of this Contract, the Contractor shall deliver such
deliverables to the to the City for testing and acceptance as deemed necessary by the
City.
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a. CHANGES IN WORK
If, in the course of the contract, changes seem merited by the Contractor or the
City, and informal consultations with the other party indicate that a change in the
conditions of the contract is warranted, the Contractor or the City may request a change
in contract. Such changes shall be processed by the City in the following manner: A
letter outlining the required changes shall be forwarded to the City by Contractor to
inform them of the proposed changes along with a statement of estimated changes in
charges or time schedule. A Standard Amendment to Agreement shall be prepared by
the City and approved by the City according to the procedures described in Carlsbad
Municipal Code Section 3.28.172. Such Amendment to Agreement shall not render
ineffective or invalidate unaffected portions of the agreement.
9. COVENANTS AGAINST CONTINGENT FEES
The Contractor warrants that their firm has not employed or retained any
company or person, other than a bona fide employee working for the Contractor, to
solicit or secure this agreement, and that Contractor has not paid or agreed to pay any
company or person, other than a bona fide employee, any fee, commission,
percentage, brokerage fee, gift, or any other consideration contingent upon, or resulting
from, the award or making of this agreement. For breach or violation of this warranty,
the City shall have the right to annul this agreement without liability, or, in its discretion,
to deduct from the agreement price or consideration, or otherwise recover, the full
amount of such fee, commission, percentage, brokerage fees, gift, or contingent fee.
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rev. 12128199
10. NONDISCRIMINATION CLAUSE
The Contractor shall comply with the state and federal laws regarding
nondiscrimination.
11. TERMINATION OF CONTRACT
In the event of the Contractor’s failure to prosecute, deliver, or perform the work
as provided for in this contract, the City Manager may terminate this contract for
nonperformance by notifying the Contractor by certified mail of the termination of the
Contractor. The Contractor, thereupon, has five (5) working days to deliver said
documents owned by the City and all work in progress to the Records Manager. The
Records Manager shall make a determination of fact based upon the documents
delivered to City of the percentage of work which the Contractor has performed which is
usable and of worth to the City in having the contract completed. Based upon that
finding as reported to the City Manager, the Manager shall determine the final payment
of the contract.
This agreement may be terminated by either party upon tendering thirty (30)
days written notice to the other party. In the event of such suspension or termination,
upon request of the City, the Contractor shall assemble the work product and put same
in order for proper filing and closing and deliver said product to City. In the event of
termination, the Contractor shall be paid for work performed to the termination date;
however, the total shall not exceed the lump sum fee payable under paragraph 4. The
City Manager shall make the final determination as to the portions of tasks completed
and the compensation to be made.
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rev. 12128199
12. CLAIMS AND LAWSUITS
The Contractor agrees that any contract claim submitted to the City must be
asserted as part of the contract process as set forth in this agreement and not in
anticipation of litigation or in conjunction with litigation. The Contractor acknowledges
that if a false claim is submitted to the City, it may be considered fraud and the
Contractor may be subject to criminal prosecution. The Contractor acknowledges that
California Government Code sections 12650 et seq., the False Claims Act, provides for
civil penalties where a person knowingly submits a false claim to a public entity. These
provisions include false claims made with deliberate ignorance of the false information
or in reckless disregard of the truth or falsity of information. If the City of Carlsbad seeks
to recover penalties pursuant to the False Claims Act, it is entitled to recover its
litigation costs, including attorney’s fees. The Contractor acknowledges that the filing of
a false claim may subject the Contractor to an administrative debarment proceeding
wherein the Contractor may be prevented to act as a Contractor on any public work or
improvement for a period of up to five years. The Contractor acknowledges debarment
by another jurisdiction is grounds for the City of Carlsbad to disquali
from the selection process.
or
The provisions of Carlsbad Municipal Code sections 3.32.02
3.32.027 and 3.32.028 pertaining to false claims are
incorporated herein by reference.
rev. 12128199 -10 -
13. JURISDICTION
The Contractor agrees and hereby stipulates that the proper venue and
jurisdiction for resolution of any disputes between the parties arising out of this
agreement is San Diego County, California.
14. STATUS OF THE CONTRACTOR
The Contractor shall perform the services provided for herein in Contractor’s own
way as an independent Contractor and in pursuit of Contractor’s independent calling,
and not as an employee of the City. Contractor shall be under control of the City only
as to the result to be accomplished, but shall consult with the City as provided for in the
request for proposal. The persons used by the Contractor to provide services under this
agreement shall not be considered employees of the City for any purposes whatsoever.
The Contractor is an independent Contractor of the City. The payment made to
the Contractor pursuant to the contract shall be the full and complete compensation to
which the Contractor is entitled. The City shall not make any federal or state tax
withholdings on behalf of the Contractor or its employees or subcontractors. The City
shall not be required to pay any workers’ compensation insurance or unemployment
contributions on behalf of the Contractor or its employees or subcontractors. The
Contractor agrees to indemnify the City within 30 days for any tax, retirement
contribution, social security, overtime payment, unemployment payment or workers’
compensation payment which the City may be required to make on behalf of the
Contractor or any employee or subcontractor of the Contractor for work done under this
agreement or such indemnification amount may be deducted by the City from any
balance owing to the Contractor.
rev. 12128199 -11 -
The Contractor shall be aware of the requirements of the Immigration Reform
and Control Act of 1986 and shall comply with those requirements, including, but not
limited to, verifying the eligibility for employment of all agents, employees,
subcontractors and Consultants that are included in this agreement.
15. CONFORMITY TO LEGAL REQUIREMENTS
The Contractor shall cause all documentation and specifications to conform to all
applicable requirements of law: federal, state and local. Contractor shall provide all
necessary supporting documents to the City.
16. OWNERSHIP OF DOCUMENTS
All plans, studies, documentation, reports, and specifications as herein required
are the property of the City, whether the work for which they are made be executed or
not. In the event this contract is terminated, all documents, plans, specifications,
reports, and studies shall be delivered forthwith to the City.
17. REPRODUCTION RIGHTS
The Contractor agrees that all copyrights which arise from creation of the work
pursuant to this contract shall be vested in City and hereby agrees to relinquish all
claims to such copyrights in favor of City.
ia. HOLD HARMLESS AGREEMENT
Contractor agrees to indemnify and hold harmless the City of Carlsbad and its
officers, officials, employees and volunteers from and against all claims, damages,
losses and expenses including attorneys fees arising out of the performance of the
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rev. 12128199
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work described herein caused by any willful misconduct, or negligent act, or omission of
the contractor, any subcontractor, anyone directly or indirectly employed by any of them
or anyone for whose acts any of them may be liable.
19. ASSIGNMENT OF CONTRACT
The Contractor shall not assign this contract or any part thereof or any monies
due thereunder without the prior written consent of the City.
20. SUBCONTRACTING
If the Contractor shall subcontract any of the work to be performed under this
contract by the Contractor, Contractor shall be fully responsible to the City for the acts
and omissions of Contractor’s subcontractor and of the persons either directly or
indirectly employed by the subcontractor, as Contractor is for the acts and omissions of
persons directly employed by Contractor. Nothing contained in this contract shall
create any contractual relationship between any subcontractor of Contractor and the
City. The Contractor shall bind every subcontractor and every subcontractor of a
subcontractor by the terms of this contract applicable to Contractor’s work unless
specifically noted to the contrary in the subcontract in question approved in writing by
the City.
21. PROHIBITED INTEREST
No official of the City who is authorized in such capacity on behalf of the City to
negotiate, make, accept, or approve, or take part in negotiating, making, accepting, or
approving of this agreement, shall become directly or indirectly interested personally in
this contract or in any part thereof. No officer or employee of the City who is authorized
in such capacity and on behalf of the City to exercise any executive, supervisory, or
rev. 12/28/99
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similar functions in connection with the performance of this contract shall become
directly or indirectly interested personally in this contract or any part thereof.
22. VERBAL AGREEMENT OR CONVERSATION
No verbal agreement or conversation with any officer, agent, or employee of the
City, either before, during or after the execution of this contract, shall affect or modify
any of the terms or obligations herein contained nor entitle the Contractor to any
additional payment whatsoever under the terms of this contract.
23. SUCCESSORS OR ASSIGNS
Subject to the provisions of Paragraph 18, “Hold Harmless Agreement,” all
terms, conditions, and provisions hereof shall inure to and shall bind each of the parties
hereto, and each of their respective heirs, executors, administrators, successors, and
assigns.
24. EFFECTIVE DATE
This agreement shall be effective on and from the day and year first written
above.
25. CONFLICT OF INTEREST
The City has determined, using the guidelines of the Political Reform Act and the
City’s conflict of interest code, that the Contractor will not be required to file a conflict of
interest statement as a requirement of this agreement. However, Contractor hereby
acknowledges that Contractor has the legal responsibility for complying with the
Political Reform Act and nothing in this agreement releases Contractor from this
responsibility.
rev. 12128199
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26. INSURANCE
The Contractor shall obtain and maintain for the duration of the contract and any
and all amendments insurance against claims for injuries to persons or damage to
property which may arise out of or in connection with performance of the work
hereunder by the Contractor, his agents, representatives, employees or subcontractors.
Said insurance shall be obtained from an insurance carrier admitted and authorized to
do business in the State of California. The insurance carrier is required to have a
current Best’s Key Rating of not less than “A-Y and shall meet the City’s policy for
insurance as stated in Resolution No. 91-403.
A. Coveraaes and Limits.
Contractor shall maintain the types of coverages and minimum limits
indicated herein, unless a lower amount is approved by the City Attorney or City
Manager:
1. Comprehensive General Liability Insurance. $1 ,OOO,OOO combined
single-limit per occurrence for bodily injury, personal injury and property damage. If the
submitted policies contain aggregate limits, general aggregate limits shall apply
separately to the work under this contract or the general aggregate shall be twice the
required per occurrence limit.
2. Automobile Liability (if the use of an automobile is involved for
Contractor’s work for the City). $1 ,OOO,OOO combined single-limit per accident for bodily
injury and property damage.
rev. 12128199
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3. Workers’ Compensation and Employer’s Liability. Workers’
Compensation limits as required by the Labor Code of the State of California and
Employer% Liability limits of $1 ,OOO,OOO per accident for bodily injury.
4. Professional Liability. Errors and omissions liability appropriate to
the contractor’s profession with limits of not less than $1 ,OOO,OOO per claim. Coverage
shall be maintained for a period of five years following the date of completion of the
work.
B. Additional Provisions.
Contractor shall ensure that the policies of insurance required under this
agreement contain, or are endorsed to contain, the following provisions.
1. The City shall be named as an additional insured on all policies
excluding Workers’ Compensation and Professional Liability.
2. The Contractor shall furnish certificates of insurance to the City
before commencement of work.
3. The Contractor shall obtain occurrence coverage, excluding
Professional Liability which shall be written as claims-made coverage.
4. This insurance shall be in force during the life of the agreement and
any extension thereof and shall not be canceled without 30 days prior written notice to
the City sent by certified mail.
5. If the Contractor fails to maintain any of the insurance coverages
required herein, then the City will have the option to declare the Contractor in breach, or
may purchase replacement insurance or pay the premiums that are due on existing
policies in order that the required coverages may be maintained. The Contractor is
-16 -
rev. 12/28/99
27. PERFORMANCE BOND
As surety for vendor performance under this Contract, the Contractor will
furnish a surety bond executed by a surety company duly authorized to do business in
California in an amount at least equal to one hundred percent (100%) of the contract
price. The bond will be required within twenty (20) days from the date of award of the
contract.
28. RESPONSIBLE PARTIES
The name of the persons who are authorized to give written notices or to receive
written notice on behalf of the City and on behalf of the Contractor in connection with
the foregoing are as follows:
For City:
For Contractor:
Title Records Manager, Citv of Carlsbad
Name Lorraine M. Wood
Address 1200 Carlsbad Villaae Drive
Carlsbad. CA 92008-I 989
Title President/CEO, Third Wave Corooration
Name Rev R. Hernandez
Address 11400 West Olvmoic Boulevard. Suite 650
Los Angeles, CA 90064
29. BUSINESS LICENSE
Contractor shall obtain and maintain a City of Carlsbad Business License for the
duration of the contract.
rev. 12/28/99
-17 -
29. BUSINESS LICENSE
Contractor shall obtain and maintain a City of Carlsbad Business License for the
duration of the contract.
30. ENTIRE AGREEMENT
This agreement, together with any other written document referred to or
contemplated herein, along with the purchase order for this contract and its provisions,
embody the entire agreement and understanding between the parties relating to the
subject matter hereof. In case of conflict, the terms of the agreement supersede the
purchase order. Neither this agreement nor any provision hereof may be amended,
modified, waived or discharged except by an instrument in writing executed by the party
against which enforcement of such amendment, waiver or discharge is sought.
* Executed by Contractor this 4-w day of mE(-)f#r ,200o.
CONTRACTOR:
Tm.mAlfw5 -c (name of Contractor)
By::
(sign here)
ATTEST:
City Clerk
(Proper notarial acknowledgment of execution by Contractor must be attached.
Chairman, president or vice-president and secretary, assistant secretary, CFO or
assistant treasurer must sign for corporations. Otherwise, the corporation must attach a
-18 -
rev. 12128199
Resolution certified by the secretary or assistant secretary under corporate seal
empowering the officer(s) signing to bind the corporation.)
APPROVED AS TO FORM:
rev. 12128199 -19 -
ALL-PURPOSE ACKNOWLEDGMENT
~*~~~e-*-*~o-*-e-e~*~e~e-*-alte-o-*~o
State of California
County of ?/ok 4h.xGAzGs 1 ss.
On 400 before me, ~L&~zzG %tLi? i-J , ‘W-1 (NOTARY)
personally appeared $!-oti - t&&t4 QtabEZ r: SG.e&o pJiGR?&-u3~-7
SIGNER(S) m personally known to me - OR- q proved to me on the basis of satisfactory
evidence to be the person(s) whose name(s)
isfare subscribed to the within instrument and
acknowledged to me that h&he/they executed
the same in M&er/their authorized
capacity(ies), and that by l&+h&their
signature(s) on the instrument the person(s),
RY PWIC CALIFORNIA or the entity upon behalf of which the
person(s) acted, executed the instrument.
WITNESS my hand and official seal.
I NOTARY’S SIGNATURE
OPTIONAL INFORMATION
The information below is not required by law. However, it could prevent fraudulent attachment of this acknowl-
edgment to an unauthorized document.
CAPACITYCLAIMED BYSICNER (PRINCIPAL)
cl INDIVIDUAL
P ORPORATE OFFICER
TITLE(S)
0 PARTNER(S) q ATTORNEY-IN-FACT q TRUSTEE(S)
cl GUARDIAN/CONSERVATOR
DESCRIPTIONOFATTACHEDDOCUMENT
g.Gia-adT
mE OR TYPE OF DOCUMENT
NUMtiR OF PAGES
0 OTHER:
SIGNER IS REPRESENTING: I.
OTHER
-ea.-00 0-0. e-e-0-e-e-e oe -*-o-e ~0em-m
APA l/94 VALLEY-SIERRA, 800-362-3369
. ITACHMElNT "C"
Addendum To
Contract between the City of Carlsbad and ThirdWave Corp.
January 17.2000
1. Introduction
The Request for Proposal issued by the City specified the scope of work and
deliverables required for this contract. Both the RFP and WC’s proposal are an integral part of this contract. (See Attachments A and B to Contract) I
2. Additions/Modifications to the Scope of Work and
Deliverables
The City and TWC agree the following additions and/or modifications to the RFP
te. This section also includes clarifications of WC’s proposal. I
2.1 Prototypes (City of Carl&ad RFP Page 9, Par. 2.2.1)
TWC will deliver “working” prototypes of system functionality, workflows and
screens, not just prototypes on paper or screen layouts. These prototypes will be evaluated by a small group of users who will be given a sufficient amount of time
to complete their evaluation (estimated at two weeks per prototype). lWC will train selected users on each prototype before the two-week evaluation period
starts. These users will train other users who will participate in the evaluation
period.
TWC will install and test the software required to evaluation the prototypes and
be readily available by phone to answer questions during the evaluation period.
2.2 Network Analysis (WC Proposal Page 5.5, Par. 53.1, T 2. I)
TWC will conduct one or more meetings with individual City staff members or
with groups of City staff, as appropriate. These meetings will involve actual
inspection of facilities and systems. They will be conducted in an attempt to
identify potential problems and system performance issues. TWC will provide a
Draft 1
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Document Management Contract
list of issues and estimated transactions for projected image network traffic as
part of the deliverables for this task. TWC will make recommendations for
network enhancements, if appropriate.
2.3 Indexing (City of Carlsbad RFP Page 9, Par. 2.2.7)
The City stated that while the City Clerk has a good idea of what they want from
the DMS, other user groups have never come together to discuss and identify
indexing requirements. TWC will conduct meetings with the users to determine
indexing requirements. Document type determination must occur early on so that
the appropriate document type bar codes can be inserted during document
preparation.
Groups involved in the indexing discussions will be Water, Engineering and City
Clerk.
2.4 Training (City of Carlsbad RFP Page 9, Par. 2.2.1)
The City reserves the right to require TWC to replace a trainer if the City thinks
the trainer is not effective.
TWC will submit training materials for the City’s review at least two weeks before scheduled classes. TWC will customize training materials to reflect the system
delivered to the City. They will customize exercises, using the City’s work/documents. City wants to make sure that the training materials only show screens that the users will be seeing (not generic FileNET “out of the box”
screens). lVVC will modify the generic FileNET training materials to reflect the
DMS system as configured by TWC.
There are 3 types of users to be trained: 1) system admit-r, 2) scanner users and
3) general users. TWC will provide 3 different types of training. Additionally, for
markup users the general training will cover viewing first and let those go that are
not interested in the markup training covered later in the class.
FileNet trainers will be doing most of the training. ThirdWave trainers will train only on
the “configured” and “customized” pieces. ,
Draft 1
2
2.5 Project Meetings (City of Carlsbad RFP Page 70, Par. 2.2.1)
The City and TWC will have weekly progress meetings. The City will determine
on an individual basis if the meeting with be face-to-face or via teleconference.
TWC will provide formal status reports on a monthly basis. These reports will
identify activities completed, in process, or not started. The reports will also
identify any issues the City should address to keep the project on schedule.
2.6 Project Manager
The City will assign a project manager and a backup project manager who will
serve as lVVc’s primary contact. WC will submit all deliverables to the project
manager.
2.7 Security (City of Carlsbad RFP Page IS, Par. 2.3.28)
Security and “electronic signatures” will be accomplished via user logon and
password only. Certificates are not required.
2.8 Electronic Submittals (City of Carlsbad RFP Page f4, Par.
2.2.6 and 2.2.7)
The City will provide the labor to import the files (new work) that arrive via
electronic submittal. WC will provide the procedures for electronic submittal of
documents. The Spicer soflware provides the markup capability.
2.9 Electronic document format
Electronic documents will be stored on the DMS in native format. The system will
provide the option of rendering these documents as PDF.
2.9 Conversion (City of Carlsbad RFP Page II - 14, Par. 2.2.3 -
2.2.5)
2.9.1 On site or off site conversion - TBD
Draff 1
3
2.9.2 Batch size. IKON was planning on performing the conversion in 4 or 5 1
batches (340,000 to 425,000 pages in a batch). This approach needs to
be evaluated by the City since it may be logistically difficult given the City’s
staff availability.
2.9.3 Document preparation. The City is concerned with keeping up with the 1
dacument preparation which was originally estimated to be 4,750 hours by
IKON. At this point, the City has I .5 staff planned for this task. After the
document preparation effort is requoted, 3 scenarios will be evaluated: 1)
IKON performs the document preparation, 2) City performs the document
preparation and 3) TWC staff performs the document preparation.
2.9.4 City QC. WC will loan the City two workstations with QC software to
perform acceptance. IKON provided a ballpark estimate of statistical
acceptance for the City QC which came to an average of 5% of the images at 3 seconds per image. The City will determine a reasonable
acceptance time period for conversion deliverables after they QA the first two batches of converted documents. TVVWIKON will consider other
acceptance time periods. I
2.9.5 Loading data. TWC is responsible for bulk loading converted data and
indexes.
2.9.6 Format. Converted documents will be delivered in PDF image and hidden
text format.
2.9.7 Minimum quantities. The minimum number of documents for conversion
is 350,000 business documents /A or leaal size) and II 1,000
drawinas (B throuah E size). If the actual document quantities fall below I this number, the full amount of estimated document quantities stated in
the RFP will be charged and price will be re-negotiated accordingly.
2.9.8 Tapes. TWC will retain tapes of the City’s converted files for a year afier
the last batch has been accepted.
2.9.9 Accuracy. TWC agrees to deliver 98% accuracy for converted documents
and agrees to rescan/index documents that do not meet these quality I standards. TWC and the City will jointly develop a quality standards plan
that includes samples and definitions of acceptable quality. The City
acknowledges that scanned drawings will not produce images that
perfectly match the paper drawings.
Draft 1
4
_-.
Document Management Contract
2.10 Owner rights to delete document.
TWC will define how FileNet’s security features will be applied to a document
owner’s rights when the originator is no longer the owner. TWC will include the
solution in their design spec which the City will review before the system is
configured.
2. II Cashiefing. (City of Carlsbad RFP Page 19, Par. 2.3.48)
TWC will deliver a system that allows users to delete items from their “shopping cart” prior to submitting for print.
2.12 System Design Specification
After interviews with selected user groups, TWC will deliver a system design
specification that will identify system functionality and how the system will deliver
these functions on the fat and thin client workstations. For example, a clearly defined database design, easy to use retrieval screen(s), button to cancel search
queries, personal work space, ability to display attributes along side a PDF file,
ability to mark up drawings and documents via a tightly integrated viewer, printing
banners, ability to produce system reports, users ability to s&-documents on hit I
lists.
2.13 Documentation
Third Wave will provide system documentation indexed by subject in hard copy
and in Word format, including:
- table definitions
- defined index fields
- screens
- management reports - workflow diagrams
- database design specifications - cashiering module/application
- data path describing electronic document movement and storage
- list and specifications for each system component
- system documentation explaining how system components are integrated
- system administration functions, including detailed instructions for system
back up and start up after an unplanned system shut down
Draf& 1
5
2.x Browser support. Kitv of Carlsbad RFP Page 24 of 42. Para. 2.4.10.11
The supported level of browser shall onlv include those that are Y2K comoliant.
2.x Possible Future Additions to this Contract
2.x.x Email in&oration with Groupwise is on hold for now. The City mav ask
TWC to oerform this inteoration in the future.
2.x x Records Mana e nt a me sotiare like “Foremost” is on hold for now. The .
Citv may ask TWC to SUDDI~ this in the future.
2.x.x Content Search with Excalibur is on hold for now. The Citv mav ask TWC
to oerform SUDDI~ this in the future.
2.14 IVR. (City of Carlsbad RFP Page 20, Par. 2.3.73)
TWC will provide information about IVR and the potential interface to the DMS to
the City.
2.15 Test Environment
ThirdWave will create a duplicate City system environment at their offices in Los
Angeles. A small subset of documents will be loaded on this system as part of the initial installation test. The test system will then be installed at the City’s
facilities. This system will be used for the acceptance test. Upon system
acceptance, TWC will migrate the entire test system into the production system.
On an on-going basis, TWC will test new releases on a test system that mirrors
the City’s installed system prior to the City installing the new release.
2.16 Worknow
TWC will test Panagon lntearated Workflo (formeriv Ensemble), provide a
demonstration to the City of their recommendations for implementing this
software. There will be no additional costs for this module or for its
implementation.
Draft 1 .
6
2.17 System Support and Maintenance
Ike vasted our vrovosal maintenance and suvvort resvonse below. Issues
we would have with the wav vou ‘ve written the suvvort varaaravh are in
*to
avect to be vaid for the on-site services fvhone suvvort is covered under the
maintenance fee). unless we’ve caused the Citv ‘s vroblem.
6.6 Maintenance
Maintenance - Software $9.634 1 $6.326
6.7 Technical SUDDOI-~
c
the mevious naramaoh.
6.7.1 Ripht To New Versions
Rieht To New Versions is included in the m-ice of your Silver technical su~tlort uromam,
ensuring that YOU receive all minor and maior FileNET software releases.
4.7.2 TeIeDhone Support
When YOU call for sumort. we will make every effort to immediatelv connect YOU with a
technical SUDDOI-~ entzineer. This method of suouort has been considered the most effective model
bv the SSPA (Software Surmort Professionals Association).
6.7.3 Targeted Remonse Times
. 2Hours-S t c
th 90%ofu 1
. 8 Hours- Intermittent Problem (Minor or intermittent Droblem is not sitificantlv affecting
production).
l Within 24 Hours - Incident Creation via the Web
6.7.4 Hours of Coverage
Technical SUDDO~~ is available via telenhone Mondav throuph Fridav. 8:00 a.m. to 6 o.m.,
customer local time. Actual davs and hours of coverage mav vary bv region. After Hours and
Weekend / Holidav technical assistance can be Durchased for an annual fee. &lifts are calculated
as
6.7.5 On-site SUDDO~~
Draft I
7
-.
Document Management Contract
On-site technical suDDort is available on a time and materials basis at $250 txr hour plus travel
exDenses at cost.
support
TWC will provide technical support by telephone Monday - Friday, from 7:30
a.m. - 530 p.m. Pacific Time. TWC will provide on-site assistance, not related to
system maintenance, when required. Typical issues that fall under the support
contract are: retraining users and system administrators, and system refinement.
WC. will provide written estimates for new system development requested after
system acceptance.
Maintenance
TWC will provide maintenance for all system components, Monday - Friday, 7:30 a.m. - 530 p.m. Pacific Time. TWC will provide graduated levels of response
reflecting the seventy of the problem.
l If the system is down, i.e., users cannot retrieve, print or add documents,
TWC will respond within two hours.
l If the system is partially operable, i.e., users can retrieve documents but not
add them, TWC will respond within four hours.
l If the system is operable but malfunctioning in ways that still allow users to retrieve, print and add documents, response time will be eight hours.
The maintenance agreement covers testing custom pieces with new FileNet
releases to ensure compatibility. If there are incompatibilities, TWC will modify
the custom pieces at no charge to the City.
Draft 1
8
2.16 Payment Terms
The City will pay upon a deliverable basis after City acceptance of a deliverable.
TWC’s proposal paragraph 6.10 outlines the compensation schedule. TWC will
submit each deliverable with a cover form describing the deliverable. The City will
review the deliverable and signify acceptance by signing the cover form and
returning it to TWC in a reasonable timeframe. If the City’s review determines the
deliverable is unacceptable, the City’s project manager will specify the problem
on the cover form and return it and the deliverable to TWC.
City owned hardware and software will be classified as “City owned” when it arrives at ThirdWave and will be invoiced at that time. I
Costs for conversion planning and engineering during the first 4 to 6 weeks will be invoiced at that time and credited upon delivery of the first few batches. I
Draft 1
9
: “. , i; .’
‘r- ;- t b
4
ATTACHMENT I'D"
City of Carlsbad DMS ProJect Costs on a Unit Price Basis
.-. _,___
n-tegement System (DMS) Mire Design 32501 i
IT T.1 ISystems Admlnislranorl GlJiie I 11 4,4w 4
II AAAOI A
‘Mm 1 1.025
bIteI 1 3.250
n Tmbdn~
D 3.325
Task 9.0
TB.l
Cusfom Tailored Ebdmnk Woddbw Training
Convomlon
CMnrerokn of Community Devekprnanthblk Worics. City
CM& files, City C&k’s Inda~~. Engineedng Access database.
Water DisMd Access database
T9.1.1 lThirdWav8 will evaluate and We the feasibility of 1 345 345 lmnvarlhn lhm ci Cln&k in& ,-._- - .--- -.., -.-.. _ -...-_
p33llveltSekctedSetsofFilal3 intheCityCk&‘sDeparlmemt OfDr&ftgSfRltlltheCMllilNinity
p 35
on-slteatthecily 11
kinder 01 0 m. QA and Bulk Loadkg System 1701 1501 25$wa
lI3112ooo 835 AM lof2
4
City of Carlsbad DMS ProJect Costs on a Unit Price Basis
.__ . ..____ m
1 5,780 5.75g dtlon
,YW . ..mW”~ YsmwMl 1 z5so 2.580 1.L-12-m L^--L.... 1 10 Pltl .n a.n
1 4
P Y- dfaly at Tlllrdwave II 3,9C”’ I-
I 11 1
I I ‘-.,Y,“, m-w,“‘”
I I I
l- 1 1.625 1 ,ez. h 11 2Qll5 Z~ans ____ , -.___
- -.-,- . ..-_-. __- ._.._ --.I. .-. --- - .-
D 0.3.2.3 FileNET Working with Dmwhgb I 1 . ,542
D 8.3.24 Cusbm Training - Importing I Scannlng Maps .I -150 3,lM) D 3.3.2.5 Q&,,,,T&,&&&nniiWn-Tmhiv l!%ll 9 15n I I -,
-..- ..-..--._ ..-._ 11 3.‘.--, -, .-- I I I
1/31/2om 8:35 AM 2d2
h ATTACHMENT "A"
May 24,1999
RFP NO. 8
REQUEST FOR PROPOSAL
PROPOSALS DUE: JULY 6,1999
4:00 PM
FOR: A DOCUMENT MANAGEMENT SYSTEM
The City of Carlsbad is requesting proposals for a document management system per the
specifications and conditions below and attached. Questions concerning this proposal, or
the City’s request for proposal process in general, must be submitted per this proposal’s
requirements (see paragraph 1.6). A mandatory pre-proposal vendor’s conference will be
held.
A reminder: proposals submitted a manner not in accordance with the specifications in the
request for proposal, may be rejected. The Representation and Certification page must be
completed and returned with this quotation. The City of Carlsbad encourages the participation of minority- and woman-owned businesses.
KEVIN DAVIS
Buyer
Attachment
DATE: JULY 6,1999
PROPOSALDESCRIPTION: DOCUMENT MANAGEMENT SYSTEM
E’ROIPOS~NO. 8
TO: CITY OF CARLSBAD PURCHASING DEPARTMENT 1200 CARLSBADVILLAGE DRIVE
1200 Carlsbad Village Drive - Carlsbad, CA 92008-1989 l (760) 434-2803 l FAX (760) 434-1987
c CITY OF CARLSBAD
Purchasing Department
1200 Carlsbad Village Drive
Carl&ad CA 92008
REPRESENTATION AND CERTIFICATION
The following representation and certification should be completed, signed and returned to Cii of Cartsbad.
REPRESENTATIONS: Mark all applicable blanks. This offeror
represents as part of this offer that the ownership, operation and
control of the business, in accordance with the specific
definitions listedbelow is:
Caucasian I I
Native-American
Asian-Indian
DEFINITIONS:
MINORITY BUSINESS ENTERPRISE: ‘Minority Business’ is
defined as a business, at least 51 percent of which is owned,
operated and controlled by minority group members, or in the
case of publicly owned businesses, at least 51 percent of which is
owned, operated and controlled by minority group members. The
Small Business Administration defines the socially and
economically disadvantaged (minorities) as Black American,
Hispanic American, Native Americans (i.e. American Indian,
Eskimos, Aleuts and Native Hawaiians), and Asian-Pacific
Americans (i.e., U.S. Citizens whose origins are from Japan,
China, the Philippines, Vietnam, Korea, Samoa, Guam, the U.S.
Trust Territories of the Pacific, Northern Marianas, Laos,
Cambodia and Taiwan).
Are you currently certifii by CALTRANS?
YES NO-
Certification #:
CERTIFICATION OF BUSINESS REPRESENTATION(S):
Mark all applicable blanks. This offeror represents as a part of
this offer that:
This firm is_, is not- a minority business.
This firm is-, is not- a woman-owned business.
WOMAN-OWNED BUSINESS: A woman-owned business is a
business of which at least 51 percent is owned, controlled and
operated by a woman or women. Controlled is defined as
exercising the power to make policy decisions. Operation is
defined as actually involved in the day-today management.
FIRMS PRIMARY PRODUCTS OR SERVICE:
CONSTRUCTION CONTRACTOR:
CLASSIFICATION(S):
LICENSE NUMBER:
TAXPAYERS I.D. NO.
CERTIFICATION: The information furnished is certified to be factual and correct as of the date submitted.
COMPANY NAME PRINTED NAME
ADDRESS TITLE
CITY, STATE AND ZIP SIGNATURE
TELEPHONE NUMBER DATE
1195
The City of Carlsbad
Document Management System
Request for Proposal
May 24,1999
TABLE OF CONTENTS
1. BACKGROUND AND GENERAL INFORMATION .............................................................. . . ... 1
1.1. GENERAL I~JFORMATION .................................................................................................................. 1
1.2. INTRODUCTION ................................................................................................................................. 1
1.3. RFPSCHEDLJLE ................................................................................................................................ 2
1.4. PROPOSAL SUBMISSION INFORMATION ........................................................................................... .2
1.4.1. Proposal Format.. .................................................................................................................. .2
1.4.2. Supplemental Information.. .................................................................................................... .3
1.4.3. Number of Proposals.. ............................................................................................................ .3
1.4.4. Master Proposal.. ................................................................................................................... .3
1.4.5 Complete Proposals ............................................................................................................... .3
1.4.6. Alternate Proposals.. .............................................................................................................. .3
1.4.7. Retention of Proposals ........................................................................................................... .4
1.5. VENDOR COMMUNICATIONS ............................................................................................................ 4
1.6. SUBMITTING QVESTIONS ............................................................................................................... ...4
1.7. VENDORS' CONFERENCE ............................................................................................................... ...4
1.8. ORAL PRESENTATIONS AND DEMONSTRATIONS ............................................................................... 5
1.9. SITE VISITS ...................................................................................................................................... .
1.10. EVALUATIONCRITERIA ................................................................................................................ 5
1.10.1. Technical Solution.. ............................................................................................................ .5
1.10.2. Project Management .......................................................................................................... .6
1.10.3. Cost.. ................................................................................................................................... .6
1.10.4. References & Site Visit.. ..................................................................................................... .6
1.10.5. Financial Qualifications.. ................................................................................................... .7
1.11. NOnFICAnON ........................................................................................................................ ......7
1.12. INCORPORATION OF RFP AND PROPOSAL .................................................................................. ...7
1.13. PERFORMANCE BOND.. ................................................................................................................ .7
1.14. INSURANCE .................................................................................................................................. 8
2. SCOPE OF WORK ................................ ..” ....................................................................................... 8
2.1. BACKGROUND, GOALS & OBJECTIVE-S.. .......................................................................................... .8
2.2. SYSTEMDESCRIPTION ...................................................................................................................... 9
2.2.1. Phased Implementation .......................................................................................................... .9
2.2.2. Users & Support Sta#. .......................................................................................................... I I
2.2.3. Conversion Preparation and Volumes .................................................................................. I I
2.2.4. Conversion Indexing Requirements - City Clerk.. ............................................................... .I2
2.2.5. Conversion Indexing Requirements - Maps and Drawings ................................................. .I3
2.2.6. Indexing New Documents - City Clerk ................................................................................ .I4
2.2.7. Indexing New Documents - Drawings and Maps ................................................................ .I4
2.2.8. Estimated Volume of New Work for Phases I & 2.. ............................................................. .I4
2.2.9. Retrieval Volume .............................................................................................. .:. ................. .I5
2.2.10. Hardware and Software .................................................................................................... I5
2.3. SYSTEMFUNCTIONALITYDISCUSSION ......................................................................................... ..17
2.4. MANDATORY REQ~IREMENT~........................................................................................................~ 1
2.4. I. Compliance Matrix.. ............................................................................................................. .21
2.4.2. Manage both Images and Electronic Documents.. ............................................................... .21
2.4.3. Capturing .............................................................................................................................. 21
2.4.4. Scanning Requirements ........................................................................................................ .22
2.4.5. Indexing Requirements.. ....................................................................................................... .22
2.4.6. Retrieval Requirements ........................................................................................................ .23
2.4.7. Navigation ............................................................................................................................. 23
2.4.8. Workflow Requirements.. ...................................................................................................... .24
2.4.9. User help ............................................................................................................................... 24
2.4.10. Public Access Requirements .............................................................................................. 24
2.4.11. Database ........................................................................................................................... .25
2.4.12. Reporting .......................................................................................................................... .26
2.4.13. Fax ..................................................................................................................................... 26
2.4.14. System Administration ....................................................................................................... 26
2.4.15. Storage ............................................................................................................................. .2 7
2.4.16. Architecture ....................................................................................................................... 27
2.5. TRAINING ....................................................................................................................................... 28
2.6. DOCUMENTATION .......................................................................................................................... 29
2.7. HARDWAREANDSOFIWARE~AN~E ................................................................................ .30
2.8. CONVER~IONSERVICES .................................................................................................................. 30
3. PROJECT PLAN ............. ..~““..“........““..........................................”.........................~ ............... 31
3.1. WTRODU~TI~N ............................................................................................................................... 31
3.2. PROJECT PLAN ............................................................................................................................ ...3 1
3.2.1. Project Plan and Personnel ................................................................................................. .31
3.2.2. Vendor Validation of Processes ........................................................................................... .31
3.2.3. Site Preparation Documents.. ............................................................................................... .31
3.2.4. Final Configuration.. ............................................................................................................ .31
3.2.5. User Interface/Prototype Demonstration ............................................................................. .31
3.2.6. User Testing .......................................................................................................................... 31
3.2.7. System Components.. ............................................................................................................ .32
3.2.8. Acceptance Test and Installation.. ........................................................................................ .32
3.3. PROJECT STATUS MEE~GS..........................................................................................................~ 2
4. PRICING .......................................................................................................................................... 32
4.1. INTRODUCnON...............................................................................................................................3 2 4.2. IMPLEMENTATION .......................................................................................................................... 32
4.3. SOFTWAREPRICING ...................................................................................................................... .32
4.3.1. System Software.. .................................................................................................................. .33
4.4. TRAINING ....................................................................................................................................... 33
4.5. DOCUMENTATION ......................................................................................................................... .33
4.6. MAMT~ANCE ............................................................................................................................... 33
4.6.1. Vendor’s Software.. ............................................................................................................... .33
4.7. TECHNEALSUPPORT ..................................................................................................................... 33
4.8. OTHERCOSTS ................................................................................................................................ 33
4.9. PRICINGTABLE~ ............................................................................................................................ 34
5. TERMS & CONDITIONS .............................................................................................................. 35
APPENDIX A . . . . . . . . ..U.................................................................................................................................. 37
APPENDIX B . . . . . . . . . . ..U.......................“..........”........................................................................................... 38
APPENDIX C . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..“....................................................................................................... 39
The Citv of Carisbad Document Manaaement RFP
1. Background and General InfomMtion
1.1. General Information
The City of Carlsbad is issuing this request for proposal (RFP) for the purchase and imple-
mentation of a document management system (DMS) system.
The City of Carlsbad, California, is located 35 miles north of the City of San Diego on the southern California coast. The City serves an area of approximately 47 square miles and has a
population of over 73,000. Industries in the area include a major regional shopping center, 22
auto dealers, 24 hotels, several businesses, light industry parks, as well as numerous land de-
velopers building single and multifamily housing in a variety of community settings. It is an- ticipated that build-out will occur in 25 - 30 years with an ultimate population of approxi-
mately 120,000.
The City incorporated in 1952, and has a Council/Manager form of government. The City
Council consists of a Mayor and four Council Members. The combined operating budget for the City is in excess of $82.6 million with a capital budget of approximately $67.2 million.
The City currently has approximately 500 full time employees, spread over 30 locations
throughout the City. In the third quarter of 1999, several departments will move to a new
building called Faraday. The City Clerk, City Attorney, City Manager and Council will re- main at City Hall.
1.2. Introduction
The City of Carlsbad contracted with @dot, an independent consulting firm specializing in
document management technology, to perform a feasibility study for document imag- ing/management throughout the City. The study was conducted during September and Octo-
ber 1998, in conjunction with the City’s Project Team comprised of representatives from
most departments.
@dot conducted a parallel records management requirements study that included a file in-
ventory in all departments.
Background and General Information Page 1 of 42
The Citv of Carlsbad Doiument Manaaement RFP
1.3. RFP Schedule
The following is a list of the activities relevant to the RFP process. The City of Carlsbad re- serves the right to change these dates and will notify vendors if this occurs.
1.4.
at 4:00 pm. Proposals must be sealed and returned in an en-
may be shipped separately but should be received prior
to the proposal opening date and time. Proposals should be submitted:
Due Date: July 6, 1999
Time: 490 p.m.
Place: Purchasing Department
The City of Carlsbad
1200 Carlsbad Village Drive
Carlsbad CA 92008
No proposals will be accepted after the due date and time. Failure to follow all proposal
preparation instructions may be cause to consider your proposal non-responsive.
All proposals must be submitted in writing. No telegraphic, faxed, e-mailed, or telephone of- fers will be accepted.
The City of Carlsbad is not responsible for any costs incurred by the vendor in the preparation
of the proposal, the site visit, or any pre-contract work.
The City of Carlsbad reserves the right to reject any or all proposals.
If this RFP is amended, the amendment will be sent to each vendor in writing. No oral amendments will be considered or acknowledged. Vendors are required to acknowledge re-
ceipt of each amendment in their proposal cover letter.
1.4.1. Proposal Format
Vendors are requested to follow the proposal format provided in the RFP. This format pro- vides a section layout for the proposal and also provides a layout for the pricing section. Ven-
Background and General Information Page 2 of 42
The Cltv of Carl&ad Document Manaaement RFP
dors are required to provide a Letter of Transmittal with proposals signed by a corporate offr-
cer.
Vendors are welcome to copy and paste sections of this document to facilitate the creation of
their responses. In particular, the point-by-point responses or the pricing spreadsheets may be useful as a basis for response information.
Volume 1 - Technical Proposal
Section 1 General Information
Section 2 System Description & Response to Section 2.3
Section 3 Compliance Matrix
Section 4 Training Plan
Section 5 Project Plan
Section 6 Pricing
Section 7 Terms and Conditions
1.4.2. Supplemental Information
Vendors who provide supplemental information such as CD-ROM demonstrations, manuals,
financial reports, brochures, or other supporting documentation may submit that information with their proposal. Supplemental information must be separately bound and marked as an
appendix to the vendor’s proposal. Appendices shall be marked as Appendix A, Appendix B,
etc.
References to supplemental material must identify the appendix letter and specific page, if
needed.
1.4.3. Number of Proposals
Vendors shall provide 10 copies of each volume. Each volume must be clearly marked.
1.4.4. Master Proposal
One copy of the proposal shall be marked “Original Copy” and shall contain an original sig-
nature on the cover letter.
1.45 Complete Proposals
Vendors submitting proposals must submit complete proposals that respond to all require- ments within this RPP. Vendors may not selectively address selected requirements and submit
a partial proposal. Since this project involves both backfile conversion and new system acqui-
sition, it is imperative for vendors to include complete proposals.
1.4.6. Alternate Proposals
The City of Carlsbad is relying on the vendor’s expertise to ensure that all functional require-
ments are met. If the hardware, software or other specific requirements described in this RPP would not meet the functional requirements, then the vendor must submit a clearly marked
Alternate Proposal meeting those functional requirements and identifying deviations from the specific requirements of the RPP. To facilitate the evaluation of competing proposals, all pro- posals must identify each way in which the proposal deviates from the requirements stated in
this RPP. Vendors are required to present each set of options or approaches in a separate pro-
posal and to clearly identify those proposals that are Alternate Proposals. Vendors may sub- mit more than one alternate proposal.
Background and General Information Page 3 of 42
me Cltv of Carlsbad hcument Manaaement RFP
1.4.7. Retention of Proposals
All proposals submitted become the property of the City of Carlsbad and therefore will be in
the public domain
The City of Carlsbad will maintain one copy of each proposal submitted for a period of three
years.
1.5. Vendor Communications
After the RFP issue date and thereafter, all communications between vendors and the City of
Carlsbad must be in writing. No oral communication, questions, notices, or clarifications will be accepted or acknowledged. Communications must be directed through:
Purchasing OfflCer
City of Carlsbad
1200 Village Drive
Carlsbad, CA 92008
1.6. Submitting Questions
Questions should be submitted in writing or by fax by June 7,1999. No telephone questions or answers will be allowed. Vendors should refer to the specific RFP paragraph number and
page and should quote the passage being questioned.
At the vendors conference, City representatives will respond to submitted questions as well as
attendees’ questions. A summary of questions and answers will be sent to all attendees after the vendors conference.
Questions should be formatted as follows:
RFP Paragraph: 1.1.5 Please provide additional information about. . .
(Quote paragraph or sentence in question)
Questions should be directed to:
Purchasillg Offkcr
City of Carlsbad
1200 Village Drive
Carlsbad, CA 92008
Fax 760 - 434-l 987
1.7. Vendors’ Conference
The City of Carlsbad will hold a mandatory vendors conference. The purpose of the confer-
ence is to allow the City of Carlsbad project manager to discuss the RFP and to allow each vendor to ask questions. The following rules apply:
1. Attendance is mandatory. Vendors not represented will not be able to submit a
proposal.
2. Written questions submitted prior to the conference will be answered and a hard copy provided. See RFP Schedule for dates.
3. Oral questions will be answered as time permits.
4. Oral questions not answered will be noted and written responses provided.
Background and General Information Page 4 of 42
h -.
The Cltv of Carisbad
The conference will be held at:
Document Manaaement RFP
City Council Chambers
City of Carlsbad 1200 Carlsbad Village Drive
Carlsbad, CA 92008
1.8. Oral Presentations and Demonstrations
Short listed vendors will be required to make an oral presentation of their proposal and dem- on&ate their proposed system solution. This presentation will be made to the evaluation staff
responsible for making recommendations for contract award. This opportunity will allow se-
lected vendors to further define and demonstrate the primary features and benefits of their
proposed system, to allow clarification of weak areas in their proposals, and to permit ques-
tions from the evaluation staff. Oral presentations are mandatory if requested.
The City’s project team will specify the presentation and demonstration format which will be
given to short-listed vendors two weeks prior to the presentation date.
I .9. Site visits
As part of the evaluation process, the City of Carlsbad may request visits to customers with
similar applications. Customer sites must be within the United States, preferably in Southern California.
1.10. Evaluation Criteria
The City of Carlsbad intends to evaluate complete solutions to the stated requirements. In- complete solutions will be considered non-responsive and will not receive further considera-
tion.
The City will evaluate proposals using a number of factors described below. Proposals that
are late, that do not comply with proposal instructions, or those take exceptions to mandatory
requirements will be eliminated without further consideration. Proposals that meet the pro- posal instructions will be given a thorough and objective review, based on the following gen-
eral factors.
Technical Solution including presentation/demo
Project management
cost
References and site visits
Financial stability
The project team will identify a short list of vendors who submitted the proposals with the highest evaluation scores.
1 .lO.l. Technical Solution
Primary consideration will be given to meeting the functional requirements listed in this RFP.
The following are factors in the functional evaluation.
1. Understanding of the work to be performed.
2. Technical approach and methodology to accomplish the work.
3. Completeness and competence in addressing the scope of work.
4. Discussion of the potential constraints of the proposed system that should be addressed and suggested approaches to resolving those issues.
Background and General Information Page 5 of 42
The Cltv of Carlsbad
1 .10.2. Project Management
Document Manaaement RFP
The City of Carlsbad also believes that effective project management is essential for a suc-
cessful implementation. Vendors will be evaluated on the completeness and responsiveness of their project management plans and the project team assigned.
As part of the project management plan, vendors must demonstrate adequate experience in developing and implementing similar projects. The City’s confidence in the vendor’s ability
to meet deadlines and successfully manage long-term complex projects will be a primary con-
sideration.
Special consideration will be given to vendors who propose a detailed project plan with suffi-
cient breakdown of ta& and steps to demonstrate a complete understanding of the project.
Vendors will also be evaluated on:
1. Experience with similar projects and technologies.
2. Demonstrated project management experience.
3. Qualifications of assigned project team.
4. Ability to work successfirlly with conversion bureau partners/subcontractors.
1.10.3. cost
The City of Carlsbad will consider cost as part of the evaluation criteria. Low cost is not es-
sential to win, however, larger cost differentials between vendors will be carefully examined.
1 .10.4. References & Site Visit
The City intends to contact vendors’ customers. Customers will be questioned on their expe- rience during installation, technical capabilities of the system, vendor’s project management
skills, training and on-going support
Site visits, demonstrations and oral presentations are mandatory and will be part of the
evaluation process.
1.10.4.1 Reference Format
To warrant consideration for the contract award, vendors and subcontractor(s) must success-
fully pass reference checks. A subcontractor is one that has 25 percent or more participation
in the project by dollar amount. Vendors and subcontractors shall provide a list of three in- stallations where the vendors’ systems are installed preferably in a municipal facility and
where the work was similar in size, application and scope to the projects described herein.
References must be given in the format listed below.
Customer name
Address
Contact name/title
Contact telephone number and fax number
Summary of project (including start date and finish date)
System description
Applications
Hardware & sottware platforms
Number of users (must be included)
The conversion subcontractor/vendor must also submit references using the following format:
Customer name
Background and General Information Page 6 of 42
\ ment RFP
Address
Contact name/title
Contact telephone number and fax number
Summary of project (including start date and ftish date)
Type of documents converted
Volume
1.105 Financial Qualifmtions
To warrant consideration for this contract, short-listed vendors and all major subcontrac- tor(s) must submit financial information for the last two fiscal years and for the year-to-date,
including an annual report or audited balance sheets and income statements. For the purpose of this section, “audited” shall mean that a Certified Public Accountant has reviewed the fi-
nancial reports and has expressed an opinion regarding the fairness of the information re-
viewed.
A major subcontractor will have at least 25 percent participation in the contract measured by dollar amount. Work is defined as participating in the design, coding, integration, and support
of the system application.
Vendors must identify all subcontractors, regardless of the percentage of participation. Only
major subcontractors must submit financial information.
An equipment supplier is not considered a subcontractor.
If short-listed vendors want to ensure that only City staff evaluating proposals reviews finan-
cial information, they may place financial information in an envelope marked “confidential.”
If an organization submitting a proposal is not awarded the job, this information will be re-
turned upon request.
Do not submit financial information at this time.
1.11. Notification
The City anticipates reviewing all proposals and developing a short list of finalists. Vendors
will be notified simultaneously in writing if they did or did not qualify for the short list.
The winning vendor will be invited to negotiate a contract with the City and remaining ven-
dors will be notified in writing of their selection status.
1.12. Incorporation of RFP and Proposal
Any resulting contract will incorporate this RFP, the vendor’s proposal, and any subsequent correspondence as attachments to the contract.
1.13. Performance Bond
The vendor will be required to furnish a surety bond executed by a surety company duly
authorized to do business in California in an amount at least equal to one hundred percent of
the contract price. The bond will be required within twenty days from the date of award of
the contract by the City Council.
A written agreement regarding non-performance in the event of failure to deliver any portion of the hardware or software on time will be part of the final contract. This agreement will
reference the RIP attached, your proposal and project plan stating the length of time and
completion dates for programming, customizing, testing, installing, and final acceptance, as well as the remedies and penalties applicable in the event of a material delay or failure to de- liver.
Background and General Information Page 7 of 42
The Citv of Carlsbad Document Manaaement RFP
1.14. Insurance
See Section 26 of the City’ standard agreement in Appendix A.
2. scopeofwork .’
The following section describes the scope of work for the system that the City desires. This
section includes goals and objectives of the system, a system description for each phase,
document and user volumes, a description of the existing environment with required inter-
faces, and specific functional and technical requirements.
2.1. Background, Goals & Objectives
The City of Carlsbad has two high level goals that will be supported by DM technology. The
first is to provide information to the public electronically. To that end, the City wants to in-
stall a DM system that will manage documents internally, make them available on an intranet,
and distribute selected information to the public via the intemet.
The City’s vision is that documents created internally will be imported directly into an elec-
tronic vault that manages versions and internal distribution; and documents submitted on pa-
per from the public and other agencies will be scanned. The City will encourage developers and designers to submit plans and drawings electronically as well as on paper.
The second goal is to build an i&astructure for knowledge management. A recent survey identified that numerous managers will be eligible to retire in the next few years. Their expe-
rience is vital to the continuing effectiveness of City operations and services. Building a re-
pository of information will be an important component of the City’s knowledge management
Program.
The City expects to achieve specific benefits from DM technology functionality:
Electrunic workfrow for the internal review process - agenda bills, contracts, and agreements
- will provide benefits in a number of areas including quality, productivity and speed.
1. A centralized electronic library of completed documents will allow all departments to
share a single copy. Converting existing documents to the new system will be an impor-
tant part of the electronic library.
0 2. The system will provide version control, check in/out, which will allow users to ensure . they are working from the correct version of the document. This is important during the
creation process and in the editing cycle, ensuring that comments and revisions are not lost but are correctly incorporated into the final document.
3. Workflow technology will shorten the review cycle so that contracted work can begin earlier. This can be accomplished through:
Simultaneous reviews
Designating signature authority
Croup “discussions” facilitated by electronic comments without waiting for eve-
ryone to be available for a meeting
Instant receipt
4. When preparing new agenda items, users and City Attorney staff will use fufI text search
to research past decisions impacting new situations. Full text search will also assist users to identify and copy appropriate language into new documents,
5. The City intends to take advantage of the low cost and friendly user interface of browser
technology to distribute information via an intranet and the internet.
Scope of Work Page 8 of 42
- -7 \
The Citv of Carlsbad Dodument Manaaement RFP
2.2. System Description
The following section describes the system desired by the City. Vendors should propose a
system that conforms to the current computing environment, meets the functional require-
ments and technical requirements, in a cost-effective manner. If a vendor has a solution that
meets the spirit of the requirements but in a more effective way, they should offer and .explain
that solution.
The purpose of this section is to give vendors background of what the City wants to accom-
plish. Vendors will respond to the following section entitled “Requirements.”
2.2.1. Phased Implementation
The City intends to install DM in phases, ensuring that each phase is successful before ex-
panding to the next. Using this approach, the two pilot installations will allow the City to
evaluate the success and support requirements of the system before adding new groups of us- ers. Converting existing files is included in the scope of this project.
Vendors are required to supply costs for Phases 1 and 2.
Scope of Work - Phase 1
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
Two pilot projects: one in the City Clerk’s Offrce; one in Community Develop-
ment/Public Works. The City Clerk’s Offrce will remain at City Hall. Conmumity De- velopment/Public Works staff will be located in the new Faraday building, about 5 miles
from City Hall. The City Clerk: new agenda packets, minutes, agreements, deeds, ordi- nances, resolutions.
Users of Phase 1 will be the City Clerk staff and AutoCAD specialists in Water, Engi-
neering, and Streets, which are all part of Community Development/Public Works.
Community Development/Public Works: import and/or scan new maps/drawings into an
electronic vault.
Selected system supplier is expected to provide software, hardware (except for user
workstations) and services to ensure the success of the system.
Prototype database and user screens. Modify according to the City’s requirements.
Complete a network analysis to identify upgrades that may be required to support DM
throughout the City.
Work with City Clerk to frnalize indexing scheme; work with Community Develop-
ment/Public Works subcommittee to fmalize indexing scheme for drawings, plans and
maps.
Convert selected sets of drawings from Community Development/Public Works.
Convert selected existing files in the City Clerk’s department.
Determine feasibility of converting the City Clerk’s index.
Convert existing Engineering Access database to new DMS.
Convert existing Water District Access database to new DMS.
Load converted databases, images and text versions of converted documents and test.
Prepare a site preparation plan.
Prepare a detailed training plan. Develop training materials. Train users and IS staff. The
selected vendor will be expected to conduct on-site user training classes. Train the trainer will not be acceptable.
Scope of Work Page 9 of 42
The Citv of Carisbad Document Manaaement RFP
l Provide complete system documentation including system design, database structure,
user operation, system maintenance and administration. Include:
- table definitions
- defined index fields
- screens
- management reports
- workflow diagrams
- system documentation
l Provide description of document storage facilities
l Provide detailed user manuals/instructions
-ld .‘ -7 - System Administration / - CashieringfAccounting
- scaIming
- Indexing
- System operations (backups, etc.)
- External user documentation/procedures for remote access
- Fax and billing remote users
l Submit project progress reports at regularly scheduled project team meetings.
l Phase 1 is expected to be completed in 6 months, starting the day of system acceptance.
Scope of Work - Phase 2
.
.
.
ti ,
/
. w . . .
.
Expand the system to about 40 users from selected departments that frequently access the City Clerk’s tiles (the City Council secretary, the City Manager, the City Attorney, se-
lected groups within Community Development/Public Works) and drawings/plans con- verted in Phase 1.
Add Municipal Code, Council Policies and Administrative Orders to the electronic li-
brary.
Develop workflow with electronic signatures for internal approvals by selecting a small
group of users to route documents internally.
Implement electronic submittals of plans and drawings and import CAD files into the
system.
Deliver complete documentation for Phase 2 applications and new system components.
Develop a training plan for users and tram users.
This phase is expected to take 9 - 12 months.
Future Phases
The City expects to expand the system to groups of 40 - 50 users at a time. Eventually, the
City expects there could be 250 internal users. The City also intends to install public worksta-
tions at Libraries, at City Hall, and at the Faraday building. The City has also made a strong
Scope of Work Page 10 of 42
A _ -\
The Citv of Carlsbad kocument Manaaement RFP
commitment to make public information available on the intemet.
Since DM systems require significant resources to implement, the City will use the following criteria for phasing in the technology to internal users as well as meeting the community’s
needs for public information: --
l Time sensitive documents
. Shared among departments
l Periodically updated
l Retrieved regularly
l Filed in multiple locations
l Require approval process
2.2.2. Users & Support Staff
Phase I - 19 users # Users Location
7 City Hall
3 Faraday
1 Faraday
2 Oak Street
3 Water District
2 Faraday
1 Faraday
# Users Location
1 City Hall
2 City Hall
5 City Hall
30 Faraday
Primary Application
text
text & drawings
text & drawings
drawings
drawings
\
City Clerk
./ Community Develop./Public Works
Document Coordinator
Streets & Facilities
Water District
System Administrator/IS
Training workstation
Phase 2 - 40 users
City Council’s Secretary
City Manager
City Attorney
Selected users involved with
development process
PLEASE NOTE, although users’ primary application is text or drawings/maps, users should
be able to view either format, since the City regularly handles compound documents.
Primary Application
text
text
text
text 86 drawings
2.2.3. Conversion Preparation and Volumes
Documents and drawings will be available to the conversion vendor in batches to allow City staff to check the quality of converted material before new batches are processed.
City Clerk’s documents will be unstapled with separator sheets. The conversion bureau will be expected to return converted documents without stables, with separator sheets, in the same
order as submitted.
Drawings and maps will be unbound.
The following table summariz es mainly letter size paper files in the City Clerk’s vault that
must be converted as part of the scope of this project.
Scope of Work Page 11 of 42
-.
TheC 1
The City Clerk’s Files for Conversion - Phase 1
Dot Type Period Avg.
Pages
25
25
12
8
6.5
5
9.5
7
3
6
2
##Dots
Council Agenda Bills 1988-present
Council Agenda Bills 1988-present
AgreementKontractsl988-present
Deeds all
Council Resolutions 1988-present
Council Ordinances 1988-present
Council Minutes 1952-present
CMWD Minutes 1954-1988
1989-present
CMWD Resolutions 1988-present
Housing/Red Corn 1980-present Minutes
Housing/Red Corn 1988-present
Resolutions
Planning Corn 1988-present
3
12
3,187 79,680 vault
3,600 90,000 storage
4,05 1 48,616
1,800 14,400
4,684 30,446
463 2,315
150,270 1,427,565
2,000 14,000
850 2,550
902 5,412
1,250 2,500
144
1,736
Total Pages
Total 174,937 documents, 1,738,748 pages
Community Development/Public Works Files for Conversion - Phase 1
Size
Engineering Final drawings/plans 80,000 sheets 70,400 D
8,000 C
1,600 E
Water Maps/drawings 30,000 D
Streets Plans 1,000 D
Total 111,000 sheets
2.2.4. Conversion Indexing Requirements-City Clerk
The conversion bureau would use the existing database to populate the new system with con- verted document data and images. See Appendix B for a copy of the City Clerk’s database
written in HP’s Image database, running under the MPE operating system. The City will pro-
duce a delineated ASCII tile from the City Clerk’s database. Because the City Clerk’s exist- ing database limits the length of fields, staff abbreviates keywords/descriptions. The conver-
sion bureau would have the additional task of writing a program to translate abbreviations to
full words. Fortunately, abbreviations were made consistently. There are 10 standard topics, 20 characters per topic. Comments are limited to four line of text. See Appendix B for sam-
ples.
The City wants the option of having the conversion bureau produce both an imaged version
and an OCR’d version of each document to facilitate future retrieval.
Scope of Work PagelZof42
.- .?
The Citv of Carlsbad Document Manaaement RFP
The City Clerk requires the follow indexing data for converted documents. Tbis data is con-
tained in the City Clerk’s database.
l Document type from pick list
l Document title/name
l Date of document
0 Keywords
l Recording number for deeds
l Project number, if applicable
2.25 Conversion Indexing Requirements - Maps and Drawings
Drawings and maps for conversion come from three areas: Engineering, the Water District,
and Streets. Engineering and Water each has its own Access database. Streets has an index
card system.
Engineering currently downloads segment data from the GIS (ESRI) into their Pavement
Management program (Access), running under Windows 95. Then data from the Pavement
Management program is downloaded into the Access drawing database. See Appendix B for
samples of the databases.
The City will require the following fields for converted documents:
l Unique document number to tie drawing to the database.
l Project number.
l Document type (from pick list).
l Date signed.
l As-built date.
l For Engineering drawings, sheet numbers hand written on drawings must be keyed
manually from the drawing itself. For Water District drawings, sheet numbers are refer-
enced in a database field.
l For Streets’ plans, the vendor will index from index cards:
Street name
- Track number
Drawing number
Track name
Developer name
Scope of Work Page 13 of 42
The Citv of Carlsbad Document Manaaement RFP
2.2.6. Indexing New Documents - City Clerk
New documents that will be added to the DMS will either be imported from desktops or will scanned and OCR’d. The City intends to use the DMS to support retention schedules. City Clerk will require the following fields as well as full text versions:
l Document type from pick list
l Document title/name
l Date of document
l Keywords
l Recording number for deeds and other documents with recording numbers
l Project number
l Retention date
2.2.7. Indexing New Documents - Drawings and Maps
The vendor will work with technical staff to fmalize indexing fields. For budgeting purposes,
vendors should use the database design found in Appendix B with the addition of retention
date.
2.2.8. Estimated Volume of New Work for Phases 1 & 2
City Clerk processes the following average weekly volume:
Document Type # Dots # Pages Total Pages
Agenda bills 20 24 500
Resolutions 13 6.5 85
Ordinances 4 5 20
Agreements 15 12 180
Deeds 10 8 80
Minutes 2 9.5 19
Agenda 1 7.5 8
Weekly totals 65 892
l Engineering receives approximately 1,500 drawings per year. These will be scanned into the DMS or imported from diskettes if submitted electronically
l 300 pages of specifications should be imported from Word files. 0 1550 AutoCAD files of general drawings in Engineering should be imported.
l 252 topo maps in Engineering should be imported. - ’ y$i’pfL.c~u
Uyf-JLcscy
l 350 AutoCAD maps in Water should be imported.
Scope of Work Page 14of42
The Citv of Carlsbad Document Manaaement RFP
l All of this material may be up&ted at any time.
8 Storage retention for converted documents and drawings will be permanent, so vendors
should configure adequate storage.
2.2.9. Retrieval Volume
Phase I # Simult. Location
Users
City Clerk 3 City Hall
Corn. DevelopJPublic Works 3 Faraday
.
b2
Corn. Dev. Document Coord. 1 Faraday
Streets & Facilities 1 Oak Street
Water District 2 Water District
System Administrator/IS 2 City Hall
Training workstation 1 Faraday
Phase 2 # Simult. Location
Users
City Council’s Secretary 1
City Manager 2
City Attorney 3
Corn. Develop./Public Works 15
City Hall
City Hall
City Hall
Faraday
Volume per User
2-3 do&hour
4-5 drawingslhr
4-5 dots & drawing&r
6-8 drawingshr
6-8 drawing&u
periodic use
Volume per User
z/hour
2lhour
2lhour
2ihour
Technical Documents:
7 concurrent users will each retrieve approximately 4 drawings an hour and one text docu-
ment per hour.
2.2.10. Hardware and Sofhware
2.2.10.1 Current Computing Environment
The City currently supports the following technologies and platforms:
0 WAN comprised of 8 Novell file servers - LANs have excellent uptime record
l Plan to use peer IP, NetWare 5
l Tls - several Tls provide mainframe access to all City locations, no performance prob- lem; no diagnostic software so capacity available is unknown; only traffic is email, IFAS
(fmancial system), and PermitsPlus
l GroupWise 5.2 is used for email and scheduling, will upgrade version soon; the DM module is not being used
l Nightly backup to DAT is accomplished on the ARC server, done automatically, 2 week
rotation, history kept for 6 months
l MS Offrce is standard, may upgrade to Office 97 or 2000 in mid- 1999
l A few NT clients; a few standalone NT servers today, but IS is open to this option
l Access is the standard for department databases (replaced R-Base)
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The Citv of Car&bad Document Manaaement RFP
a Informix is the database of choice, supports several applications running on the HP K380 mainframe (UNIX) which is replacing the HP 3000; IS will consider other state-of-the-
art relational databases. The HP 3000 will remain at City Hall; the K380 will be at Fara-
&Y*
l Permits Plus system runs on the HP K380
l AutoCAD v. 14 Map 3
l The City is in the process of building an Access database for water and sewer systems
that includes valves and manholes. Each valve has a unique number. (V 30D 100 trans-
lates V for valve, 30D = system map, 100 = quadrant.)
l The City Clerk maintains a document database that will be replaced by the new DMS.
The City does not have access to the source code for this program. The vendor’s scope of work includes converting this database, if possible. See Appendix B for a description of
this database.
0 There are plans for an intranet in the future: posting information for employees; agenda
and Clerk’s information
l Today community drives provide shared services, but information must be replicated on
all 8 Novell servers
l HP 5si networked printers
l HP 650 large format printer in GIS
2.2.10.2 Interface with GIS
Although an interface with GIS is not required for Phases 1 & 2, the City is particularly inter-
ested in providing this interface in the future since a great deal of the City’s information is
geographically-based. The following information has been extracted from interviews with the
GIS Coordinator.
The City’s GIS is currently composed of Arc/Info 7.2.1 running on a Hewlett-Packard Apollo
9000 workstation with an x-terminal on a LAN, connected to the City’s Novell LAN. This
HP-UX system will likely migrate to an NT-based system within the next year. The City also
has a number of ArcView 3.1 licenses installed on various PCs in various departments.
Shapefiles from the Unix-based GIS are downloaded to the PCs running ArcView on a regu-
lar update schedule.
Among the many data layers contained in the City’s GIS, a basemap of parcel outlines is
maintained, each parcel being coded for assessor parcel number. New parcel maps that are
approved by the City Council and recorded by the county Recorder are entered into the GIS
via coordinate geometry. There are plans to require developers to submit digital versions of
final maps to eliminate the City’s need to enter the data. Another layer maintained by the City’s GIS are all street centerline locations, with each street segment coded for address
range.
Although all geographic data (parcels, lots, roads, infrastructure alignments) are maintained in vector format in the GIS, graphic information related to these geographic features (e.g., as-
built drawings, pump/switch diagrams, text documents, etc.) will reside as scanned files in the DMS. The GIS Coordinator wants to link these documents contained in the DMS with their locations in the City’s GIS. The links can be via street address (linked to the street centerline
digital map), parcel number (linked to the parcel basemap), CT number (also linked to the
parcel basemap), or explicit x,y coordinates represented as point locations in a separate digital
layer (California State Plane Coordinated System, Zone VI, NAD83).
The scanned documents thus linked to geographic location would then be retrievable either by 1) querying a location for all information in the DMS associated with an area, or 2) que-
rying the DMS for associated APN or street address. The desktop GIS used by the City
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The Citv of Carlsbad Document Management RFP
(ESRI’s ArcView) has the ability to display scanned images, so that the City’s GIS data can
be viewed in conjunction with the contents of the DMS.
If documents within the DMS have a code for street address, APN, x,y coordinate or some
other identifier linking to the GIS, users of the DMS can also have access to the GIS on the desktop, either through ArcView, ArcExplorer, or Map Objects technology.
In the future, the City is interested in leveraging the use of its Informix database by integrat-
ing and storing all geographic data as Informix tables. Using a spatial data engine, access to the database by GIS applications will occur as a query to the Informix database. This con&u-
ration will provide access to GIS data to many more users.
2.3. System Functionality Discussion
2.3.1.
2.3.2.
2.3.3.
2.3.4.
2.3.5.
2.3.6.
2.3.7.
2.3.8.
2.3.9.
2.3.10.
2.3.11.
2.3.12.
2.3.13.
2.3.14.
Vendors must provide a detailed response to the following requirements and questions.
How does your solution meet the City’s need for an open system? What standards does
your product(s) adhere to? Does your system support DMA?
Provide a system design, identifying all software and hardware components in easily un- derstood terms, including details about:
Database
Number, location, and functions of servers
How would you approach decentralized scanning while maintaining a central database?
The City anticipates scanners at City Hall and at Faraday.
Describe the types of user software and licensing you support. Do you offer various lev-
els of functionality for users with different needs?
Provide a detailed description of system’s capabilities to import and manage electronic
documents.
List file formats your system supports. IFEG, ASCII text, etc. Identify formats supported
by the full text index.
Describe how your system creates a full text index when an electronic document is
checked in.
Describe OCR offerings. How is OCR implemented in a distributed environment?
Describe how users can extract text from images on the fly.
Describe the structure your system uses to set up and define document classes and fold-
el?S.
Describe version control, check in/out functionality. How are multiple versions of the
same document managed?
Provide step by step description of how desktop documents are imported into the system. Describe metadata automatically indexed from desktop programs.
What metadata does your system generate automatically? Describe document ID num-
bers, if applicable.
How does the system ensure that documents have unique identifiers in a distributed envi-
ronment?
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The Citv of Carlsbad Document Manaaement RFP
2.3.15.
2.3.16. How are index values modified or updated?
2.3.17. Describe the system’s capability to download CAD files and associated metadata; ‘de-
scribe in detail capabilities and limitations in importing and managing CAD files. Are they stored as raster versions. 3 If so, how is the vector to raster conversion accom-
plished?
2.3.18.
2.3.19.
2.3.20.
2.3.21.
2.3.22.
2.3.23.
2.3.24.
2.3.25.
2.3.26.
2.3.27.
2.3.28.
2.3.29.
2.3.30.
2.3.31.
2.3.32.
2.3.33.
2.3.34.
2.3.35.
How would your system approach a group that wanted users to create documents on their
PCs, then transmit them to a specialist who would import them into the DMS?
Identify capabilities and limitations in importing and managing CAD files.
Describe mark up tools and workflow to expedite modifications to drawings and plans.
Describe annotation functionality. Will your system consolidate annotations made by various users?
The Municipal Code, Council Policies and Administrative Orders will require updating. Today this is done by inserting new pages and discarding old pages. How does your sys-
tem provide this function electronically?
When faxing out directly from the DMS, are annotations included in faxed out docu-
ments?
How would your solution provide both images of final documents with signatures as well as text versions with full text search and cut & paste?
Individual documents may appear in multiple folders. How does your system handle one
to many relationships?
Does your system support compound documents, i.e., documents composed of Word and Excel files, or CAD files with references?
Does your system provide any safeguards to protect document/data integrity? For exam-
ple, is it possible to have a database entry without an associated object?
Describe workflow capabilities to manage/distribute documents during approval cycles.
How does your system handle electronic signatures?
Describe your system’s support of optional common document formats such as PDF.
What would be your solution to providing documents on diskette or CD to the pubic on
request? What formats would be supported?
Provide a detailed description of your use of browser/viewer software on client worksta-
tions that addresses both text documents and drawings.
How does your system handle the need to redact information within a document?
Describe your approach to providing file storage both online (in local memory) and near line (CD or optical jukebox) to ensure fast response for document retrieval. Files should reside on storage devices located near most frequent users who will be located at City
Hall and at Faraday.
How does your solution utilize intranet architecture for internal access?
How does your solution interface with the intemet - please provide a detailed response.
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The Citv of Carlsbad Document Manaaement RFP
2.3.36.
2.3.37.
2.3.38.
2.3.39.
2.3.40.
2.3.41.
2.3.42.
2.3.43.
2.3.44.
2.3.45.
2.3.46.
2.3.47.
2.3.48.
2.3.49.
2.3.50.
2.3.51.
2.3.52.
2.3.53.
2.3.54.
2.3.55.
2.3.56.
2.3.57.
Describe any interfaces with online billing modules your intemet offering includes.
Which intemet server interfaces does your system support?
How are images stored on your DMS exported to the intemet?
Do non-licensed users, on the intemet for example, need special viewers to view docu-
ments?
. Does your intemet solution include online payment? If so, please describe in detail.
Provide a detailed description of your use of browser/viewer software that addresses both
text documents and drawings/maps. Descriie any intemet plug-ins required for viewing various file formats, such as maps and AutoCAD drawings.
Are full check in/out capabilities available to internal users using browser interfaces?
Descnie capabilities and limitations for users using browser interfaces, such as their
ability to copy documents without checking them out; attaching documents to emails, participate in workflows; initiate workflows, validate user-entered properties against
validation tables; enter version numbers; view a list of past versions; view past versions;
modify index values; search using keywords, full text search.
Describe security levels for users using a browser interface.
Will users with browser interfaces be able to launch the associated application program a
document was created in?
What would be your recommendation for Kiosks or public terminals at City Hall, Li-
brary, and Faraday to provide access to most frequently retrieved docu-
ments/information?
Can your system restrict the public to structured searches and not have FTS available?
The City charges the public for printing documents. How would your system integrate
cashiering functionality with printing?
Describe your system’s security system in detail - does it function as part of the operat-
ing system? Does it work at the document level? Etc.
Does your system utilize the same sign on/passwords as the LAN OS?
The City has recently established a records management program - how would your system incorporate retention schedules?
Describe system utilities for disposing of old files and consolidating remaining active files.
How would your system isolate documents already on the system that later require lim- ited access because of litigation?
Is there a limit to the number of libraries on your system?
How many printers per server can be attached?
How many fax stations per server can be attached?
How many scanners per server can be attached?
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The Citv of Carlsbad Document Manaaement RFP
2.3.58. Is there a limit to the number and length of fields in the database?
2.3.59.
2.3.60.
2.3.61.
2.3.62.
2.3.63.
2.3.64.
2.3.65.
2.3.66.
2.3.67.
2.3.68.
2.3.69.
2.3.70.
2.3.71.
2.3.72.
2.3.73.
2.3.74.
2.3.75.
Can the system handle mandatory and optional fields?
Descnie the types of searches your system supports. Which of these queries can be
saved for re-use?
In future phases, DM should be integrated with GIS so those users accessing ArcView would have the option of displaying related documents stored on the DM system. De-
scribe in detail your approach to this interface and provide concrete information about your ability to &liver a solution.
Planning has recently installed Permits Plus which offers a workflow capability. Please
describe any capabilities to interface your workflow solution with Permits Plus’ offering.
What is your approach to migrating from one storage medium to another as new technol-
ogy becomes available?
How do you provide disaster recovery? Are RAID and mirroring available?
How do you backup your system?
Descriie features that enhance the performance of your system: cache management,
writing to optical disks, client workstation performance, etc.
Describe any system monitoring tools you provide.
Describe system reports, differentiating standard from optional report generators and re-
ports.
Provide minimum standards for PC workstations. Provide optimal workstation stan-
dards.
Describe electronic forms capability your system includes.
Describe your COLD offering.
Will your system support existing HP networked printers? HP 650 large format printer?
Will accelerator boards or other enhancements be required?
Does your system interface with IVR?
Describe your company’s involvement with user groups.
Describe your approach to the City’s conversion requirements:
A. Where will conversion take place? The City Clerk will consider
onsite and offsite conversion. (It may also be easier for the vendor to convert draw-
ings and maps onsite because knowledgeable City staff would be available to answer questions.)
B. What quality control procedures do you follow?
- How do you handle poor quality documents.
- How do you handle poor quality images from good documents?
- How do you verify the accuracy of indexed data?
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The Citv of Carisbad Document Manaaement RFP
C. Specify how long conversion will take.
D. How many documents and drawings would be submitted in a batch
to meet production schedules?
2.4. Mandatory Requirements
This section describes functions that the system must support and technical capabilities the
system must provide. The vendor can determine the exact technical solution.
2.4.1. Compliance Matrix
A compliance matrix shall be developed that provides a matrix of all RPP mandatory re- quirements with the vendor’s compliance to each requirement. An example is below.
RFP Paragraph
2.5.3
2.5.4
2.5.5
COrnplY
Yes
Yes
No
Vendors are required to prepare a spreadsheet that includes each item number, with YES or NO, and explanation if appropriate. YES indicates that the feature is available to&y, not un-
der development. Vendors have the option of using the electronic version of this RPP to fa-
cilitate creating responses.
2.4.2. Manage both Images and Electronic Documents
Comment
Our system does not support con- current user licenses
The new system shall manage both electronic documents in native format generated by City staff and sub-
mitted by external designers and contractors; and paper documents submitted by the public (which will be
scanned). The resulting electronic vault will contain folders with both internally and externally generated
documents.
2.4.2.1. Must be able to track and identify file formats even if specific viewers for that file type are not available.
2.4.2.2. Ability at public workstations to queue documents for printing, compute number of pages
and cost, print in cashiering area; ability to remove dots from queue and recompute.
2.4.2.3. Queue electronic documents to a specialist who imports and indexes.
2.4.2.4. Copy electronic dots as well as check them out.
2.4.2.5. The DMS shall manage documents exported to the intemet.
2.4.3. Capturing
2.4.3.1. Must import maps and drawings provided in electronic form.
2.4.3.2. Must import desktop documents created in Microsoft Office in native format.
2.4.3.3. Must support OCR.
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The Citv of Carlsbad Document Manaaement RFP
2.4.3.4. Shall allow users to link and unlink documents easily. User should readily see that a
document has been linked to other files.
2.4.3.5. Users should be able to easily create folders and place documents in them in a selected
order.
2.4.4. Scanning Requirements
2.4.4.1.
2.4.4.2.
2.4.4.3.
2.4.4.4.
2.4.4.5.
Image file formats must support CCITT Croup IV standard. Images shall be scanned at a
minimum of 200 dpi for most documents; 300-400 dpi for documents with small fonts,
handwriting, or detailed line art; and 300-400 for selected drawings and maps.
Must include the capability to print bar codes and OCR readable font on barcode labels.
Barcode labels must be con@urable by the system administrator.
Shall support batch scanning.
Shall provide effective methods for scanning and indexing long (maximum 8 %,, x 14”)
documents.
2.4.4.6.
2.4.4.7.
Scanned page numbers of long documents shall match the hard copy version.
Documents must be presented for indexing in the order in which the documents were
scanned.
2.4.4.8.
2.4.4.9.
2.4.4.10.
2.4.4.11.
2.4.4.12.
Number of pages in a document will be verified in the imaging process.
Must have the ability to scan and rescan documents in any sequence.
Must provide image enhancement capabilities to assure good quality images.
Must provide for scanning and replacing images that do not pass quality control.
Must note status of document through the entire process, including “scanned”, “accepted”
and “rescan.”
2.4.4.13.
2.4.4.14.
Must note document status as “unscanned” if indexing is completed first.
Must manage movement of image from memory to magnetic media and subsequently to
jukebox based on access frequency.
2.4.4.15. If a document is accepted, system must insure that a duplicate is made in case of hard-
ware failure, etc.
2.4.4.16. Must support redaction.
2.4.5. Indexing Requirements
2.4.5.1. Indexers will be able to index from an image on the screen.
2.4.5.2. To facilitate volume indexing by City Staff, Users should be able to select next document
for correction with minima 1 keystrokes rather than needing to issue a command.
2.4.5.3. System will provide indexers with a work queue of similar document types (batched by
Document Type) for indexing.
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2.4.5.4. Indexers will be able to automatically “repeat” index information from a previous docu-
ment and then change differences to expedite the indexing processes.
2.4.5.5. Must allow an indexer to assign individual documents to a supervisor for error correc-
tion. The assignment must support a text field to explain error.
2.4.5.6. Database should support alternate project names since names change over time.
2.4.6. Retrieval Requirements
2.4.6.1. A search should provide a list of all documents that meet the search criteria.
2.4.6.2. Users must have the option of structured searches combined with full text search. Wild
card searches must be supported.
2.4.6.3. The system must allow a user to use a single query to retrieve images, desktop docu-
ments, video, CAD tiles, etc.
2.4.6.4. Shall prevent unauthorized users from removing or re-routing action items from the
tracking system.
2.4.6.5. When users print documents from the vault, the system must provide the option (set by
system administrator) to print a banner that identifies printed copy as “working copy” with the date printed.
2.4.7. Navigation
2.4.7.1.
2.4.7.2.
2.4.7.3.
2.4.7.4.
2.4.7.5.
2.4.7.6.
2.4.7.7.
2.4.7.8.
2.4.7.9.
2.4.7.10.
2.4.7.11.
2.4.7.12.
2.4.7.13.
Must use standard Windows 95 navigation tools and look and feel.
Users must be able to page up or down in a document.
Users must be able to display two documents side by side.
Users shall be able to simultaneously display a text document in one window and a
drawing in another.
Users shall be able to browse through documents and quickly retrieve selected pages.
Users must be able to browse forward or backward through records when making edits or
just viewing.
Users must be able to resize windows.
The retrieval system shall allow users to cancel search queries once they have begun.
The retrieval screen shall display both the index and the imaged document simultane-
ously side-by-side.
The viewer sofbvare shall provide zoom functionality.
The system shall support annotation and redlining.
The system shall allow users to print over-sized maps.
Users shall be able to print groups of pages from a long document by simply identifying
a range of pages, such as 3-5,8- 10.
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The Cltv of Carlsbad Document Manaaement RFP
2.4.7.14. Users shall be able to print directly from the system without any intermediate steps such
as importing or exporting to other utilities.
2.4.6. Workflow Requirements
2.4.8.1. Must provide an easy tool for users to write workflows as well as a more sophisticated
scripting language for pre-set flows.
2.4.8.2. Must support electronic signatures.
2.4.8.3. Workflow software must provide a status query capability.
2.4.8.4. Workflow must allow for queues to be redirected in case of absences or work imbal-
ances.
2.4.8.5. WorMow should interface to GroupWise Email to allow for the attachment and viewing
of TIFF or bit-mapped documents to messages.
2.4.8.6. Shall allow for work queues that show only documents of a specific pre-defined docu-
ment subset.
2.4.8.7. Vendors shall identify their workflow software or provider and where the support for the
workflow will come from.
2.4.9. User help
2.4.9.1. On-line, context-sensitive help is desired.
2.4.9.2. On-line training facilities for end users are desired.
2.4.9.3. “Hot key” capability to move from screen to screen, software to software.
2.4.9.4. Both menus and key codes for customers.
2.4.9.5. The system must present consistent terminology within a screen, from screen to screen,
and in on-line help and vendor documentation.
2.4.10. Public Access Requirements
2.4.10.1. System must provide for internet based searching of public documents using popular web
browsers.
2.4.10.2. Must provide for geographical searches of information from web browsers.
2.4.10.3. Easily accessible on-line help must be available.
2.4.10.4. User-friendly front end to allow for searches and printing.
2.4.10.5. Must not allow public-access users to exit the application.
2.4.10.6. When public finds the record they want, they press a “display” button to view the image. If there is no image, the system presents a message directing them to a support person.
2.4.10.7. Must provide a simple search screen and a “full” search screen for the public and a full
search screen for advanced users.
2.4.10.8. If users need to print the image, they would select “print.” Images are cached for batch
printing at the end of the session. Documents will be printed behind the counter.
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2.4.10.9. Ability at public workstations to queue documents for printing, compute number of pages and running total of fees; ability to remove documents from queue and re-compute fees.
2.4.10.10. Should provide a receipt.
2.4.10.1 Internet-based Public Retrievals
2.4.10.1.1. System must provide for intemet based searching of public documents using minimally
functional web-browsers.
2.4.10.1.2. Must provide for geographical searches of information from web browsers.
2.4.10.1.3. DMS shall manage documents exported to the internet.
2.4.11. Database
2.4.11.1. The City’s database of choice is Informix, but is willing to consider an alternative. The
database must be production class to ensure data integrity at all times, which includes
backup and recovery capabilities.
2.4.11.2. The system will have a reference to where and how documents are stored:
Documents available on-line
Documents available off-line (with platter identified)
Microfiche image available
2.4.11.3. The production class DBMS must provide:
Capabilities for index and image/electronic file maintenance and access.
Automatic error detection and recovery.
Dynamic backup of in-progress updates after process failure.
Roll back from/roll forward to last backup.
Maintenance of accurate and duplicate audit record on separate physical medium.
Support for mirrored (duplicate) images.
Locking mechanisms to guarantee data integrity.
Deadlock detection and prevention.
Multi-threaded processing - to speed access time between users and the database.
Multi-user concurrent processing - more than one user accessing the database at the same
time.
Formatting of fields and rule based edits by the system administrator.
A complete audit trail of revisions, changes and edits to information in the database.
Back ups at a pre-set time without interrupting use. Incremental backups shall be sup-
ported.
The ability for all fields to be marked “required” or “not required” depending on the type
of data being entered.
Different security levels within the same database for documents.
Automatic notification to system administrator when database is approaching capacity.
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2.4.12. Reporting
2.4.12.1. Should allow users to generate simple reports and format them.
2.4.12.2. Should provide reports that indicate the number of documents recorded by type in a time
period.
2.4.12.3. Must provide reports on productivity of staff such as number of documents processed in
a period by a particular staff person.
The following reports must be available on request :
2.4.12.4.
2.4.12fl
2.4.12.6. Daily summary reports for documents recorded and indexed by document type
2.4.12.7.
2.4.13. Fax
2.4.13.1.
2.4.13.2.
Scanning report
Documents not yet indexed
Documents not yet scanned if indexing occurs frost
Productivity report
Receipt list by cashier
Ledger statistics
Must provide system administrator the ability to customize reports.
Fax capabilities must support automatic retry, re-transmit faxes that have been received,
provide messages to users that faxes have been received, create a log to track outgoing
faxes, provide cover pages on-line.
Shall support faxing in and faxing out simultaneously.
2.4.14. System Administration
2.4.14.1. Field content options (document type, the City of Carlsbad, etc.) must be available via
“pop-up” lists based on tables.
2.4.14.2. Must permit the system administrator to maintain and modify all table values.
2.4.14.3. Variables in the system (fees, document types, etc.) must reside in tables that are modifi- able by the system administrator.
2.4.14.4. Edits used in the system must be modifiable by the system administrator by document and/or transaction type.
2.4.14.5.
2.4.14.6.
Must have user modifiable help screens.
Must be able to display a list of active users at all times.
2.4.14.1 Security
2.4.14.1.1. System administration must be able to reset a user’s password.
2.4.14.1.2. System administrator must be able to see a list of all user IDS next to user names (if dif- ferent).
2.4.14.1.3. Must support several levels of access to the system and permissions at document level.
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2.4.14.1.4. Security must be provided for work items within the worMow system.
2.4.15 Storage
2.4.15.1. Must provide the ability for the City to determine effective platter allocation and water- marks for image management.
2.4.15.2. Must keep documents on magnetic cache for 6 months for faster retrievals.
2.4.15.3. Must incorporate the City’s retention schedule.
2.4.16. Archiiecture
2.4.16.1.
2.4.16.2.
2.4.16.3.
2.4.16.4.
2.4.16.5.
2.4.16.6.
2.4.16.7.
2.4.16.8.
2.4.16.9.
2.4.16.10.
2.4.16.11.
2.4.16.12.
2.4.16.13.
System must be Y2K compliant. Identify any components that are not Y2K compliant.
Must support industry de facto standards.
Must conform to open system definition - software must run on various platforms.
Software must be designed for a 32-bit environment. Identify any 16-bit components.
Users shall be able to log in once to perform all tasks.
Users must be able to log into the system from any workstations and have the same ftmc- tionality .
Must support multiple software modules numing on same workstation where appropriate. If the vendor software includes separate modules for office documents and CAD draw-
ings, both modules need to coexist on the same workstation.
Must support worMow in a distributed environment, i.e., users may be working off dif-
ferent servers in various locations.
Architecture must support a firewall to protect confidential document from public access
via the intemet and intranet.
System must include API definitions for the City to integrate new applications in the fu-
ture.
Shall support existing printers running on the network.
Shall support 21” monitors (able to view two pages) for indexers.
If any proposed equipment is near its “end-of-life” cycle, vendors shall propose a transi-
tion plan to maintain system currency.
2.4.16.1 System Statistics and Diagnostics
2.4.16.1.1. Shall maintain a current business date for all transaction that is modifiable by the system
administrator to allow work outside normal business hours.
2.4.16.1.2. Shall provide information about the usage of file space, optical platters and network traf-
fic.
2.4.16.1.3. Shall provide the ability to back-up and restore data and images independently as well as
provide disaster recovery capabilities according to Information Systems guideline
Scope of Work Page 27 of 42
The Citv of Carlsbad Document Manaaement RFP
2.4.16.2 Development Environment
2.4.16.2.1. Development tools used to create and manage the software environment must be made available to the City.
2.4.16.2.2. Complete documentation shall be delivered with the development tools.
2.4.163 Network
2.4.16.3.1. System shall run on the City’s Novell network and support TCP/IP.
2.4.16.3.2. Must allow configuration files such as preferences, “ini” tiles or batch files to be modi-
fled by the system administrator remotely. The vendor must specify any restrictions or
limitations the application software imposes on the server or workstation hardware,
printer, network cards or other network hardware.
2.4.16.3.3. The vendor must specify all network drivers supported, i.e. ODI, IPX, etc.
2.4.16.4 Hardware
2.4.16.4.1. Jukeboxes must allow for definable allocation of tiles so that individual platters reflect the City’s retention schedules.
2.4.16.4.2. Must provide clear policy and services for image and document migration from optical
medium to faster storage medium for caching and staging.
Performance
2.4.16.4.3. System performance shall meet the following requirements for responsiveness:
Users within departments shall be able to retrieve an 8 l/2” X 14” document stored on a
jukebox in less than 15 seconds ( disk mount time and image view time). Please include
documentation for jukebox response time.
Users shall be able to retrieve size D maps/drawings stored on a jukebox in less than 20
seconds. An image for viewers at a remote site shall be available for transmission in less
than 20 seconds.
Users shall be able to retrieve a page from an active file on magnetics in less than 2 sec- onds.
From magnetics, users shall be able to turn from one page in a document to another in less than 1 second.
2.5. Training
The City of Carlsbad requires that the system supplier provide comprehensive training for all
users and technical personnel. For Phase1 & 2 users, the City intends to include classroom
training taught by the system supplier. Train the trainer will not be acceptable.
The vendor is encouraged to propose innovative approaches to training users in future phases,
such as programmed self-study guides, on-line tutorials, videotapes, CD-ROM, and com- puter-based training. All training must include step by step detail that will enable employees unfamiliar with the system to perform the described activities.
Upon contract award, the successful vendor must provide:
1. a syllabus of all proposed training
2. the source of the training (vendor supplied, 3d party)
3. a synopsis of the training
4. who is the intended audience
Scope of Work Page 28 of 42
5. the maximum number of students per class
6. student prerequisites for each course
7. type or method of instruction
8. training schedule
The City of Carlsbad envisions that the following types of users will be trained:
9. Trainers who will train users in the future.
10. “Heads down” users, include AutoCAD and GIS specialists.
11. System administrators who will provide technical support and support the user commu- nity. They will perform such duties as adding/deleting users, adding/changing security
privileges, troubleshooting, light maintenance, and day-today operation/backup of the
system.
12. IS staff or system administrator who will manage the database.
13. Casual system users who may or may not be skilled computer users.
14. Selected staff who will scan import and index documents.
In response to this proposal, the City of Carlsbad requires vendors to state how all users from system technical personnel to user personnel will be trained and kept current with on-going
changes, updates, version changes, and new applications. In addition, vendors must state how training materials will be updated to reflect changes.
System administration and system support training should be given at the City of Carlsbad
prior to system installation and implementation. The City would like to train their system
support personnel soon after the contract has been awarded to allow them to participate in
initial design and implementation.
Vendors must provide City IS staff with appropriate training in the use of the development
tools. Include a separate cost estimate for this training, if appropriate.
2.6. Documentation
Documentation must be delivered for the different types of users: system technical personnel,
system administrators, scanning and indexing staff, City users and the public. Users may or
may not be skilled computer users.
Comprehensive, high quality documentation is essential for the success of this project.
Documentation must provide a complete description of all system hardware, system software
and application software. All documentation provided must be in written form. The City of
Carlsbad requires at least two full sets of hard copy documentation and one electronic set for all hardware and software components. The project library set will be maintained as a
“master” set of documentation.
Vendors must provide a complete list of all documentation proposed, who is the intended
audience, what media the documentation is available in - written guides, on-line help, CD-
ROM manuals, or help cards.
The City of Carlsbad encourages vendors to propose alternate help documentation such as on-
line help menus, context-sensitive help, printed reference cards, or other methods of present- ing the user with quick effective help.
Vendors must state how changes to the documentation will be maintained so that users will be
kept current with the system as it evolves. Vendors must state how changes to documentation
will be released, and in the case of on-line help, who will be responsible for implementing changes.
Scope of Work Page 29 of 42
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The Citv of Carlsbad Document Manaaement RFP
2.7. Hardware and Software Maintenance
The City expects the vendor’s help desk personnel to provide troubleshooting and problem
determination after the City has determined if the problem is related to hardware, system
software or application software. If there is difficulty resolving problems between hardware
and software, the vendor will be responsible for the problem resolution.
Vendors must provide a proposal for the following types of support:
1.
2.
3.
4.
5.
6.
7.
8.
9.
A single 800 number for problem reporting that serves as a single point of contact for the
City.
A time and materials or fKed fee contract for continued technical support. The contract,
if accepted, shall be for 12 months.
The principle period of maintenance (PPM) is from 6 AM to 6 PM Monday through Fri-
&Y. (PST)
Vendors must quote a response time after initial problem report.
A maintenance plan and/or options for coverage during non-PPM periods must be speci-
fied.
Describe standard escalation procedures with their associated time frames.
Vendors should also quote the capability for remote diagnostics and the equip- ment/software needed.
Maintenance should include the cost for fKes and major release upgrades. The vendor
should include the standard estimated time for delivery of new releases. The vendor
should also include the standard estimated time for release of application software that
runs under a new release of the operating system.
Vendors should describe quality control procedures for ensuring that new releases are
compatible with existing modules.
All reported problem incidents must follow a standard set of steps until they are corrected.
The system supplier will be responsible for providing escalation procedures as well as criteria
that determines how problems move from one step to the next.
The system supplier shall assign incident numbers to all problem reports and queries and shall
maintain these incidents in a problem tracking database. The City of Carlsbad must be able to call at any time during its normal working hours and receive the status of the item in question.
This type of reporting may also be Internet-enabled allowing the City to access a problem
database.
2.8. Conversion Services
The City requires the vendor to convert paper tiles and databases as described in sections
2.2.3 - 2.2.5 of this document.
The vendor must follow effective quality control procedures.
The vendor must load converted files and indexing data into the new system and test.
The vendor must correct all errors resulting from vendor staff mistakes or program bugs, such
as missing images, inaccurate or missing indexing data.
Scope of Work Page 30 of 42
The Citv of Carlsbad
3. Project Plan
Do?wment Manaaement RFP
1
3.1. Introduction
The vendor must include in the proposal a plan for implementing the City’s system described
in this PPP. The plan must be comprehensive enough in scope and detail to convey the ven-
dor’s ability to deliver a system on time and on budget.
The project plan should not be a tutorial on project planning and the benefits of a project plan.
The City is looking for actual preliminary plans that suggest step by step tasks, timetables,
and responsibilities for both the vendor and the City. Vendors are encouraged to be brief and direct. The City is particularly interested in how the vendor will coordinate conversion activi-
ties and quality control with system development, implementation and testing.
3.2. Project Plan
The following paragraphs describe the minimum requirements for the City of Carlsbad proj-
ect plan. Vendors shall respond to each paragraph in their proposal. Vendors shall provide a
complete project plan with dates that reflect a start date of, 1999.
3.2.1, Project Plan and Personnel
Vendors must provide a preliminary project plan that includes a description of the project or-
ganization and the personnel assigned to this project. Please include resumes. The City ex-
pects project team members to remain on the project during rollout. Vendors are required to notify the City of Carlsbad of any change in personnel prior to that change being imple-
mented.
3.2.2. Vendor Validation of Processes
The vendor is expected to review the City of Carlsbad’s requirements and to ensure that the proposed solution will meet the City’s expectations. Any modifications or adaptations to the
specifications must be noted and communicated to the City of Carlsbad for review.
3.2.3. Site Preparation Documents
After selection, the system supplier must prepare a site preparation report and submit it to the
City of Carlsbad for review. The City will assume responsibility for ensuring all facility im-
provements are made in accordance with the final site preparation documents.
3.2.4. Final Configuration
The final configuration for the project must be documented by the vendor and approved by
the City of Carlsbad. Sufficient lead times must be built into the schedule to allow for all
components to be delivered in time for installation.
3.2.5. User Inte&ce/Prototype Demonstration
As the initial development step, the solution provider is expected to demonstrate all applica- tion screens, at a City user test facility, in sufficient detail that will allow the City to deter- mine that the user interfaces meet the City’s specifications. City users will provide feedback
concerning the usability of each screen. The vendor’s prototyping tools must be utilized to dynamically modify each screen according to this user feedback. The modified screen proto-
types will then form the basis for subsequent development.
3.2.6. User Testing
After the vendor has completed the application development (including training materials and
documentation) and unit/system testing, the solution provider must deliver and install the ap-
plication sofIsvare at the City’s site for internal acceptance testing. The City of Carlsbad will
Project Plan Page 31 of 42
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The Citv of Cadsbad Document Manaaement RFP
test the application for compliance with the specifications and will compare the application
software to the appropriate training and documentation materials to ensure completeness and
consistency. The system supplier must supply an on-site coordinator for all User Testing.
City acceptance testing will be accomplished within two weeks from the start of the test. The
City will either accept the software, training materials, and documentation or will prepare a
discrepancy list for the supplier to fm. Discrepancies must be fmed within two weeks of noti-
fication.
3.2.7. System Components
The vendor must list all hardware and software for Phases 1 & 2 of this project. This list must include all components the City is expected to provide.
3.2.8. Acceptance Test and Installation
Upon completion of user testing the system supplier will install all components of the system in the pilot areas. The City of Carlsbad will run the system and application software for 90
days to ensure the system meets the functional and performance requirements stated in the
RPP.
Vendors must provide on-site support for the first two weeks following installation and
training
3.3. Project Status Meetings
The City intends to establish regular meetings with the system supplier, who will be expected
to prepare written progress reports submitted in advance of each meeting.
4. Pricing ,.
4.1. Introducjion
Vendors are to provide firm fmed price proposals for Phases 1 & 2. Pricing proposals should
include all costs to the City of Carlsbad for hardware, software, installation, training and proj-
ect management as listed below.
The proposal format should follow the items listed below in the same order. Vendors are en-
couraged to provide explanations where needed for clarification. If a cost is based on an as- sumption made by the vendor, please explain each assumption in the pricing section.
Vendors are cautioned against providing a single price without adequate detail. The City of Carlsbad requires all costs to be broken down to categories and sub-categories. Each of the
individual cost components must be line items in each cost table.
4.2. Implementation
Costs associated with project management, implementation, customization and adaptation of software must be separately identified and presented in this section. These costs should in-
clude all labor, travel, lodging, per diem, car rental, etc., required to complete the system.
This section should also contain proposed number of trips to the City of Carlsbad and the es-
timated cost per trip.
4.3. Software Pricing
Software pricing shall be broken out into two separate areas: (1) software that is part of your
unique solution set, such as the document management software; (2) cost to develop the ap- plication itself and may include such items as setting up the database, security, workflow
rules, etc.
Pricing Page 32 of 42
4.3.1 System Software
4.4.
Costs for all proposed software packages, not provided by the City, must be clearly identified.
These include:
1. document management system software
2. cashier software
3. workflow software
4. database software - include run time license cost
5. server software - include intranet and/or internet software
6. communications software
7. client workstation software - the City prefers concurrent user licensing
Training
Costs for all training identified earlier must be clearly identified. Each individual training ses-
sion required must be separately identified.
4.5. Documentation
All costs, if any, for documentation must be separately identified.
4.6.
4.6.1
Maintenance
Vendor’s Software
Each software item proposed must be identified with a specific maintenance cost.
4.7. Technical Support
The City of Carlsbad anticipates relying on the vendor to provide technical support when
needed. Vendors should describe the type of on-site or off-site support that can be provided
and the cost of contracted technical services. The City expects the vendor to work on a fixed
rate contract but will review other arrangements, such as time and materials.
4.8. Other Costs
Vendors are to provide any other costs that have not been specifically requested. Any cost
listed should be related to a specific task or product in the proposal.
Pricing Page 33 of 42
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The Citv of Carlsbad Document Manaaement RFP
4.9. Pricing Tables
Following are examples of pricing tables that vendors shall submit. The City intends to
purchase client PC workstations separately from this contract. Vendors are invited, BUT NOT
REQUIRED to use the enclosed Excel spreadsheet. Pricing tables shall contain components
such as the following:
Client Components
21’ monitors
Other Monitors
Workstation licenses
External Access
Quantity Price/unit Total Price support Maintenance
Other I I s - s - s
Hardware Quantlty Prlcelunlt Total Price Support Maintenance
Duplex Scanner
Single sided scanner - Sheet feed I -I
Scan Station I -1 s
Film Output I -I s
Internet Server I -1 $
CD Writer I -1 t
Remote Access t
Jukebox I -I $ $ I I
Database Server s s I
Image Server
NR Hardware
RAID Storage
COLD Hardware
Kiosk Terminals
Software
Application Software
Cashiering module
Internet Interface
HSM Software
Scan Software
GIS Software
Kiosk - Interface
Custombation 8 Programming
Quantity Price/unit Total Price
s
S
s
s
s
t
0
t
Support Maintenance I
t - $ - s .‘I$” * ‘W’” ““::‘F?IP i*“,^‘p‘T‘?-‘T‘$ IWii ..i.-;-*i*qpy~ ‘\‘( % ” _ ,SIJI_. ‘;;i:R,“e “i‘, Cry >$<” ,_ _>: :;:;<’ ,.,;, : / .,
Services
Development
GIS Integration
IVR lntegratlon
COLD Integration
Staffing
Project Manager
Programmer
Analyst
Expenses
Travel
Hotel
Perdiem, etc
Hours Costfhr Total
EE t s t S $ s : _(_A ,“, _, .;
Conversion
Clerk
Scanning
OCR
Indexing
Drawings
Scanning
Indexing
Total
&III. 5 ,_, $b<‘“’ .,;i;,*; $@..iiiA ,$“‘ty” ,p;;r *f&‘x‘x’* ,“*e,“d w,p.p ,$ :;‘“ll.r,.r
~~,
Total s -
:“~,ye.,$pf’:p “:”
On-site Off-Ate I I
s -Is - s - Is s - s
Pricing Page 34 of 42
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The Citv of Carlsbad
5. Terms & Conditions
See Appendix A for the City’s standard agreement.
Document Manaaement RFP
In addition to agreeing to the City’s standard terms and conditions, vendors should provide a
statement agreeing to the following terms and conditions or state objections to them. In the ab-
sence of objections, the City will assume vendor’s concurrence. These terms and conditions will
form the basis of key sections of the required Agreement between the City and the successful ven-
dor.
1. Willingness to place a copy of all software source code in an escrow account to be avail- able to the City in case the supplier:
l Is no longer in business.
l Makes source code available to any other user of the sofbvare.
0 Ceases to maintain the software.
l Fails to maintain the software for an unreasonable length of time. Unreasonable is
defined as 6 months.
l Declares or has instituted against bankruptcy, receivership, insolvency, reorganiza-
tion, dissolution, liquidation or other similar proceedings under any federal or state
law.
l Fails to support new releases of the operating system or other co-dependent soft-
ware.
2. Agrees to keep the version of source code and documentation that the City is using in an
escrow account.
3. Agrees to provide access to all code and proprietary information that allows the City to
convert data and images stored on the system, in case the City decides: to limit the ven- dor’s installation to the initial installation; to introduce another document management
product; or to integrate the system with other City systems.
4. The City shall have the right to copy software and documentation for backup and disaster
recovery purposes; and for installation at sites covered in the user license agreement.
The City has the right to run software on a backup system in case of a disaster.
5. Code and documentation for all customized workflow scripts, indexing and retrieval screens, and special functions, and all associated intellectual property rights, shall be-
come the property of the City.
6. The warranty shall provide the provision that the City may return the product with full
refund if it is found to be unfit for purpose. Vendor shall guarantee that customized
software is guaranteed against all defects for one year from the date of product accep-
tance. The City will log all problems, incidences, and unexpected results during the war-
ranty period. The vendor will be responsible for addressing every logged entry.
7. The system must perform at the level attained at the conclusion of the final acceptance
during the warranty period. If the system fails to meet these standards, the vendor shall take the steps necessary to bring the system into full compliance with the contract at no additional cost to the City.
8. Terms and conditions of the contract will be modified only by mutual agreement of the
City and the vendor.
9. Training materials customized for the City shall become the City’s property.
10. The City will link payment to deliverables and acceptance. Standard product software
will be tested over a 90-day performance period before full payment is made. Full pay-
Terms & Conditions Page 35 of 42
The Citv of Carlsbad Document Manaaement RFP
ment will be made if the system has performed at 98% level of effectiveness for 90 con-
secutive business days.
11. Consulting/programming fees must remain constant for the period covered in the annual
contract and shall not escalate more that 5% annually.
12. Within 6 months of the City’s notifying the vendor of its decision to install a new release
of the operating system, the vendor will update its product to run under this new configu-
ration. Such updates shall be at no charge to the City as long as we are covered by war-
ranty or maintenance agreement.
13. Software enhancements to the vendor’s product shall be available to the City at no addi-
tional cost if still in the installation or warranty phases and/or if the enhancement is cov- ered under the basic maintenance fees.
14. The City will maintain the right to require that vendor personnel providing services to the
City be reassigned and replaced if the City determines that the current staff is not per-
forming in accordance with the City’s standards.
15. The vendor shall not assign or subcontract any performance of development or mainte-
nance without the City’s written consent.
16. Fees for maintenance support contracts shall not increase more than 3% of the prior
year’s annual maintenance fee.
17. Maintenance and license fees should be tied to the purchase price at the time of purchase,
not based on future purchase prices.
18. The Agreement shall be governed by and construed in accordance with the laws of San
Diego County in the State of California.
Terms & Conditions Page 36 of 42
The Citv of Carlsbad
Appendix A
City Standard Agreement
Document Mananement RFP
Appendix A Page 37 of 42
AGREEMENT
THIS AGREEMENT is made and entered into as of the day of
t 19-9 by and between the CITY OF CARLSBAD, a municipal
corporation, hereinafter referred to as “City”, and 1
a , hereinafter referred to as “Contractor.”
RECITALS
City requires the services of a Contractor
to provide the necessary services for preparation
of ; and Contractor possesses the
necessary skills and qualifications to provide the services required by the City;
NOW, THEREFORE, in consideration of these recitals and the mutual covenants
contained herein, City and Contractor agree as follows:
1. CONTRACTOR’S OBLIGATIONS
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2. CITY OBLIGATIONS
The City shall
3. PROGRESS AND COMPLETION
The work under this contract will begin within ten (10) days after receipt of
notification to proceed by the City and be completed within
[working/calendar] days of that date. Extensions of time may be granted if requested
by the Contractor and agreed to in writing by the . The
will give allowance for documented and substantiated
unforeseeable and unavoidable delays not caused by a lack of foresight on the part of
the Contractor, or delays caused by City inaction or other agencies’ lack of timely
action.
4. FEES TO BE PAID TO CONTRACTOR
The total fee payable for the services to be performed shall be $ . No
other compensation for services will be allowed except those items covered by
supplemental agreements per Paragraph 8, “Changes in Work.“ The City reserves the
right to withhold a ten percent (10%) retention until the project has been accepted by
the City.
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rev. 2/26/99
Incremental payments, if applicable, should be made as outlined in attached
Exhibit “A.”
5. DURATION OF CONTRACT
This agreement shall extend for a period of from date
thereof. The contract may be extended by the City Manager for additional
one (1) year periods or parts thereof, based upon a review of satisfactory performance
and the City’s needs. The parties shall prepare extensions in writing indicating effective
date and length of the extended contract.
6. PAYMENT OF FEES
within , *
7.
Payment of approved items on the invoice shall be mailed to the Contractor
30 days of receipt of the invoice.
FINAL SUBMISSIONS
Within days of completion and approval of the the
Contractor shall deliver to the City the following items:
8. CHANGES IN WORK
If, in the course of the contract, changes seem merited by the Contractor or the
City, and informal consultations with the other party indicate that a change in the
conditions of the contract is warranted, the Contractor or the City may request a change
in contract. Such changes shall be processed by the City in the following manner: A
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rev. 2/26/99
letter outlining the required changes shall be forwarded to the City by Contractor to
inform them of the proposed changes along with a statement of estimated changes in
charges or time schedule. A Standard Amendment to Agreement shall be prepared by
the City and approved by the City according to the procedures described in Carlsbad
Municipal Code Section 3.28.172. Such Amendment to Agreement shall not render
ineffective or invalidate unaffected portions of the agreement.
9. COVENANTS AGAINST CONTINGENT FEES
The Contractor warrants that their tirm has not employed or retained any
company or person, other than a bona fide employee working for the Contractor, to
solicit or secure this agreement, and that Contractor has not paid or agreed to pay any
company or person, other than a bona fide employee, any fee, commission,
percentage, brokerage fee, gift, or any other consideration contingent upon, or resulting
from, the award or making of this agreement. For breach or violation of this warranty,
the City shall have the right to annul this agreement without liability, or, in its discretion,
to deduct from the agreement price or consideration, or otherwise recover, the full
amount of such fee, commission, percentage, brokerage fees, gift, or contingent fee.
10. NONDISCRIMINATION CLAUSE
The Contractor shall comply with the state and federal laws regarding
nondiscrimination.
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11. TERMINATION OF CONTRACT
In the event of the Contractor’s failure to prosecute, deliver, or perform the work
as provided for in this contract, the City Manager may terminate this contract for
nonperformance by notifying the Contractor by certified mail of the termination of the
Contractor. The Contractor, thereupon, has five (5) working days to deliver said
documents owned by the City and all work in progress to the . The
shall make a determination of fact based upon the documents
delivered to City of the percentage of work which the Contractor has performed which is
usable and of worth to the City in having the contract completed. Based upon that
finding as reported to the City Manager, the Manager shall determine the final payment
of the contract.
This agreement may be terminated by either party upon tendering thirty (30)
days written notice to the other party. In the event of such suspension or termination,
upon request of the City, the Contractor shall assemble the work product and put same
in order for proper filing and closing and deliver said product to City. In the event of
termination, the Contractor shall be paid for work performed to the termination date;
however, the total shall not exceed the lump sum fee payable under paragraph 4. The
City Manager shall make the final determination as to the portions of tasks completed
and the compensation to be made.
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12. CLAIMS AND LAWSUITS
The Contractor agrees that any contract claim submitted to the City must be
asserted as part of the contract process as set forth in this agreement and not in
anticipation of litigation or in conjunction with litigation. The Contractor acknowledges
that if a false claim is submitted to the City, it may be considered fraud and the
Contractor may be subject to criminal prosecution. The Contractor acknowledges that
California Government Code sections 12650 et seq., the False Claims Act, provides for
civil penalties where a person knowingly submits a false claim to a public entity. These
provisions include false claims made with deliberate ignorance of the false information
or in reckless disregard of the truth or falsity of information. If the City of Carlsbad seeks
to recover penalties pursuant to the False Claims Act, it is entitled to recover its
litigation costs, including attorney’s fees. The Contractor acknowledges that the filing of
a false claim may subject the Contractor to an administrative debarment proceeding
wherein the Contractor may be prevented to act as a Contractor on any public work or
improvement for a period of up to five years. The Contractor acknowledges debarment
by another jurisdiction is grounds for the City of Carlsbad to disqualify the Contractor
from the selection process. (Initial)
The provisions of Carlsbad Municipal Code sections
3.32.027 and 3.32.028 pertaining to false claims are incorporated
3.32.025, 3.32.026,
herein by reference.
(Initial)
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f3. JURISDICTION
The Contractor agrees and hereby stipulates that the proper venue and
jurisdiction for resolution of any disputes between the parties arising out of this
agreement is San Diego County, California.
14. STATUS OF THE CONTRACTOR
The Contractor shall perform the services provided for herein in Contractor’s own
way as an independent Contractor and in pursuit of Contractor’s independent calling,
and not as an employee of the City. Contractor shall be under control of the City only
as to the result to be accomplished, but shall consult with the City as provided for in the
request for proposal. The persons used by the Contractor to provide services under this
agreement shall not be considered employees of the City for any purposes whatsoever.
The Contractor is an independent Contractor of the City. The payment made to
the Contractor pursuant to the contract shall be the full and complete compensation to
. which the Contractor is entitled. The City shall not make any federal or state tax
withholdings on behalf of the Contractor or its employees or subcontractors. The City
shall not be required to pay any workers’ compensation insurance or unemployment
contributions on behalf of the Contractor or its employees or subcontractors. The
Contractor agrees to indemnify the City within 30 days for any tax, retirement
contribution, social security, overtime payment, unemployment payment or workers’
compensation payment which the City may be required to make on behalf of the
Contractor or any employee or subcontractor of the Contractor for work done under this
rev. 2/26/99
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agreement or such indemnification amount may be deducted by the City from any
balance owing to the Contractor.
The Contractor shall be aware of the requirements of the Immigration Reform
and Control Act of 1986 and shall comply with those requirements, including, but not
limited to, verifying the eligibility for employment of all agents, employees,
subcontractors and Consultants that are included in this agreement.
15. CONFORMITY TO LEGAL REQUIREMENTS
The Contractor shall cause all drawings and specifications to conform to all
applicable requirements of law: federal, state and local. Contractor shall provide all
necessary supporting documents, to be filed with any agencies whose approval is
necessary.
The City will provide copies of the approved plans to any other agencies.
16. OWNERSHIP OF DOCUMENTS
All plans, studies, sketches, drawings, reports, and specifications as herein
required are the property of the City, whether the work for which they are made
be executed or not. In the event this contract is terminated, all documents,
plans, specifications, drawings, reports, and studies shall be delivered forthwith
to the City. Contractor shall have the right to make one (1) copy of the plans for
its records.
rev. Z/26/99
-8 -
17. REPRODUCTION RIGHTS
The Contractor agrees that all copyrights which arise from creation of the work
pursuant to this contract shall be vested in City and hereby agrees to relinquish all
claims to such copyrights in favor of City.
18. HOLD HARMLESS AGREEMENT
Contractor agrees to indemnify and hold harmless the City of Carlsbad and its
officers, officials, employees and volunteers from and against all claims, damages,
losses and expenses including attorneys fees arising out of the performance of the
work described herein caused by any willful misconduct, or negligent act, or omission of
the contractor, any subcontractor, anyone directly or indirectly employed by any of them
or anyone for whose acts any of them may be liable.
19. ASSIGNMENT OF CONTRACT
The Contractor shall not assign this contract or any part thereof or any monies
due thereunder without the prior written consent of the City.
20. SUBCONTRACTING
If the Contractor shall subcontract any of the work to be performed under this
contract by the Contractor, Contractor shall be fully responsible to the City for the acts
and omissions of Contractor’s subcontractor and of the persons either directly or
indirectly employed by the subcontractor, as Contractor is for the acts and omissions of
persons directly employed by Contractor. Nothing contained in this contract shall
create any contractual relationship between any subcontractor of Contractor and the
-9 -
rev. 2/26/99
City. The Contractor shall bind every subcontractor and every subcontractor of a
subcontractor by the terms of this contract applicable to Contractor’s work unless
specifically noted to the contrary in the subcontract in question approved in writing by
the City.
21. PROHIBITED INTEREST
No official of the City who is authorized in such capacity on behalf of the City to
negotiate, make, accept, or approve, or take part in negotiating, making, accepting, or
approving of this agreement, shall become directly or indirectly interested personally in
this contract or in any part thereof. No officer or employee of the City who is authorized
in such capacity and on behalf of the City to exercise any executive, supen/isory, or
similar functions in connection with the performance of this contract shall become
directly or indirectly interested personally in this contract or any part thereof.
22. VERBAL AGREEMENT OR CONVERSATION
No verbal agreement or conversation with any officer, agent, or employee of the
City, either before, during or after the execution of this contract, shall affect or modify
any of the terms or obligations herein contained nor entitle the Contractor to any
additional payment whatsoever under the terms of this contract.
23. SUCCESSORS OR ASSIGNS
Subject to the provisions of Paragraph 17, “Hold Harmless Agreement,” all
terms, conditions, and provisions hereof shall inure to and shall bind each of the parties
rev. 2126199
-10 -
.
hereto, and each of their respective heirs, executors, administrators, successors, and
assigns.
24. EFFECTIVE DATE
This agreement shall be effective on and from the day and year first written
above.
25. CONFLICT OF INTEREST
The Contractor shall file a conflict of interest statement with the City Clerk in
accordance with the requirements of the City’s conflict of interest code incorporating
Fair Political Practices Commission Regulation 18700 as it defines A consultant. The
disclosure category shall be categories
OR
The City has determined, using the guidelines of the Political Reform Act and the
City’s conflict of interest code, that the Contractor will not be required to file a conflict of
interest statement as a requirement of this agreement. However, Contractor hereby
acknowledges that Contractor has the legal responsibility for complying with the
Political Reform Act and nothing in this agreement releases Contractor from this
responsibility.
26. INSURANCE
The Contractor shall obtain and maintain for the duration of the contract and any
and all amendments insurance against claims for injuries to persons or damage to
property which may arise out of or in connection with performance of the work
-11 -
rev. 2/26/99
hereunder by the Contractor, his agents, representatives, employees or subcontractors.
Said insurance shall be obtained from an insurance carrier admitted and authorized to
do business in the State of California. The insurance carrier is required to have a .
current Best’s Key Rating of not less than “A-V and shall meet the City’s policy for
insurance as stated in Resolution No. 91-403.
A. Coveraqes and Limits.
Contractor shall maintain the types of coverages and minimum limits
indicated herein, unless a lower amount is approved by the City Attorney or City
Manager:
1. Comprehensive General Liability Insurance. $1 ,OOO,OOO combined
single-limit per occurrence for bodily injury, personal injury and property damage. If the
submitted policies contain aggregate limits, general aggregate limits shall apply
separately to the work under this contract or the general aggregate shall be twice the
required per occurrence limit.
2. Automobile Liability (if the use of an automobile is involved for
Contractor’s work for the City). $1 ,OOO,OOO combined single-limit per accident for bodily
injury and property damage.
3. Workers’ Compensation and Employer’s Liability. Workers’
Compensation limits as required by the Labor Code of the State of California and
Employer’s Liability limits of $1 ,OOO,OOO per accident for bodily injury.
rev. 2/26/99
-12 -
4. Professional Liability. Errors and omissions liability appropriate to
the contractor’s profession with limits of not less than $1,000,000 per claim. Coverage
shall be maintained for a period of five years following the date of completion of the
work.
B. Additional Provisions.
Contractor shall ensure that the policies of insurance required under this
agreement contain, or are endorsed to contain, the following provisions.
1. The City shall be named as an additional insured on all policies
excluding Workers’ Compensation and Professional Liability.
2. The Contractor shall furnish certificates of insurance to the City
before commencement of work.
3. The Contractor shall obtain occurrence coverage, excluding
Professional Liability which shall be written as claims-made coverage.
4. This insurance shall be in force during the life of the agreement and
any extension thereof and shall not be canceled without 30 days prior written notice to
the City sent by certified mail.
5. If the Contractor fails to maintain any of the insurance coverages
required herein, then the City will have the option to declare the Contractor in breach, or
may purchase replacement insurance or pay the premiums that are due on existing
policies in order that the required coverages may be maintained. The Contractor is
responsible for any payments made by the City to obtain or maintain such insurance
rev. 2/26/99
-13 -
and the City may collect the same from the Contractor or deduct the amount paid from
any sums due the Contractor under this agreement.
27. RESPONSIBLE PARTIES
The name of the persons who are authorized to give written notices or to receive
written notice on behalf of the City and on behalf of the Contractor in connection with
the foregoing are as follows:
For City: Title
Name
Address
For Contractor: Title
Name
Address
Architect/License Number:
Architect/License Number:
28. BUSINESS LICENSE
Contractor shall obtain and maintain a City of Carlsbad Business License for the
duration of the contract.
29. ENTIRE AGREEMENT
This agreement, together with any other written document referred to or
contemplated herein, embody the entire agreement and understanding between the
-14 -
rev. 2/26/99
parties relating to the subject matter hereof. Neither this agreement nor any provision
hereof may be amended, modified, waived or discharged except by an instrument in
writing executed by the party against which enforcement of such amendment, waiver or
discharge is sought.
Executed by Contractor this
CONTRACTOR:
day of ,I9 .
CITY OF CARLSBAD, a municipal corporation of the State of California
(name of Contractor)
By:
By: City Manager or Mayor (sign here)
(print name/title) ATTEST:
By: (sign here)
(print name/title) ALETHA L. RAUTENKRANZ City Clerk
(Proper notarial acknowledgment of execution by Contractor must be attached.)
(President or vice-president and secretary or assistant secretary must sign for
corporations. If only one officer signs, the corporation must attach a resolution certified
by the secretary or assistant secretary under corporate seal empowering that officer to
bind the corporation.)
APPROVED AS TO FORM:
RONALD R. BALL City Attorney
BY Assistant City Attorney
-15-
rev. 2/26/99
The Citv of Carlsbad Document Manaaement RFP
AppendiiB .,
City Clerk Database Samples
Engineering Database
Water Department Drawing Database
Appendix B Page 38 of 42
INDEX SYSTEM PAGE 1
DATE 03/22/99 INDEX LIST TIME 8:19 AM
DATE AmION TYPE
IDENT.
PRIMARY FILE ID TOPICS
SECONDARY FILE ID
LOCATION
DESCRIPTION
10-11-1994 AB 12,896
21519
59 03NTmcT
4s PIS
SOFTWARE
MCGLADREY
COMPUTER
FIN
ADOPT RES 94-285 APPROVING A CONTRACT WITH MCGLADREY h
PULLEN To PROVIDE ASSISTANCE TO CITY IN EVALUATING k
SELECTING AN FIS SYSTEM.
01-16-1996 AB 13,473
21518
59
45
TRAINING
FIS
FIN
AGMT
LIENHARD
COMPUTER
SOFTWARE
ADOPT RBS 96-21 AUTHORIZING AGMT WITH LIENHARD CONSULTING.
GROUP FOR MICROCOMPUTER TRAINING. CC DIR STAFF TO PROCEED
WITH PHASE 4 OF TKE FIS PRO.?, INCLUDING UPGRADES OF
MICROCOMPUTER RARDWARF, h SOFTWARE, h PROVISION OF TRAINING.
04-16-1996 AB 13,607 59
21740 4s
CONTRACT
FIS
81 TECN
SR m;r ANALYST
SGFTWARE
PCN
WlmJTER
ADOPT RES 96-131 APPROVING CONTRACT WITH BI-TECH SOFTWARE
FOR SOFTWARE FOR FIS, 6 AUTHORIZING STAFF TO FCH HARDWARS
FROM REWLZIT-PACKARD; ADOPT RES 96-132 APPROVING SR MGT
ANALYST POSITION TO SBRVE AS A TFsMP PROJ MGR FOR FIS.
06-04-1996 AB 13,669 59
21933 4s
OmrQAm
XD CONSULTING
FIS
COMPUTER
so-
ADOPT FiES 96-187 APPROVING A CONTRACT WITH XD CONSULTING
FOR PROVISION OF SERVICES To ASSIST WITH TRB IMPLBMENTATION
OF TIE FIS.
07-22-1997 AB 14.279
22847
59 CONTRACT
PCN
SOFTWARB
SIERRA CXMPWER
PERMITS PLUS
FIS
PHASE6
ADOPT RBS 97-547 APPROVIlVG A CONTRAm WITH SIERRA COMPUTER
SYSTEMS FOR FC!H & IMPLEMENT ATION ASSISTANCE OF PERMITS PLUS
SOFTWARE SYSTEM, AE PART OF PHASE 6 OF THE: FIS PROJ.
OS-OS-1998 AB 14,656 59
23568 45
AMEND
Am
BI TECR SOFTWARE
TRAINING
PROGRAMINGS
FIS
AWFT RES 98-128 APPROVING AMRND 1 TO THF, AGMT WITH BI-TECR
SOFTWARE, INC. FOR ADDITIONAL FIS TRAINING, SOFTWARE
MODIFICATIONS h PROGRAMMING SERVICES.
FIELDS OF ENTRY
DATE OF ACTION
This is usually the date an item came before Council. Enter the month/day/year using forward slashes. There may be multiple dates or no dates for "NOTE" entries. Nhen making a "NOTE" entry, use the date the reference is being entered. Example: February 5, 1988 = 2/S/88
TYPE OF ACTION
The underlined selections below are the only approved types of entries for this field.
Agenda Bill Number = AB 9,999 Supplements shown as= AB 9,999-3 Document(s) other than an AB = NO AB There is an agenda bill but no number was assigned to it = NO ABC
FILE ID #
The file number which identifies where the agenda bill or other document is filed. (See the separate "Carlsbad - Basic Classifications* list for these numbers and the subjects they represent.) Only one file identifier is allowed on this line.
The following are exceptions and don't use numbers: "GREEN" is entered for H&R COMS items. "PINK" is entered for CMWD BD items. "NONE" is entered if the entry is a "NOTE" (see Topics) and no documents are filed.
SECONDARY ID #
Used as the secondary file location identifier if the agenda bill is being cross indexed or there are additional documents filed in other locatons, such as an agreement/contract. There may be more than one file number for this line and they are separated by commas.
The use of '45" is only allowed if we have an agreement/contract on file, and then it is a mandatory entry on this line. A "45" is D~J used if there is no contract to file, even if the agenda bill approved one. NOTE: sometimes a contract is not in a "45" file. Check the agenda bill if a "45" is indicated but not found. Documents difficult to track are sometimes kept together.
LOCATION
Field currently not used.
1
EXPIRATION DATE
Field, currently not used.
DESTRUCTION DATE
Field currently not used.
ABBREVIATIONS: Always use agreed
“Proper Name", “General" L "Job Title" use periods (.) after abbreviations.
upon abbreviations per the
abbreviation lists. Do not
ADJOURNED MEETIWGS: For normal adjourned meetings, ADJOURR is used as a topic. For those adjourned meetings which result from the possibility of a Council quorum attending the same event or function, include ADJOURN and BROWN ACT as topics.
AGREEMENTS: AGMT is entered on one line. The number is entered on a second line. The names of vendors being awarded contracts are entered only if coding on the Council Agenda, (45), indicates there is a contract or agreement on file.
AMENDMENT: Do not use this or the abbreviation "amend" as a topic.
ANNEXATION: Used as a topic, but the number is used only in the text,
ASSEMBLY/SENATE BILLS: Enter AB or m on one topic line 61 the X on another line. Always ente~LEGISL?LTION as a topic when Assembly Bills and Senate Bills are involved.
ASSESSMENT DISTRICTS: A& is entered on a line by itself and the NUMBER is on a line by itself.
CABLE TV: CABLE TV is used as a topic for all cable tv actions except for Cable Foundation items.
CHANGE ORDERS: CHARGE ORDER is entered on one topic line. The number of the Change Order is not entered as a topic.
2
Tonics Cont.
CLOSED SESSION: Enter "CLOSED SESSION" on one topic line. In addition, one of the following must be used as a topic: "LITIGATIONS or "PROPERTY" OR "EMPLOYEE". (Discussions on pending litigation or a lawsuit, employee/labor relations or the purchase of property are the only reasons Council may hold Closed Sessions.)
CMWD: Mandatory use as a Topic only when items about the Carlsbad Municipal Water District are acted upon by Council, and NOT by Council sitting as the CMWD Board of Directors.
CMWD BD: Mandatory use as a Topic onlv when an item is acted upon by Council sitting as the Carlsbad Municipal Water District Board of Directors.
COMPASS POINTS: Compass points are abbreviated, except when they are a person's last name. Example: south = s Southwestern Stationers = SW STATIONERS northern = H James North = NORTH
A compass point that is part of a street name is placed on a topic line separate from the rest of the street name.
CONSULTANT: This word is not used as a topic. Use the name of the person or agency hired and the project they are hired to work on.
CONTRACTS: CONTRACT is entered on one line. The numb& is entered on a second line. The names of vendors being awarded contracts are entered only if coding on the Council Agenda, (45), indicates there is a contract on file.
COUNSEL: For all agenda bills hiring outside legal counsel use COUNSEL and the firm or individual's name as topics.
COVENANT: Use "DEED" as a topic. The document is treated as a deed and placed in the deed files. (See DEEDS below for further topics needed.)
DATES: Always use the month/day/year format (3/l/88) when entering dates. Enter a hyphen between the beginning and ending dates of a block of time 1988-89.
3
,- -
Topics cont.
DEEDS: Always use the word DEED, (even if the document says Grant or Quitclaim), the name of the grantor, the street if known, and - __- _ _ -_ -_ the purnose for which the deed is being accepted. (PROPERTY, ST EASEMENT, WATER LINE EASEMENT, ACCESS EASEMENT, SEWER LINE EASEMENT, UTILITY EASEMENT.)
DONATION: Use only: "DONATIONw, the name of the department receiving the donation, and who the donation is from.
EASEMENTS - FROM CITY: When the City grants an easement to someone else, enter EASEMENT, and the GRANTEE'S NAME as topics.
ENCINA: ENCINA is the mandatory topic for any of the following:
Encina Financing Joint Powers Authority Encina Administrative Agency Encina Wastewater Authority Encina Water Pollution Control Facility Encina Joint Advisory Committee Encina Budget Advisory Committee Encina Solids Advisory Committee Encina Technical Advisory Committee.
These titles are abbreviated (see Proper Names list) and the abbreviations are used in the text.
FACILITY/FACILITIES: CMWD uses this word in their agenda bills when it is actually water lines or pipes they are discussing. Use IMPROVEMENTS as topic. "Facility" should only be used when referring to building structures.
FIRE STATIONS: If the action will only affect a particular fire station (such as repairs to the building), use FIR STATION on one line and the station INJMBER is entered on a separate line. When the action may affect additional stations (such as the purchase of fire trucks), FIR STATION is entered on one line and the station number is omitted.
GENERAL PLAN ELEMENTS: ~must always be used as an additional topic when entering any element of the General Plan as a topic. See List of Proper Names for their abbreviations.
GOALS & OBJECTIVES: Use "GOALS & OBJECTIVES" on one line for Council items only; and wGOALSw for items referring to other Boards, Commissions or Committees.
Tonics Cont.
GOVERNMENT AGENCIES: Use: STATE instead of: State of California COUNTY * " County of San Diego
HOUSING AND REDEVELOPMENT COMMISSION: H&R COMS is a mandatory topic for actions taken by, or about, the H&R COMS.
IMPROVEMENT/IMPROVEMENTS: To be used as a Topic ONLY when Council, CMWD BD or H&R COMS are accepting a job or project as complete; and not when projects are being bid, modified or discussed.
INSURANCE: INSURANCE is entered on a line by itself and, if known, the specific type of insurance is entered on a separate line
(i.e., Topic 1 - Health, Topic 2 - Insurance; Topic 1 - Workers Comr)ensation, Topic 2 - Insurance).
JOB CLASSIFICATION PLAN, SALARY SCHEDULE: Use GEN or MGT depending on if the action relates to the General or Management classification plans and/or salary schedules. CLASSIFICATION and SALARY are also used as Topics along with job titles mentioned.
LAWSUITS, WORKERS ’ .COMP: LITIGATION is entered as a topic when referring to lawsuits, claims against the City, and workers' compensation claims.
MAPS: TENT MAP is entered for a Tentative Map. Enter FINAL MAP on one line for a Final Map. &XJ is used on another line when referring to an extension of a tentative map.
,--.
TODiCS Cont.
NAMES - BUSINESS/PROJECT:
Q
Q
1.
2.
3.
4.
If the first two words of a company or development name take up more than the 20 spaces available on a topic line, than use only the first word.
If the word "Carlsbad" appears anywhere in a company or development name it is dropped, even if that leaves only one word to use.
DEVELOPMENT NAME: use the first two words of the name on the same line. Use three words only if clarification is needed to separate it from others that have the same first two words. Examples: Sandy Pointe Landing = SANDY POINTE Buena Vista Gardens = BUENA VISTA GARDENS Buena Vista Valley = BUENA VISTA VALLEY
COMPANY NAME: If an individual's name is used as the company name, use only their last name on the topic line. The name that appears first in a group of names is the one used as a topic. Use the complete company name in the text. Apostrophes are removed and the resulting space is removed. Examples: Alice Premm C Associates = PREMM Alcazar, Zorro C Cisco, Inc. = ALCAZAR Gene Rodenberry Spaceways = RODENBERRY O'Gara Wholesale,= OGARA
For all other company names, use the first two words L leave out punctuation. Use the full name, with punctuation, in the text. Letters, numbers or words separated by punctuation are considered one word and become one of the two words used on the topic line. Punctuation is'left out on the topic line and replaced with spaces. Apostrophes are removed and the resulting space is removed. Examples: Allied Equipment Rental = ALLIED EQUIPMENT 1,2,3 Mighty Widgets.= 1 2 3 MIGHTY Right-of-Way Engineering = RIGHT OF WAY ENG M.A.G. Property = M A G PROPERTY Women's Resource Center = WOMENS RESOURCE
INDIVIDUAL'S NAME: use the last name on the topic line if the personal name is being used to identify just that individual. Use the full name of the person in the text. Use the second half of a name that is hyphenated. Examples: Marianne Brown-Green = GREEN Henry R. Tudor = TUDOR
AMPERSAND: If it (or the word "and") is the second word in a company name it is kept and the third word is also used on the topic line, unless another abbreviation has already been approved. Example: Routing and Drilling, Inc. = ROUTING 6 DRILLING L & W Investments = L L W INVESTMENTS
6
- -
- NAMES - BUSI~SS/PROJECT continued:
5. COMPASS POINTS: The approved abbreviations for compass points shall be used and considered as one word. Examples: Southwestern Stationers = SW STATIONERS Western Temporary Employees = W TEMP
6. CALIFORNIA: Is abbreviated to CALIF in a company name. For a State of California department, commission, etc. the word STATE is used as a topic on one line and the approved abbreviation for the department, commission, etc., is used on a second line.
ToDics Cont.
NOTE TO FILE: For a Vote to file" or reference item NOTE is used on one line and the subject on other line&. This type of entry can tie together entries for one subject which have gone to Council under-multiple subjects or project numbers, and are in a variety of filing locations. It can be entered to help locate. a filed document that did not go to Council. It can be entered for historical tracing purposes, to show the beginning or ending of a procedure.
NUMBER SYMBOL (#j : Do not use the number symbol (i) when entering resolution, ordinance, lawsuit case or project numbers as a topic.
CFD Numbers: CFD is listed on one line and the number is listed on a second line.
HYPHENS: Hyphens are not removed from completely numerical topic entries. They may be added in instances where the originating department did not use them. Hyphens are also added to separate years, but not days and months. Examples: lawsuit case 90-40058 = CASE 90-40058 contract no. SA 89-403-B = SA 89-403B MS 309 = MS-309 Ms 93-277 = MS 93-277 Fiscal Year 1989-90 = 1989-90
LFMP numbers: LFMP is listed on one line with the number listed on a second line.
Ordinal numbers: Third, thirteenth, 22nd, or one hundred and seven are entered using numerals only, no matter what they refer to. Examples: third = thirteen = 22ND = one hundred C seven
3
2’2’ = 107
PROJECT ID NUMBERS: The main identification number is entered as a topic. Modifiers are only entered in the text. Example: CT 88-5 would be the Topic for CT 88-5(A) or CT 88-5(l). Text entries would then be CT 88-5A or CT 88-5(l). Parenthesis are only used in the text when the modifier is numerical.
The zero is dropped in the second half of a project ID, even if other departments include the zero, Example: CT 93-8 is used on the Topic line and in the Text, and not CT 93-08.
RESOLUTION/ORDINANCE NUMBERS: DO not enter resolution and ordinance numbers as topics. They are used in the text only.
ToDics Cont.
PARKS: In addition to entering the PARR NAME, enter the word PARE on a line by itself. Example: Holiday Community Park = HOLIDAY PARE
PROJECTS: use the abbreviation"PROJ" on one topic line. The number is then listed on a second topic line.
PUNCTUATION IN TEXT: Words & names: Punctuation is removed from use in the Topic field when found in words or names. A hyphen is replaced with a space. Letters separated by an apostrophe are brought together. Use the last name in the case of a hyphenated personal name.
Examples: Park-in-Lieu Fee = PARE IN LIEU James J. O'Brien = OBRIEN Mary Jones-Smith = SMITH
RECLASSIFICATION: NOT used as a topic. Use classification plan, sala- schedule (if it is amended), GEN, MOT, poL or m, plus job titles as topics. The division and/or department involved are mentioned only in the text.
REFUND: Use "REFUND", the name of the party receiving the refund, and what the refund is for (such as APPEAL fee, GRADING deposit, etc.)
REOUESTS TO ADDRESS COUNCIL: Do not use request as a topic. If the request to be put on Council Agenda comes from an
agency I special interest group, club, etc. use their name as a topic along with the subject they wished to address Council on. If it is a request from a citizen, representing only themselves, then that persons last name would be placed on a line and the subject on another line.
SINGULAR/PLURAL FORM: Usually words are in the singular form. If you can't find a word under the singular form, search with the plural form.
STREET NAMES: If a street has a compass point (East, West etc.) at the end or the beginning of the name, that compass point goes on a seperate topic line.
SUPPLEMENTS: Supplements to agreements and contracts are entered with SUP on one line and the NUMBER on a second line, and
AGMT or CONTS on a third line.
TODiCS Cont.
. TRAVEL REQUESTS: If the request for travel is from a Council
Member, use as,topics the word "travel" and the last name of the Council Member. If it is from anyone else in the City, use the word "travel" and the employee's job title. TRAVEL is always used as a topic for any request to leave the City. Examples: A request from Mayor Lewis to attend a convention in Sacramento - use: TRAVEL and LEWIS. A request from Police Chief Vales for training in Phoenix, AZ, - use: TRAVEL and POL CHIEF
VENDOR/VENDORS : Do not use the names of any vendors being awarded a bid or purchase order unless there is a "45" coding on the Council Agenda to indicate that we have a contract in our files.
10
DBSCRIPTIO~ (Also known a8 TEXT1
This field summarizes Council actions. Use these guidelines:
1.
2.
3.
4.
5.
6.
7.
8.
9.
Enter dates using the month/day/year format: (3/l/88) or the fiscal year format: 1989-90.
Always use agreed upon abbreviations.
Do not use the number symbol (X) when entering resolutions, ordinances, projects, contracts or lawsuit cases.
All original punctuation is used when entries are made in this field.
Do not use a period (.) after abbreviations.
When it's a H&R Corns action, H&R Corns must begin the description entry in order to avoid confusion with Council actions. (Example: H&R Corns adopt Res 2323.)
When it's a CMWD BD action, CMWD BD must begin the description entry in order to avoid confusion with Council actions. (Example: CMWD BD adopt Res 2323.)
If an agenda bill is withdrawn but the original was not returned to the originating department, then enter a brief description of the item (usually the title will do) and add that it was withdrawn. If the original agenda bill was returned then note what department it was returned to and also that it was withdrawn.
If an agenda bill was continued by Council, then give a brief description of the item, any actions or instructions that Council might have made, the fact that it was continued and the date it was continued to, if known.
If it is later determined to "file" a previously continued item, you will return to the entry where it was continued, and in the text note that it was filed, at whose directions it was filed, and the date it was filed. (Item filed per CM on l/3/93.)
11
- August 6.1996 GENERAL ABBREVIATIONS
ACCEPT
ADJUST W-l-
ADMtN
ADOPT
AB
AGMT
FIA
AG
AMEND al
ANNEX
APPT
APPROX AB
A0 ASST
ASSOC
AVtARA
AVE
BD
BLVD
BLD BP
CT
CERT COMP
CERT CONVENIENCE CD
COP
CH
CR
CIRC
CDP
COMS
COMT
CFD
co
con/w
CLUP
CUP
CP
CONT
CORP
CT
ACCEPTING, ACCEPTANCE, ACCEPTED
ADJUSTMENT PIAT ADMtNtSTRATtION, ADMtNtSTRATOR&IMtNtSTRATE
ADOPTED, ADOPTING, ADOPTtON (teti only)
AGENDA BtLL
AGREEMENT AGREEMENT TO PAY FUTLJRE IMPROVEMENT FEES
AGRICULTURE, AGRtCULTURAL
AMENDMENT, AMENDING, AMENDED, AMENDS
AND
ANNEX or ANNEXATION APPONTMENT, APPOINTtNG, APPOINTED
APPROXtMATELY ASSEMBLY BtLL
ASSESSMENT DtSTRlCT ASStSTANT
ASSOCLATION, ASSOCIATE, ASSOClATES
AVtARA PLANNtNG AREA NO, _ _ (with -AREA & # l on 2”d lime)
AVENUE
BOARD BOULEVARD
BUILD, BUtLDlNG
BUtLDtNG PERMtT
CARLSBAD TRACT CERTtFtCATE OF COMPLlANCE
CERTIFtCATE OF CONVENtENCE 8 NECESSlTY
CERTlFlCATE OF DEPOSIT
CERTIFtCATE OF PARTICIPATION
CHAPTER (used in text feld only)
CtRCLE ClRCUtATlON
COASTAL DEVELOPMENT PERMtT
COMMISSION
COMMITfEE
COMMUNlTY FACtLlTtES DtSTRtCT
COMPANY
COMPENSATION
COMPREHENSWE LAND USE PlAN
CONDtTlONAL USE PERMIT
CONDOMtNtUM PERMlT
CONTINUED
CORPORAION
COURT (a St. identifkation 8 a Ctty Tract)
- -..
DP
DEPT
DI
DIR DIST
DtV DR
E
ENG EQU tP
FED
FIN
FIR
FT
GO BOND
GP
GPA GtS
GOW
GM
GMA
HD
HDP HWY
HIST PRES
HSG
HR
ID
INC
IFA
INFO
INTRO
DATA PROCESSING
DEPARTMENT
DISCUSStON lTEM (FROM PLANNING)
DIRECTOR, DIRECTED, DIRECTING (NOT FOR DIRECTORY) DtSTRtCT DtVtStON
DRtVE
EAST, EASTERN
ENGINEER, ENGtNEERlNG
EQUIPMENT
EXTENSION, EXTEND, DCTENDING, EXTENDED
tF1
FEDERAL
FINANCE. FINANCING, FINANCES,FINANClAL
FIRE
FOOT, FEET (measurement only)
GENERAL OBLIGATION BOND
GENERAL PLAN
GENERAL PLAN AMENDMENT
GEOGRAPHlC INFORMATION SYSTEM
GOVERNMENT GROWTH MANAGEMENT
GROWTH MANAGEMENT FEE AGREEMENT
HtLLStDE DEVELOPMENT
HILLSIDE DEVELOPMENT PERMlT HtGHWAY
HlSTORtC PRESERVATtON
HOUSING, USED IN GENERAL SENSE HOUR, HOURS, HOURLY
IDENTIFlCATlON
WCORPORATED
INCREASED FEE AGREEMENT
INFORMATtON
INTRODUCE, INTRODUCTION, NTRODUCING, INTRODUCED
JPA
LCPD
LU
LN LIB
LCP LCPA
LFMP
MGT
MGR MP
MOA
MOU
MPH MIN
MISC MO
MCA
NEG DEC
N
NE
NW
NOT AVAIL
NOT COMP
NOT INTENTlON
NOT VIOLATION #
JOINT POWERS AGREEMENT
LA COSTA PLANNED DEVELOPMENT LAND USE
LANE LIBRARY
LOCAL COASTAL PLAN
LOCAL COASTAL PROGRAM AMENDMENT
LOCAL FAClLlTlES MANAGEMENT PLAN
MANAGEMENT
MANAGER
MASTER PLAN
MEMORANDUM OF AGREEMENT
MEMORANDUM OF UNDERSTANDING MILES PER HOUR
MINUTES
MISCELLANEOUS
MONTH(S)
MUNlClPAL CODE AMENDMENT (number only used in texi)
NEGATJVE DECLARATION
NORTH
NORTHEAST
NORTHWEST
NOTlCE OF AVAllABlLllY
NOTlCE OF COMPLETlON
NOTICE OF INTENTlON
NOTICE OF VlOlATlON
NUMBER (Before a number)
ORD
ORG
ORDINANCE
ORGANlZATlON
PG. PGS
%-
PER
PL
PLN
PLN COM DEV
PO
PIP
PUD
PC0 PLANS & SPECS
POL PROJ
PROP PFF
PO
PCH
RECLASS
REC
RV
RED RP
RE
REORG
REP RFP
RES
RES INTENTlON
REV
RD
SDU
SB
SCA
SR
SDU
SDP
S
SE SW
SP
SPECS ST
ST LIGHT DIST
SUBCOMT SUPV
SUP
PAGE, PAGES
PERCENT PERSONNEL
PLACE
PLAN, PLANNING, PLANNED (use also in co. names)
PLANNED COMMUNlTY DEVELOPMENT
PLANNED DEVELOPMENT/PRIVATE DEVELOPMENT PLANNED INDUSTRWL PERMlT
PLANNED UNlT DEVELOPMENT
PLANNING COMMISSION DETERMINATION
PLANS AND SPECIFICATIONS POLlCE
PROJECT
PROPOSITION
PUBLIC FAClLlTlES FEE & also AGREEMENT
PURCHASE ORDER PURCHASE, PURCHASING
[RI
RECLASSIFY, REClASSlFlCATlON RECREATlON, RECREATIONAL, ETC.
RECREATIONAL VEHICLE
REDEVELOP, REDEVELOPMENT, ETC.
REDEVELOPMENT PERMlT
REGARDING REORGANKATlON .
REPRESENTATIVE, REPRESENTATlVES REQUEST FOR PROPOSALS
RESOLUTION RESOLUTION OF INTENTION
REVISED, REVISION
ROAD
SECOND DWELLING UNlT
SENATE BILL
SENATE CONSTlTUTlONAL AMENDMENT SENIOR
SINGLE DWELLING UNlT
SlTE DEVELOPMENT PLAN
SOUTH
SOUTHEAST
SOUTHWEST
SPECIFlC PIAN
SPECIFICATIONS
STREET OR STREETS
STREET LlGHTING DISTRICT (# listed on 2nd line)
SUBCOMMITTEE
SUPERVISOR, SUPERVISING, SUPERVISION, SUPERVlSED
SUPPLEMENT
TEMP
TENT TIF
TOT
UUD
V
YR
ZC
ZCA
TEMPORARY
TENTATIVE
TRAFFIC IMPACT FEE (no # used for ID)
TRANSIENT OCCUPANCY TAX
tu1
UNDERGROUND UTILllY DISTRICT (number on 2nd line)
[VI
VERSUS
[WI
WEEK
WEST
tx1
ty1
=WS)
tz1
ZONE CHANGE ZONE CODE AMENDMENT
August 6.1 QQ6 LIST OF PROPER NAMES
(4
CONSERVATlON COMT
ADV8APP80
AP
ADA
ARMY CORPS OF ENG
ARTS COMS
ARTS ELEMENT
ARTS AFS COMT
ACA
ACWA
ARC
AWRA
AT8SF AV
AVA SERV AUTH
BLEP
BEACH BEACH EROSION COMT
BD OF SUPV
B&T DIST
BVSD
BLD
BLD AUTH
BVLJPCOMT
CABLE FOUNDATlON
CALIF
CAL ID
ClWTvlB
STATE
BOATING 8 WATERWAYS
BOE
FISH & GAME CALTRANS
CMIA
CALPIRG
CAPCFA
ADVISORY COMMllTEE ON COASTAL SAGE SCRUB
RESOURCEMANAGEMENT
ADVISORY AND APPEALS BOARD
AGRICULTURAL PRESERVE (with # on same line)
AMERICANS WlTH DlSABlLlTlES ACT
ARMY CORPS OF ENGINEERS
ARTS COMMISSION
ARTS ELEMENT (GENERAL PLAN) ARTS OFFICE, CULTURAL ARTS OFFICE
ARCHITECTURAL FEASlBILfl-Y STUDY COMMllTEE ASSEMBLY CONSTITUTIONAL AMENDMENT
ASSOClATlON OF CALIFORNIA WATER AGENCIES HEALTH
BENEFlTS AUTHORITY
ASSOCIATION OF RETARDED CJTKENS
ASSOCXATION OF WATER REClAMATlON AGENCIES
ATCHISON TOPEKA & SANTA FE
AUDlO VISUAL
AUTOMOBILE CLUB OF SOUTHERN CALlFORNlA
SAN DIEGO ABANDONED VEHICLE ABATEMENT SERVlCE
AUTHORITY
(B)
BATIQUlTOS LAGOON EDUCATIONAL PARK
BEACH EROSION ACTION COMMllTEE, (Regional)
BEACH EROSION COMMITTEE, (Local)
SAN DIEGO COUNTY BOARD OF SUPERVlSORS
BRIDGE AND THOROUGHFARE DISTRICT
BUENA VISTA SANlTATlON DISTRICT
BUILDING DEPT.
BUILDING AUTHORlTY
BUENA VISTA LAGOON JOINT POWERS COMMll-TEE
(Cl
CABLE TELEVlSlON FOUNDATION
CALIFORNIA (used in names other than State Depts.)
CALIFORNIA IDENTIFICATION SYSTEMREMOTE ACCESS
NETWORK
CALlFORNlA INTEGRATED WASTE MANAGEMENT BOARD
CALIFORNlA, STATE (use CALIF in proper names)
CALIFORNIA. STATE, DEPT. OF BOATING 8 WATERWAYS
CALIFORNIA, STATE, BOARD OF EQUALKATION
CALIFORNIA, STATE, DEPT. OF FISH i% GAME
CALIFORNIA, STATE, DEPT. OF TRANSPORTATION
CALlFORNlA MUNICIPAL INSURANCE AUTHORrrY
CALlFORNlA PUBLIC INTEREST RESEARCH GROUP
CALIFORNIA POLLUTION CONTROL FINANCING AUTHORrrY
CSCD+
CIP
CARRILLO RANCH COMT. CARA
cc
CCEA
CCEI
CCVB CEEC
CFA
CMC
CMWD
CMWD BD CARLSBAD MUTUAL
CPMA
CPOA SAFETYCENTER
CUSD
CDBG FUND COMT
CENTRO
CLG
CHILD CARE COMS
CIRC COMT
CIRC ELEMENT
CAMPAlGN REFORM COMT
GROWTH COMT
CITIZEN CITY
BEACH
CAT CULT FAC COMT
GENERAL FUND PANEL
CDBG FUND ADV
COM DEV
COM ON PLN
BUDGET REQ COMT
CSD
CAFR
CHAS
CRli4MJ
COUNTY
DP
DES REV BD
DPS
CALlFORNlA STATEWlDE COMMUNlTlES DEVELOPMENT
AUTHORITY CAPITAL IMPROVEMENT PROGRAM
CARRILLO RANCH AD HOC COMMllTEE
CARLSBAD ATHLETIC RECREATION ASSOClATlON
CARLSBAD CITY COUNCIL ’
CARLSBAD CITY EMPLOYEE’S ASSOClATlON CARLSBAD COMMUNllY EDUCATION, INC.
CARLSBAD CONVENTION AND VlSlTORS BUREAU
CARLSBAD ECONOMIC ENHANCEMENT COMMISSION
CARLSBAD FIREFIGHTERS ASSOClATlON
CARLSBAD MUNICIPAL CODE
CARLSBAD MUNICIPAL WATER DISTRICT
CARLSBAD MUNICIPAL WATER DISTRICT BOARD OF DIR. CARLSBAD MUTUAL WATER COMPANY
CARLSBAD POLICE MANAGEMENT ASSOClATlON CARLSBAD POLICE OFFICERS ASSOClATlON
CARLSBAD SAFETY AND SERVICE CENTER
CARLSBAD UNIFIED SCHOOL DlSTRlCT
CDBG FUNDING COMMITTEE
CENTRO DE INFORMACION
CERTIFIED LOCAL GOVERNMENT GRANT PROGRAM CHILD CARE COMMISSION
CIRCULATION COMMITTEE
CIRCULATION ELEMENT (GENERAL PLAN)
CITIZEN’S COMMITTEE ON CAMPAIGN REFORM
ClTlZEN’S COMMllTEE TO STUDY GROWTH
ClTKEN OF THE YEAR
ClTY OF CARLSBAD
COASTAL REGIONAL BEACH EROSION COMMllTEE
COMBAT AUTO THEFT
COMMlTTEE TO STUDY CULTURAL FAClLlTlES COMMUNITY ACTIVITY FUNDING PANEL
COMMUNITY DEVELOPMENT BLOCK GRANT FUNDING
ADVlSORY COMMITTEE
COMMUNlTY DEVELOPMENT DEPARTMENT
COMMUNITY DEVELOPMENT PLAN
COMMUNITY SERVICE BUDGET REQUEST COMMl-lTEE
COMMUNlTY SERVICES DEPARTMENT
COMPREHENSlVE ANNUAL FINANCE REPORT
COMPREHENSIVE HOUSING AFORDABlLl-lY STRATEGY
COSTA REAL MUNICIPAL WATER DISTRICT
COUNTY OF SAN DIEGO
(D)
DATA PROCESSING DESIGN REVIEW BOARD
DEVELOPMENT PROCESSING SERVICES DlVISlON
ERAF
NEC
ECE COMT
EFJPA EWA
EWPCF
EUSD ENG
ERB
EEOC
ETIME
FSS
FAU
FCC
FEMA
ISTEA
HCP FIN
FIR
FRIENDS OF LIB
FlA
GIA
GEN
GPRU ELE REV COMT
GIS GOLF STEERING COMT
GOLF COURSE TAC
HARDING CENTER HMP
HIST PRES COMS
HSG
HSG ELEMENT
H&R
H&R ADV COMT H&R COMS
HSG AUTH
HSG COMS
(El
EDUCATIONAL REVENUE ALLOCATION FUND
ELECTRICAL CODE, NATIONAL
EMPLOYEE ASSISTANCE PROGRAM
EMPLOYEE CAPlTAL EQUIPMENT COMMll-TEE
ENCINA ADMINISTRATIVE AGENCY
ENCINA FINANCING JOINT POWERS AUTHORllY
ENCINA WASTEWATER AUTHORflY ENCINA WATER POLLUTlON CONTROL FAClLlTY
ENCINITAS UNION SCHOOL DISTRICT
ENGINEERING DEPT.
ENVIRONMENTAL REVIEW BOARD
EQUAL EMPLOYMENT OPPORTUNl-IY COMMISSION
EXECUTIVE LEAVE (no hyphen or space used)
(F)
FAMILY SELF SUFFICIENCY PROGRAM FEDERAL AID URBAN (Entitlement Funds)
FEDERAL COMMUNICATlONS COMMISSION
FEDERAL EMERGENCY MANAGEMENT AGENCY
FEDERAL INTERMODAL SURFACE TRANSPORTATION EFFICIENCY ACT
FEDERAL TRANSPORTATION EHANCEMENT ACTlVlTlES
PROGRAM
FIELDSTONE HABlTAT CONSERVATON PLAN
FINANCE DEPARTMENT
FIRE DEPARTMENT
FRIENDS OF THE CARLSBAD LIBRARY
FUTURE IMPROVEMENT AGREEMENT
W
GEMOLOGICAL INSTITUTE OF AMERICA
GENERAL (only for employees classifiition)
GENERAL PLAN LAND USE ELEMENT COMMlTTEE
GEOGRAPHIC INFORMATlON SYSTEM (a Corn. Dev. divisbn) GOLF COURSE CITIZEN STEERING COMMll-TEE
GOLF COURSE TECHNICAL ADVlSORY COMMD-TEE
HARDING COMMUNITY CENTER
HABITAT MANAGEMENT PLAN
HISTORIC PRESERVATION COMMISSION
YOUSING DEPARTMENT
HOUSING ELEMENT (GENERAL PLAN)
-tOUSING AND REDEVELOPMENT DEPARTMENT
4OUSING AND REDEVELOPMENT ADVlSORY COMT.(defunct) JOUSING AND REDEVELOPMENT COMMISSION
i0USING AUTHORIN
-lOUSING COMMISSION
C
HUD
HR
HOUSING & URBAN DEVELOPMENT HUMAN RESOURCES DEPT.
(1)
II0 IN0 DEV AUTH
IS
SOLID WASTE COMS
ISTEA
ICRI
- l-5
IIE
JAC
JPlA
LU ELEMENT
LlA
LLNL
LPPI
LCWD
LEAGUE
LSCA
LIB
LIB BD
LIB BLD REV COMT
LSCA
IAFCO
LEA
LOS ANGELES LOS ANGELES
LOSSAN
IMPERlAL IRRlGATlON DISTRICT
INDUSTRlAL DEVELOPMENT AUTHORllY
INFORMATlON SYSTEMS
INTERIM SOLID WASTE COMMISSION
(FEDERAL) INTERMODAL SURFACE TRANSPORTATION
EFFICIENCY ACT
INTERNATIONAL CHILD RESOURCE INSTlTUTE
INTERSTATE 5 (FREEWAY)
INVESTMENT IN EXCELLANCE
(J)
ENCINA JOINT ADVlSORY COMMllTEE JOINT POWERS INSURANCE AUTHORlTY
W
M
LAND USE ELEMENT (GENERAL PLAN)
LANDSCAPING AND LIGHTING ACT LAWRENCE LlVERMORE NATIONAL LABORATORY
LEG0 PARK PLANNING, INC.
LEUCADlA COUNTY WATER DISTRICT LEAGUE OF CALlFORNlA ClTlES
LIBRARY SERVlCES 8 CONSTRUCTION ACT
LIBRARY DEPARTMENT LIBRARY BOARD
LIBRARY BUILDING REVIEW COMMlllEE
LIBRARY SERVlCES 8 CONSTRUCTION ACT
LOCAL AGENCY FORMATION COMMISSION
LOCAL ENFORCEMENT AGENCY
LOS ANGELES HARBOR COMMISSION
LOS ANGELES PORT AUTHORITY
LOS ANGELES TO SAN DIEGO INTER CllY RAIL SERVICE
AIRPORT
MPAAC
MPROP MUNI PROJ
MCCLELLAN PALOMAR AIRPORT
MCCLELLAN PALOMAR AIRPORT ADVlSORY COMMlTTEE
METROPOLITAN WATER DISTRICT
MOBILE HOME PARK RESIDENT OWNERSHIP PROGRAM
MUNICIPAL PROJECTS DEPARTMENT
(N)
NEC
NPDES
NUMC
NOISE ELEMENT
N COUNlY RECYCLING
NCRPRB
NCSWMA
NCTSSC
NCTD
NCTC NWNL
DEDICATION
OMWD OPEN SPACE ADV COMT
OPEN SPACE COMT OPEN SPACE ELEMENT
AIRPORT
MPAAC
PRK AUTH
P&R
P&R ELEMENT
P&R COMS PART FOR CHANGE
PART FOR CHANGE COMT
PTMP
PER
PER BD
PLN COMS
PLN
POL
PMA
LOS ANGELES
LOS ANGELES
POE
PARSAC PERS
PFMS PIG
PCH
NATIONAL ELECTRICAL CODE
NATIONAL POLLUTANT DISCHARGE ELIMINATlON SYSTEM
NATIONAL UTlLlZATlON MANAGEMENT CORPORATION
NOISE ELEMENT (GENERAL PLAN) NORTH COUNTY RECYCLING 8 ENERGY RECOVERY CENTER
NORTH COUNTY REGIONAL PLANNING REVlEW BOARD NORTH COUNTY SOLID WASTE MANAGEMENT AGENCY
NORTH COUNTY TRANSFER STATION SlTlNG COMMll-EE NORTH COUNTYTRANSlT DISTRICT, NORTH SAN DIEGO
COUNTYTRANSlT DEVELOPMENT BOARD NORTH COUNTY TRANSPORTATION COALlTlON
NORTHWESTERN NATIONAL LIFE
(0)
OFFER OF DEDICATION
OLMNHAIN MUNICIPAL WATER DISTRICT OPEN SPACE ADVISORY COMMITTEE
OPEN SPACE COMMllTEE OPEN SPACE 8 CONSERVATION ELEMENT (GENERAL PLAN)
PALOMAR AIRPORT (MCCLELLAN)
(MCCLELLAN) PALOMAR AIRPORT ADVISORY COMMlTTEE
PARKING AUTHORflY
PARKS AND RECREATION PARKS AND RECREATION ELEMENT (GENERAL PLAN)
PARKS AND RECREATION COMMISSION PARTNERSHIPS FOR CHANGE
PARTNERSHIPS FOR CHANGE ADVISORY COMMITTEE
PEAK HOUR TRAFFIC MANAGEMENT PROGRAM PERSONNEL DEPARTMENT
PERSONNEL BOARD
PLANNING COMMISSION
PLANNING DEPARTMENT
POLICE DEPARTMENT
POLICE MANAGEMENT ASSOClATlON
PORT AUTHORlTY OF LOS ANGELES
PORT OF LOS ANGELES
PROTECT OUR ESTUARY
PUBLIC AGENCY RISK SHARING AUTHORllY OF CALlFORNlA
PUBLIC EMPLOYEES RETIREMENT SYSTEM PUBLIC FAClLlTlES MANAGMENT SYSTEM
PUBLlC IMPROVEMENT CORPORATION PURCHASING DEPARTMENT
-
.
W
REC FAC FIN COMT
RED
RED
RED MP ADV COMT
RTIP
WA
RM
SAFETY CENTER
SAFETY ELEMENT
AVA SERV AUTH
SANDAG
COUNTY BD OF SUPV
SDCWA
SDCWA
SDGBE SDRWRA
SDRAFVC
SAFE
SSCB
SDSWM4
SDUSD SDWD
SMCWD
SMUSD
SOS SR CENTER
SR ClT ASSOC
SR COMS SERRA
SISTER CilY COMT
SOLID WASTE COMS
so CAL GAS HIST RESOURCES COMS
NCCP
STIP
SLTPP SNC
ST PHASE V COMT
RECREATIONAL FAClLrrY FINANCING COMMlTTEE REDEVELOPMENT AGENCY
REDEVELOPMENT DEPARTMENT
REDEVELOPMENT MASTER PLAN ADVlSORY COMMI-ITEE
REGIONAL TRANSPORTATION IMPROVEMENT PROGRAM
RESEARCH/ANALYSIS GROUP (AKA RESARCH DEPARTMENT)
RISK MANAGEMENT
(S)
(CARLSBAD) SAFETY AND SERVICE CENTER
SAFETY ELEMENT (GENERAL PLAN)
SAN DIEGO ABANDONED VEHICLE ABATEMENT SERVICE AUTHORllY
SAN DIEGO ASSOCIATION OF GOVERNMENTS SAN DIEGO COUNTY
SAN DIEGO COUNTY BOARD OF SUPERVlSORS SAN DIEGO COUNTY WATER AUTH0Rll-Y
SAN DIEGO COUNTY WATER ASSOCIATION
SAN DIEGO GAS 8 ELECTRIC SAN DIEGO REGION WATER RECLAMATION AGENCY
SAN DIEGO REGIONAL ALTERNATlVE FUEL VEHICLE
COALlTlON
SAN DIEGO SERVICE AUTHORlTY FOR FREEWAY
EMERGENCIES SAN DIEGO SERVICE CENTER FOR THE BLIND
SAN DIEGO SOLID WASTE MANAGEMENT AUTHORlTY
SAN DlEGUlTO UNIFIED SCHOOL DISTRICT
SAN DlEGUlTO WATER DISTRICT
SAN MARCOS COUNTY WATER DISTRICT
SAN MARCOS UNIFIED SCHOOL DISTRICT
SAVE OPEN SPACE (1988 ELECTION INlTlATlVE COMMllTEE) SENIOR CENTER
SENIOR CiTlZEN ASSOClATlON
SENIOR COMMISSION
SERRA COOPERATlVE LIBRARY SYSTEM ADVISORY BOARD
SISTER ClTY COMMI-ITEE
SOLID WASTE COMMISSION (INTERIM)
SOUTHERN CALIFORNIA GAS COMPANY STATE HISTORIC RESOURCES COMMISSION, (STATE on line 2)
STATE NATURAL COMMUNtTlES CONSERVATlON PIAN
STATE TRANSPORTATION IMPROVEMENT PROGRAM
STATE & LOCAL TRANSPORTATION PARTNERSHIP PROGRAM STREET NAME CHANGE (# listed on 2nd line)
STREETSCAPE PHASE V COMMlTTEE
N BEACH COMT
TSC
TC ZONE
TDA
TEA
TIP
TECHNICAL ADVlSORY COMMllTEE FOR THE NORTHERN
BEACH AREA TRAFFIC SAFRY COMMISSION
TRANSPORTATION CORRIDOR ZONE TRANSPORTATION DEVELOPMENT ACT
TRANSPORTATION ENHANCEMENT ACTMTIES PROGRAM
(FEDERAL) TRANSPORTATION IMPROVEMENT PROGRAM
UUAC UNDERGROUND UTILlTY ADVlSORY COMMllTEE
UBC UNIFORM BUILDING CODE
UDBC UNIFORM DANGEROUS BUILDING CODE UFC UNIFORM FIRE CODE
UHC UNIFORM HOUSING CODE
UMC UNIFORM MECHANICAL CODE
UPC UNIFORM PLUMBING CODE
USSHC UNIFORM POOL, SPA 8 HOT TUB CODE
USEC UNIFORM SOLAR ENERGY CODE
FISH 8 WlLDLlFE UNlTED STATES DEPT. OF FISH 8 WILDLlFE (Federal)
U/M UTlLlTlEShIAlNTENANCE DEPARTMENT
VETMEMORWCOMT RED MP ADV COMT
WORKERS COMP
(U)
VALLEClTOS COUNTY WATER DlSTRlCT
VlSlON SERVlCES PLAN
VETERANS MEMORlAL COMMll-TEE VILLAGE REDEVELOPMENT MASTER PLAN ADVlSORY
COMMllTEE
WORKERS COMPENSATION
YOUTH COMS YOUTH COMMISSION
m
August 6,199%
INDEX 3000
JOB TITLE ABBREVIATIONS
(CMWD) after a title indicates that it is a CMWD classification which was added to the CWS classification list by
Council’s action on an agenda bill.
The group classification for non-management employees was MlSCellaneous until the City, on an agreement
effective l/14/92, changed the classification to GENeraI. m is used to designate a Part Tie position.
ACCOUNT CLK I ........................ ACCOUNT CLERK I ........................................................................................ MISC
ACCOUNT CLK II ....................... ACCOUNT CLERK II ....................................................................................... MISC
ACCOUNTANT ........................... ACCOUNTANT ............................................................................................... MISC ACCOUNTING SUPV.. ............... ACCOUNTING SUPERVlSOR ....................................................................... MISC
ACCOUNTING TECH ................. ACCOUNTING TECHNIClAN ......................................................................... GEN ADMIN AIDE.. .............................. ADMlNlSTRATlVE AIDE ................................................................................. MGT
ADMIN ANALYST ....................... ADMlNlSTRATlVE ANALYST ........................................................................ MGT
ADMIN ANALYST-CM .......... ADMINISTRATIVE ANALYST-CMWD (CMWD) ........................................... MGT
ADMIN ASST I ............................. ADMINISTRATIVE ASSISTANT I ................................................................... MGT
ADMIN ASST II ............................ ADMINISTRATIVE ASSISTANT II .................................................................. MGT CONTRACT ADMIN ................... ADMlNlSTRATlVE ASST IUCONTRACT COORDINATOR .......................... MGT ADMIN COORD .......................... ADMINISTRATIVE COORDlNATORSPEClAL DISTRICTS ........................ MGR
ADMIN MGR ................................ ADMlNlSTRATlVE MANAGER (CMVVD) ....................................................... MGT
ADMIN SEC ............ ..” ................. ADMlNlSTRATlVE SECRETARY ................................................................... GEN SERVIPROJ MGR ...................... ADMlNlSTRATlVE SERVlCESlPROJECTS MANAGER .............................. MGT
AQUATICS SPEC ....................... AQUATICS SPEClAUST ................................................................................ GEN AQUATICS SUPV ....................... AQUATlCS SUPERVlSOR ............................................................................. MGT
ARTS MGR ................................. ARTS MANAGER ............................................................................................ MGT
ACA ............................................. ASSISTANT CllY ATTORNEY ...................................................................... MGT ASST CLK ................................... ASSISTANT CITY CLERK .............................................................................. MGT
ASST CE ..................................... ASSISTANT CllY ENGINEER ....................................................................... MGT
ACM ............................................. ASSISTANT CIM MANAGER ........................................................................ h%T
ASST CIVIL ENG ........................ ASSISTANT CML ENGINEER ...................................................................... GiN
ASST FIN DIR ............................. ASSISTANT FINANCE DIRECTOR ............................................................... MGT
ASST PLN ................................... ASSISTANT PLANNER .................................................................................. MISC
ASST PLN DIR ............................ ASSISTANT PLANNING DIRECTOR ............................................................ MGT ASST TO CM .............................. ASSISTANT TO CITY MANAGER .................................................................. MGT
ASST TO TRS ............................. ASSISTANT TO CITY TREASURER .............................................................
ASST U/M DIR ............................ ASSISTANT WlIJTlESIMANTENANCE DIRECTOR .................................. MGT ASSOC CML ENG ..................... ASSOCIATE CML ENGINEER ...................................................................... GEN
ASSOC PLN ................................ ASSOClATE PLANNER .................................................................................. MISC
AV SPEC ..................................... AUDIO VlSUAL SPEClALlST ......................................................................... MISC
BAT CHIEF ................................... BATTALION CHIEF ......................................................................................... MGT
BLD INSPECTOR ........................ BUILDING INSPECTOR ................................................................................. MISC
BLD INSPECTOR I ...................... BUILDING INSPECTOR I ............................................................................... MISC
BLD INSPECTOR II ..................... BUILDING INSPECTOR II ............................................................................... MISC
BLD INSPECTOR Ill .................... BUILDING INSPECTOR Ill .............................................................................. MISC
BLD MAINT SUPT ....................... BUILDING MAlNTENANCE SUPERINTENDENT ......................................... MGT
BLD MAINT SUPV ....................... BUILDING MAlNTENANCE SUPERVISOR ................................................... MISC
BLD MAINT WORKER I.. ............. BUILDING MAINTENANCE WORKER I ........................................................ MISC
BLD MAINT WORKER II.. ............ BUILDING MAINTENANCE WORKER II ....................................................... MISC
BLD TECH II ................................. BUILDING TECHNICIAN II .............................................................................. MISC
CAPT SPEC ................................. CAPTAIN-SPECIALIST/FIRE MARSHAL.. ..................................................... FIRE CIRC SUPV .................................. CIRCUlATlON SUPERVlSOR ....................................................................... GEN
CA ................................................. ClTY AlTORNEY ..................................................................... ..- ................... MGT
CLK ............................................... ClTY CLERK .................................................................................................... ELECT
cc ................................................. CITY COUNCIL ............................................................................................... ELECT
CE ................................................. CITY ENGINEER ............................................................................................. MGT
CM ................................................ CITY MANAGER ............................................................................................. MGT CLK STENO.. ............................... CLERK STENO ............................................................................................... MISC
CLK TYPIST I ............................... CLERK TYPIST I ............................................................................................. MISC CLK TYPIST II .............................. CLERK TYPIST II ............................................................................................ MISC
CODE ENFORCE I ...................... CODE ENFORCEMENT OFFICER I.. ............................................................ MISC
CODE ENFORCE II ..................... CODE ENFORCEMENT OFFICER II ............................................................. MISC
COMM OP I .................................. COMMUNICATIONS OPERATOR I ............................................................... POL
COMM OP II ................................. COMMUNICATIONS OPERATOR II .............................................................. POL
COMM b RECORDS SUPV ...... ..COMMUNICATION S & RECORDS SUPERVlSOR ....................................... POL
COMM SUPV ............................... COMMUNICATIONS SUPERVISOR .............................................................. POL COMM SHIFT SUPV.. .................. COMMUNICATIONS SHIFT SUPERVlSOR .................................................. POL
COM ART COORD ...................... COMMUNITY ARTS COORDINATOR.. ......................................................... MISC COM DEV DIR ............................. COMMUNITY DEVMOPMENT DIRECTOR.. ............................................. MGT
COM LIB SERV SUPV.. ............... COMMUNIM LIBRARY SERVlCES SUPERVlSOR ..................................... GEN
COM RED MGR.. ......................... COMMUNITY REDEVELOPMENT MANAGER ............................................. MGT
COM SERV DIR ........................... COMMUNITY SERVICES DIRECTOR ........................................................... MGT
COMP & BEN MGR ..................... COMPENSATlON & BENEFITS MANAGER ................................................. MGT
COMP TECH ................................ COMPENSATION TECHNlClAN .................................................................... GEN CONST INSPECTOR .................. CONSTRUCTION INSPECTOR ..................................................................... MISC
CONST 8 MAINT I ....................... CONSTRUCTION & MAlNTENANCE WORKER I ........................................ GEN
CONST 8 MAlNT II ...................... CONSTRUCTION & MAlNTENANCE WORKER II ....................................... GEN
CONST MAINT SUPV ...... . .......... CONSTRUCTION MAINTENANCE SUPERVlSOR (CMWD) ...................... MGT
.. CRIME PREV TECH .................... CRIME PREVENTION TECHNICIAN ............................................................. MISC
CROSS CONNECT TECH .......... CROSS CONNECTlON CONTROL TECHNlClAN ....................................... CMWD
DP MGR ....................................... DATA PROCESSING MANAGER .................................................................. MGT
DCA .............................................. DEPUTY ClTv AlTORNEY ............................................................................ MISC
DEP CLK ...................................... DEPUTY ClTY CLERK .................................................................................... MISC
DEP TRS ...................................... DEPUTY CITY TREASURER .........................................................................
DEP PUBLIC WlORKS DIR.. ........ DEPUTY PUBLIC WORKS DIRECTOR
DPS MGR ..................................... DEVELOPMENT PROCESSING SERVICES MANAGER MGT
DIST ENG ..................................... DISTRICT ENGINEER (CMWD) .................................................................... MGT
ECONOMIC DR/ MGR ............... ECONOMIC DEVELOPMENT MANAGER .................................................... MGT
ELECTRICIAN .............................. ELECTRICIAN ................................................................................................. GEN
EMI’ SERV MGR ......................... EMPLOYEE SERVICES MANAGER .............................................................. GEN
EQUIP MECH I ............................. EQUIPMENT MECHANIC I ............................................................................. MISC
EQUIP MECH II ............................ EQUIPMENT MECHANIC II ............................................................................ MISC
EQUIP MECH SUPV.. .................. EQUIPMENT MECHANIC SUPERVlSOR.. .................................................... MGT
EVIDENCE CL PROP TECH EVlDENCE AND PROPERTY TECHNlClAN ........................................................ MISC
FIN DIR.. ....................................... FINANCE DIRECTOR.. ................................................................................... MGT FIN MGT DIR.. .............................. FlNANClAL MANAGEMENT DIRECTOR ...................................................... MGT
BAT CHIEF ................................... FIRE BATTALION CHIEF ............................................................................... MGT
FIR CAPT ..................................... FIRE CAPTAIN ................................................................................................ FIRE
FIR CHIEF .................................... FIRE CHIEF ..................................................................................................... MGT
FIR ON CHIEF ............................. FIRE DMSION CHIEF .................................................................................... FIRE
FIR ENG ....................................... FIRE ENGINEER ............................................................................................. FIRE
FIRFIGHTERIPARA.. ................... FIREFIGHTER / PARAMEDIC.. ...................................................................... FIRE
FIR MARSHAL ............................. FIRE MARSHAL .............................................................................................. FIRE
FIR PREV OFFICER I .................. FIRE PREVENTION OFFICER I.. ................................................................... MISC
FIR PREV OFFlCER II ................. FIRE PREVENTION OFFICER II .................................................................... MISC
FIR PREV OFFlCER Ill ................ FIRE PREVENTION OFFICER Ill ................................................................... MISC
FIRFIGHTER.. .............................. FIREFIGHTER ................................................................................................. FIRE
FIRFIGHTER I .............................. FIREFIGHTER I ............................................................................................... FIRE
GENERAL MGR ........................... GENERAL MANAGER (CMWD) .................................................................... MGT
GIS COORD ................................. GEOGRAPHIC INFORMATION SYSTEMS COORDINATOR.. .................... MGT
HSG ASST ................................... HOt H&R DIR ....................................... HOI
HSG PROGRAM ADMIN ............. HO1
HSG SPEC .................................. HO1
HSG SPEC II ................................ HO1
HR ANALYST ............................... HUA
HR ASST ...................................... HUR
HR DIR ......................................... HUL
HR MGR ....................................... HUA
iSIN(
‘SINt
SINt
SIN{
SINt IANI
ANI
ANI
ANI
i ASSISTANT ...................................................................................
i AND REDEVELOPMENT DIRECTOR ........................................ MGT i PROGRAM ADMINISTRATOR .................................................... MGT
1 SPEClALlST I ................................................................................ MISC / SPEClALlST II ............................................................................... MGT
!ESOURCES ANALYST ................................................................. MGT
!ESOURCES ASSISTANT.. ............................................................ MGT
!ESOURCES DIRECTOR.. ............................................................. MGT
:ESOURCES MANAGER ................................................................ MGT
IS DIR ........................................... INFORMATlON SYSTEMS DIRECTOR ......................................................... MGT
IS MGR ......................................... INFORMATION SYSTEMS MANAGER ......................................................... MGT
JUVENILE C OORD . . . . . . . . . . . . . . . . . . . . . JUVENILE JUSTICE PROGRAM COORDINATOR . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . GEN
IA COSTA BRANCH MGR ......... LA COSTA BRANCH LIBRARY MANAGER .................................................. MGT
LAGOON PATROL SPEC ........... LAGOON PATROL SPECIALIST ................................................................... PK
PLN MGR ..................................... LAND USE PLANNING MANAGER ............................................................... MGT
LIB I ............................................... UBRARlAN I .................................................................................................... MISC
LIB II ............................................... UBRARIANII ................................................................................................... MISC
LIB Ill ............................................. UBRARIAN Ill .................................................................................................. MISC
LIB ASST I .................................... UBRARY ASSISTANT I .................................................................................. MISC
LIB ASST II ................................... UBRARY ASSISTANT II ................................................................................. MISC
LIB ASST Ill .................................. LIBRARY ASSISTANT Ill ................................................................................ MISC
LIB CLK I ...................................... UBRARY CLERK I .......................................................................................... GEN
LIB CLK II ...................................... LIBRARY CLERK II .......................................................................................... GEN
LIB SERV SPEC .......................... LIBRARY SERVICES SPECIALIST ................................................................ MGT
-.
MAINT ELECTRICUUU I ............... MAlNTENANCE ELECTRICIAN I ................................................................... GEN MAINT ELECTRlClAN II .............. MAINTENANCE ELECTRlClAN II .................................................................. GEN
MAINT SUPT ................................ MAlNTENANCE SUPERINTENDENT (CMWD) ............................................ MGT
MGT ASST ................................... MANAGEMENT ASSISTANT ......................................................................... MGT
MGT ANALYST ............................ MANAGEMENT ANALYST ............................................................................. MGT
MEDlA PROGRAM SPEC ........... MEDlA PROGRAMING SPEClALlST.. ........................................................... MGT
MEDlA SERV MGR ...................... MEDlA SERVlCES MANAGER.. ..................................................................... MGT
MESSENGER .............................. MESSENGER .................................................................................................. MISC
METER READ/REPAIR I ............. METER READER/REPAIR I ........................................................................... GEN
METER READ/REPAIR II ............ METER READER/REPAIR II .......................................................................... GEN
METER SERV WORK I ............... METER SERVlCES WORKER I ..................................................................... CMWD METER SERV WORK II .............. METER SERVlCES WORKER II .................................................................... CMWD
METER SERV WORK Ill.. ............ METER SERVlCES WORKER Ill ................................................................... cMw0 MICRO SPEC ............................... MICRO COMPUTER SPECIALIST ................................................................. MISC
MINUTES CLK ............................. MINUTES CLERK ........................................................................................... MISC
MUNI PROJ MGR ........................ MUNICIPAL PROJECTS MANAGER ............................................................. MGT
NE’IWORK SPEC I ...................... NETWORK SPECIAUST I .............................................................................. GEN NETWORK SPEC II ..................... NETWORK SPEClALlST II ............................................................................. GEN
OPERATIONS SUPT ................... OPERATlONS SUPERINTENDENT (CMUVD) .............................................. MGT
OFFICE SPEC I ............................ OFFICE SPEClAUST I .................................................................................... GEN Off ICE SPEC II ........................... OFFICE SPECIALIST II ................................................................................... GEN
PARAIFIGHTER ........................... PARAMEDIC/FIREFIGHTER .......................................................................... FIRE PARK DEVCOORD .................... PARK DEVELOPMENT COORDINATOR ..................................................... GEN
PARK MAINT SPEC .................... PARK MAlNTENANCE SPEClALlST ............................................................. GEN
PARK PLN .................................... PARK PLANNER.. ........................................................................................... GEN PLN DIR ....................................... PLANNING DIRECTOR ......................... . ........................................................ MGT
PLN TECH .................................... PLANNING TECHNICIAN ............................................................................... GEN
PLN TECH I .................................. PLANNING TECHNICIAN I.. ........................................................................... MISC
PLN TECH II ................................. PLANNING TECHNlClAN II ............................................................................ MISC
PERMlT CLK ................................ PERMIT CLERK ..... . ........................................................................................ MISC
POL CAPT .................................... POUCE CAPTAlN ........................................................................................... MGT
POL CHIEF.. ................................. POUCE CHIEF ................................................................................................ MGT
POL LT ......................................... POUCE LIEUTENANT .................................................................................... MGT
POL RECORDS CLK I ................. POUCE RECORDS CLERK I ......................................................................... GEN
POL RECORDS CLK II ................ POUCE RECORDS CLERK II ........................................................................ GEN
POL SGT ...................................... POUCE SERGEANT ...................................................................................... MGT
POL SERVAIDE .......................... POUCE SERVICES AIDE ............................................................................... MISC
PRIN BLD INSPECTOR .............. PRINCIPAL BUILDING INSPECTOR ............................................................. MGT
PRIN CML ENG .......................... PRINCIPAL CML ENGINEER ........................................................................ MGT
PRIN CONST INSPECTOR ...... ..PRINCIP AL CONSTRUCTION INSPECTOR ................................................ MGT
PRIN LIB ....................................... PRINCIPAL LIBRARUIN .................................................................................. MGT
PRIN PLN ..................................... PRINCIPAL PLANNER ................................................................................... MGT
PRIN REC SUPV.. ....................... PRINCIPAL RECREATlON SUPERVISOR ................................................... MGT
PR WANALYST ......................... PROGRAMMER/ANALYST ............................................................................ GEN
PROGIOP ..................................... PROGRAMMER/OPERATOR ........................................................................ GEN
PUBLIC INFO OFFlCER .............. PUBUC INFORMATION OFFICER ................................................................ MGT SAFEN SYS SPEC .................... PUBLIC SAFETY SYSTEMS SPECIALIST
PUBLIC WORKS DIR .................. PUBUC WORKS DIRECTOR ........................................................................ MGT
PCH OFFICER.. ........................... PURCHASING OFFICER ............................................................................... MGT
RECEP CASHIER ........................ RECEPTlONlST CASHIER ............................................................................. MISC
RECORDS SUPV ........................ RECORDS SUPERVlSOR .............................................................................. POL
REC ASST ................................... RECREATION ASSISTANT ........................................................................... REC
REC SPEC ................................... RECREATION SPEClALlST.. ......................................................................... MISC
REC SUPT ................................... RECREATION SUPERlNTENDENt .............................................................. MGT
REC SUPV I ................................. RECREATION SUPERVlSOR I ...................................................................... MISC REC SUPV II ................................ RECREATION SUPERVlSOR II.. ................................................................... MISC
RISK MGR .......................... . ........ RISK MANAGER ............................................................................................. MGT
SANITATION SUPV.. ................... SANITATION SUPERVlSOR.. ........................................................................ MISC
SEC I ............................................. SECRETARY I ................................................................................................. MISC
SEC II ............................................ SECRETARV II ................................................................................................ MISC
SEC TO CA .................................. SECRETARY TO CITY ATTORNEY .............................................................. MGT
SEC TO CM ................................. SECRETARY TO CITY MANAGER ............................................................... MGT
SR BLD MAINT WORKER .......... SENIOR BUILOING MAlNTENANCE WORKER ........................................... MISC
SR CIRC SUPV ............................ SENIOR CIRCULATION SUPERVlSOR ........................................................ GEN
SR CIT COORD ........................... SENIOR ClTlZEN COORDINATOR ............................................................... MGT
SR CONST INSPECTOR.. .......... SENIOR CONSTRUCTION INSPECTOR ..................................................... MISC
SR ELECTRlClAN ....................... SENIOR ELECTRICIAN .................................................................................. SR
INSTAIFEGUARD ....................... SENIOR INSTRUCTOR/LIFEGUARD ........................................................... PT
SR LIB .......................................... SENIOR LlBRARlAN ....................................................................................... GEN
SR OFFlCE SPEC ....................... SENlOR OFFICE SPEClALlST ....................................................................... GEN
SR MGT ANALYST.. .................... SENIOR MANAGEMENT ANALYST .............................................................. MGT
SR PLN ......................................... SENIOR PLANNER ......................................................................................... MISC
SR RECEP CASHIER .................. SENIOR RECEPTIONIST CASHIER ............................................................. MISC
SITE MGR .................................... SITE MANAGER .............................................................................................. MISC
SYS OP SUPV ............................. SYSTEMS OPERATlONS SUPERVlSOR (CMWD) ...................................... MGT
TECH I TECHNlClAN I .......................................... ................................................................................................. MISC
TRAFFlC WG ............................. TRAFFIC ENGINEER ..................................................................................... MGT
TRANS PLN ................................. TRANSPORTATION PLANNER .................................................................... MISC
TRS ............................................... TREASURER .................................................................................................. ELECT
UA# DIR UTILITIES MAINTENAN CE DIRECTOR ........................................................ MGT
VALVE MAIN-r WloRKER VALVE ............ MAINTENANCE WORKER ................................................................ MGT
WATER CON SPEC .................... WATER CONSERVATION SPECIALIST ....................................................... CRAW0
W?I .............................................. WORD PROCESSING OPERATOR I ............................................................ MISC
WP II ............................................. WORO PROCESSING OPERATOR II ........................................................... MISC
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* The Citv of Carisbad Document Management RFP
I AppendiiC
City Network Diagram
Appendix C Page 39 of 42
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I zs, i -3 =L:= ThirdWave Ju,y 9 ,999 I r Mr. Kevin Davis
Buyer Purchasing Department
City of Carlsbad
1200 Carlsbad Village Drive
Carlsbad CA 92008-l 989
r
r
r
-
r
i)
Subject: ThirdWave Corporation Response to Request for Proposal
Reference: Request for Proposal for a Document Management System: RFP No. 8
Dear Mr. Davis:
ThirdWave is pleased to submit the attached proposal in response for the aforementioned
RFP. We have carefully reviewed and familiarized ourselves with the RFP document, and
have a clear understanding of the scope of work. This response represents a supremely
qualified team offering the following:
1.
2.
3.
4.
5.
6.
7.
8.
A fully responsive technical solution. The proposed FileNET solution represents the
most advanced document management system available today. It offers excellent
capabilities (including solid security, version control, and overlay redlining). Strategically
speaking, they are a sound company that the City can feel safe in investing in. And
FileNET is a highly scalable solution that will meet the long-term needs of the City. A team with a proven track record in delivering results. ThirdWave has shown an
uncanny ability to work effectively within the government environment. Most of our government customers have awarded us multiple contracts spanning as many as ten
years. This is only possible by providing consistent, extraordinary performance and
success. An unparalleled breadth and depth of experience deploying Document Management Systems (DMS). An accomplished DMS Project Manager will lead the
project. ThirdWave, and our team members, have successfully implemented DMS
systems of scale and complexity, seamlessly integrated with web-based applications.
IKON is one of the largest and most respected conversion bureaus in the world.
A cost-effective proposal, which is thorough, yet flexible, and open to further discussion
and negotiation. All costs are subject to revision after further dialogue with the City.
A list of similar projects and customer references, e.g., City of Las Vegas Enterprise- wide IT Program, Orange County Sanitation District Online Board Review Application,
and the City of Los Angeles Wastewater Construction Management Division. A sing/e point of contact, with a demonstrated ability to manage large projects as well
as subconsultants. ThirdWave has assembled an extraordinary team with the required expertise to deliver a strategic and successful Document Management System.
A viable and stable full service Systems Integration firm with a 12-year track record
of success. We offer a rare ability to address any technology issue that might arise
during the course of the project. A seasoned project team, where the senior staff identified herein will actually do the
work, as opposed to the “bait and switch” tactic often used by some firms.
ThirdWave offers demonstrated competence, professional qualifications, and most importantly, a proven capability. We look forward to providing the same level of success to the City of Carlsbad as we have done for other government customers!
Sincerely,
ThirdWave Corporation
11400 West Olympic Blvd. Suite 650
r Los Angeles CA 90064
I voice310 914 1480
fax 310 9141490
r twc@thirdwav.com
Roy R. Hernandez President / CEO
1 Information Systems Intelligently Applied
r
I
r
i
r
r
r
Document Management System
City of Carisbad
Table of Contents
July 6, 1999
Section 1 GENERAL INFORMATION . . . . . . . . . ..*...........................*...........................*..... 1.1
1.1
1.1.1
1.1.2
1.1.3
1.1.4
1.2
1.3
1.3.1
1.3.2
1.3.3
1.4
1.4.1
1.4.1.1
1.4.1.2
1.4.1.3
1.4.1.4
1.4.2
1.4.2.1
1.4.2.2
1.4.2.3 1.4.2.4
1.4.2.5
1.4.2.6
Q1999
Company Qualifications.. ........................................................... 1.1
A Full Service Systems Integration Company ............................... 1 .l
Document Management Expertise.. ............................................. .1.2
Wed Design and Devetopment Expertise ...................................... 1.2
Geographic information Systems Expertise ................................. .1.3
F@um 1. f: ThirdWave Areas of Expertise ................................. .1.4
staff Profiles .............................................................................. .1.4
F&urn 1.2: Team Makeup and Roles.. ....................................... -1.5
Subconsultant Association ....................................................... -1.6
FileNET Corporation.. .................................................................. .1.6
IKON Corporation ........................................................................ .1.6
ECI .............................................................................................. .1.6
Figum 7.3: Conversion Workflow Diagram ................................ .1.7
References.. ............................................................................... .1.7
ThirdWave References ................................................................ .1.7
City of Las Vegas Water Pollution Control Facility(WPCF). .......... .1.8
Figure 1.4: On-line O&M Mnual lntmnet Application ................ .1.9
Figure 1.5: Viewing a Microsoft Word Document.. .................... .1.9
Figure 7.6: Viewing AutoCA D Construction Drawings
an&or O&M Files.. ................................................. 1 .lO
Orange County Sanitation District: On-line Board Agenda
Automation ................................................................................. 1.11
City of Las Vegas Web Enabled Service Delivery Applications ... 1.12
Figum I. 7: City of Las Vegas Home Page ................................ 1.12
Figure 1.8: Business License Application ................................ .1.13
Figure f.9: DARTS Appkation Screens. .................................. 1.15
Figum 1.10: DARTS On-line G/S Integmtion Interface .............. -1.16
Figure 1.11: DARTS Ondine Buikling Permit Form.. .................. .1.16
Figure 1.12: DARTS on-line Routing Slip .................................. .1.17
Hawaiian Electric Company, Honolulu, HI Joint Pole Program:
Electronic Document Management / Conversion Project.. ......... .I.18
IKON References ...................................................................... .1.19
Great Western Bank.. ................................................................ .1.19
Amoco Corporation.. .................................................................. .1.19
Scurlock Permian Corporation ................................................... .1.21
Bankers Trust Company ............................................................ .1.21
UNUM Life insurance Company of America .............................. -1.22
Toyota Motor Credit ................................................................... .1.23
Table of Contents
1.1
Thirdwave 11400 W. OlympicE&d. Suite650 LosAngdes CA 90064 310.914.1480 Fax 310914.1490
Document Management System
City of Carlsbad July 6, 1999
Section 2 SYSTEM DESCRIPTION 81 RESPONSE TO SECTION 2.3 OF RFP . . . . . . . . . . 2.1
2.1 2.2
2.2.1
2.2.2
2.2.3
2.2.4
2.2.5
2.2.6
2.2.7
2.2.8 2.2.9
2.2.10
2.2.11
2.2.12
2.2.13 2.2.14
2.2.15
2.2.16
2.2.17
2.2.18
2.2.19
2.2.20
2.2.21
2.2.22
2.2.23 2.2.24
2.2.25
2.2.26
2.2.27 2.2.28
2.2.29
2.2.30
2.2.31
2.2.32 2.2.33
2.2.34 2.2.35
2.2.36
2.2.37 2.2.38
2.2.39 2.2.40
2.2.41
2.2.42 2.2.43
2.2.44
0 1999
System Description ................................................................... .2.1
Response to Section 2.3 of RFP ............................................... .2.1
Meeting the Need of an Open System ......................................... .2.1
System Design ............................................................................ .2.1
Decentralized Scanning Approach.. ............................................ ..2.2
Software and Licensing Supported .............................................. .2.2
System Capability Description ..................................................... .2.2
File Formats Supported ............................................................... .2.2
Creating Full Text indexing .......................................................... .2.2
OCR Offerings.. ........................................................................... .2.2
Extracting Text from Images.. ...................................................... .2.3
Meeting the Need of an Open System ........................................ ..2.3
Version Control, Check In/Out Functionality.. ............................... .2.3
Import Desktop Documents into the System ................................ .2.3
Metadata Generated Automatically ............................................ ..2.6
Unique Identifiers ........................................................................ .2.7
Documents Created by Groups-Transmitted to Specialist ........... .2.7
Modified Index Values ................................................................. .2.7
Capability to Download CAD Files & Associated Metadata .......... .2.7
Limitations in Importing and Managing CAD Files.. ...................... .2.7
Mark up Tools and Workflow ....................................................... .2.7
Annotation Functionality.. ............................................................. .2.7
Updating Document.. ................................................................... .2.8
Annotations Included in Faxes.. ................................................... .2.8
Images with Signatures .............................................................. ..2.8
One to Many Relationships.. ........................................................ .2.8
Supporting Compound Documents .............................................. .2.8
Safeguards to Protect Documents and Data Integrity .................. .2.8
Workflow Capabilities ................................................................... 2.8
Electronic Signatures.. ................................................................. .2.8
Optional Common Document Formats.. ....................................... .2.9
Providing Documents on Diskette or CD to the Pubic.. ................ .2.9
Browser Interface.. ....................................................................... .2.9
Redact Information within a Document ........................................ .2.9
File Storage ................................................................................. .2.9
lntranet Architecture for Internal Access ...................................... .2.9
Interface with the Internet ............................................................ .2.9
On-line Billing Modules .............................................................. .2.10
Interface System Support .......................................................... .2.10
DMS Exported to the Internet ................................................... ..2.10
Non-licensed Users Viewing Documents ................................... .2.10
Online Payment.. ....................................................................... .2.10
Browser Based Document Viewing Software.. ........................... .2.11
Check in/Check out Available to Users ...................................... .2.11
Capabilities & Limitations for Users using Browser Interfaces.....2.11
Security using Browsers ............................................................ .2.11
Table of Contents
1.2
ThirdWave 11400 W. Olympic Blvd. Suite650 Los Angeles CA 90064 310.914.1480 Fax 310914.1490
Document Management System
City of Carlsbad July 6, 1999
2.2.45
2.2.46
2.2.47
2.2.48
2.2.49
2.2.50
2.2.51
2.2.52
2.2.53
2.2.54
2.2.55
2.2.56
2.2.57
2.2.58
2.2.59
2.2.60
2.2.61
2.2.62
2.2.63
2.2.64 2.2.65
2.2.66
2.2.67
2.2.68
2.2.69
2.2.70
2.2.71 2.2.72
2.2.73
2.2.74 2.2.75
Browsers Launching Associated Application ............................. ..2.11
Recommendation for Kiosks or Public Terminals.. ..................... .2.11
Restricted Public FTS ................................................................ .2.11
Integrate Cashiering Functionality with Printing ......................... .2.11
Document Security .................................................................... .2.12
Sign On/Passwords ................................................................... .2.12
Incorporate Retention Schedules.. ............................................ ..2.12
Disposing of Old Files and Consolidation.. ................................. .2.12
Isolate Documents Already on the System ................................ .2.12
Limit to the Number of Libraries.. .............................................. ..2.12
Printers per Server.. ................................................................... .2.12
Fax Stations per Server.. ........................................................... .2.12
Scanners per Server.. ................................................................ .2.12
Number and Length of Fields in the Database.. ......................... .2.12
Mandatory and Optional Fields .................................................. .2.13
Types of Searches.. ................................................................... .2.13
Approach to Integrate with GIS .................................................. .2.13
Integration with Permits Plus ..................................................... .2.16
Migrating from One Storage Medium to Another.. ...................... .2.16
Disaster Recovery, RAID and Mirroring Availability.. .................. .2.16
System Backup .......................................................................... .2.16
Enhancement of System Performance.. ...................................... 2.16
System Monitoring Tools ........................................................... .2.16
System Reports ......................................................................... .2.17
Minimum/Optimal Standards for PC Workstations ..................... .2.17
Electronic Forms.. ...................................................................... .2.17
COLD Offering.. ......................................................................... .2.17
Supporting Existing HP Networked Printers.. ............................. .2.17
Interface with IVR ...................................................................... .2.17
ThirdWave Involvement with User Groups.. ............................... .2.17
ThirdWave Approach to the City’s Conversion Requirements.. . ..2.18
A. Conversion Location ......................................................... .2.18
B. Quality Control Procedures ............................................... .2.18
C. Conversion Timeline ......................................................... .2.22
D. Submittal Requirements.. .................................................. .2.22
Section 3 Compliance Matrix . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..~................................................ 3.1
3.1 Compliance Matrix Spreadsheet, Response to Section
2.4 of RFP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..*................ 3.1
Section 4 TRAINING PLAN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.1
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4.1 Training Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.1
4.1.1 Develop Detailed Training Plan . . . . . . . . .., . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4.1
4.1.2 Develop Training Materials . . . . . . . . . . . . . . . . . . . . . . . , . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4.2
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Document Management System
City of Carlsbad July 6, 1999
Section 5 PROJECT PLAN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..*..................................................... 5.1
5.1
5.2
5.3
5.3.1
5.3.2
5.4
5.5
5.5.1
5.5.2
5.6
Understanding of the Project Goals and Objectives.. ............. .5.1
Project Tasks ............................................................................. .5.2
Figure 5. I:Scope of Work - Phase I ............................................ .5.2
Scope of Work .................................................... . ....................... 5.5
Phase 1 - Pilot Projects: City Clerk’s Office & Community
Development / Public Works.. ...................................................... .5.5
Task 1 .O Project Initiation.. ........................................................ .5.5
Task 2.0 Analysis & Requirements Definition .......................... ..5.5
Task 3.0 Design.. ...................................................................... .5.6
Task 4.0 System Staging and Configuration ............................. .5.8
Task 5.0 Implementation ........................................................... .5.9
Task 6.0 Comprehensive Testing.. ............................................ .5.9
Task 7.0 Documentation ........................................................... .5.9
Task 8.0 Training.. .................................................................. .5.10
Task 9.0 Conversion ............................................................... .5.12
Task 10.0 Project Management ................................................ .5.15
Task 11 .O Document Management Systems.. ........................... .5.15
Phase 2 - Expand System to About 40 Users ............................ .5.17
Figure 5.2:Scope of Work- Phase 2.. ........................................ .5.17
Task 1 .O Phase 2 Project Initiation.. ........................................ .5.18
Task 2.0 Analysis & Requirements Definition.. ........................ .5.18
Task 3.0 Design.. .................................................................... .5.19
Task 4.0 System Staging and Configuration ........................... .5.20
Task 5.0 Implementation.. ....................................................... .5.20
Task 6.0 Comprehensive Testing ............................................ .5.21
Task 7.0 Documentation ......................................................... .5.21
Task 8.0 Training .................................................................... .5.21
Task 9.0 Project Management ................................................ .5.23
Task 10.0 Document Management Systems.. ........................... .5.23
Task 11 .O Support .................................................................... .5.24
Project Management Plan ....................................................... .5.24
Project Personnel .................................................................... .5.25
ThirdWave Resumes ................................................................. .5.26
IKON Resumes.. ........................................................................ .5.43
Project Schedule.. .................................................................... .5.43
Figure 5.3: Project Schedule ..................................................... .5.43
c
Section 6 PRICING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.1
6.1 6.2
6.3
Pricing tntroduction . . . . . . . . . . .._....................................................... 6.1 Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..6.1
Software Pricing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ,.. ..6.1
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6.3.1
6.4
6.5
6.6
6.7
6.7.1
6.7.2
6.7.3
6.7.4
6.7.5
6.8
6.9
6.10
System Software ......................................................................... .6.1
Training ...................................................................................... .6.2
Documentation .......................................................................... .6.3
Maintenance ............................................................................... .6.3
Technical Support ..................................................................... .6.3
Right to New Versions ................................................................. .6.3
Telephone Support ...................................................................... .6.3 Targeted Response Times ........................................................... .6.3
Hours of Coverage.. .................................................................... ..6.3
On-site Support ........................................................................... .6.4
Other Costs ................................................................................ .6.4
City Pricing Tables .................................................................... .6.4
Figure 6.1: Phase 1 Price Sheet.. ................................................ ..6.5
Figure 6.2: Phase 2 Price Sheet.. ................................................. .6.6
Compensation ............................................................................ .6.6
Figure 6.3:Compensation Schedule ............................................. .6.6
Section 7 TERMS AND CONDITION .......................................................................... 7.1
7.1 Acceptance of City Terms and Conditions .............................. .7.1
7.2 Progress Payment.. ................................................................... .7.2
Section 8 Appendix ............................................................................................. 8.1
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City Forms
ThirdWave Corporate Brochure
ThirdWave Client List
ThirdWave Professional Qualifications
ThirdWave EDM / Workflow Flier
Government West, May/June 1998, Las Vegas Goes Virtual
City of Las Vegas Brochure, Rightsizing for Success
FileNET Panagon
FileNET Panagon IDM Document Services
FileNET Panagon IDM Desktop
FileNET Panagon Capture
IKON Company Background
IKON Insight Volume 2 Issue 7-1999
IKON Insight Volume 1 issue 2-1998
IKON Performance Beyond Expectation Brochure
Additional IKON Literature
ECI Consulting Engineers: Spatial Enterprise Functionality
ECI Consulting Engineers: Spatial Enterprise A White Paper
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Section 1
General Information
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1.1 Company Qualifications
ThirdWave Corporation was established in 1986 to assist our
clients select, design, implement, integrate, and manage
information systems. Our company philosophy is based on
a simple premise: we are more concerned with the effective
use of technology than technology itself. ThirdWave has a
long and successful track record working with government
and Fortune 1000 corporations.
1.1.1 A Full Service Systems Integration Company
ThirdWave is a full service systems integration / consulting
firm providing the development and / or implementation of
numerous leading edge technologies including Electronic
Document Management / Imaging systems, Internet /
lntranet development, GIS systems integration services, and
LANMlAN networking communications design and
implementation. We also provide outsourcing for all of the
above.
ThirdWave assists our clients evaluate, select, implement, integrate, and manage
information systems. Working in a S.W.A.T. team fashion, our professionals have
established a track record for achieving results -- in record time. Drawing on experience and
proven techniques, we employ an exciting paradigm for introducing information systems
technologies into the professional environment. ThirdWave’s mission is:
“To address a need with experience and expertise, optimize the
effective use of computer tools, and work with end-users to insure results and success.”
It is important to note that ThirdWave has a wealth of experience in all of the key information
technology areas identified in the City’s RFP document, including Document Management /
Imaging, Web Enabled Application Development, and Geographic Information Systems.
Beyond the expertise in all of the above areas, we have the rare experience and lengthy
General Information
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track record of implementing and seamlessly integrating all of these technologies in the
public sector.
1 .I .2 Document Management Expertise
ThirdWave has been carrying out Document Management projects since the infancy of the
technology. (Frank Addamo and Roy Hernandez, the proposed Project Manager and
executive advisor on the project (respectively), were pioneers in the document management
arena since the late 197Os!) Our first four major customersin 1997, Lockheed, Hewlett- Packard, IBM, and City of Los Angeles, were all EDM projects entailing small and large
hardcopy documents, engineering document conversion, all implemented across the
enterprise with user communities averaging several hundred of end users. Recent experience include EDM projects for the following agencies:
0 Orange County Sanitation (ongoing)
l City of Las Vegas
l Las Vegas Water Pollution Control Facility (ongoing)
l Hawaiian Electric Company (ongoing)
l City of Los Angeles Wastewater Construction Management Division (Hyperion
Treatment Plant)
l City of Los Angeles Department of Public Works
1 .I .3 Web-enabled Application Design and Development Expertise
ThirdWave has been carrying out database intensive web enabled application development
since 1994. Combining a rare mix of graphic design, software development, systems
engineering and the rapidly evolving suite of web development tools, we have built some of
the most rigorous web applications in the country today. Working with the City of Las
Vegas, ThirdWave pioneered the Virtual City”” model for the cities of the future’. This
project entailed a complete retooling of the City, employing a bold IT strategy to provide a
new level of service delivery via web enabled applications, e.g., Business Permitting, Land
Development and Review Permitting, Parks and Recreation registration, etc. Recent
government customers for whom we have designed and developed web enabled
applications for include the following agencies:
Orange County Transportation Authority:
Applications
Intranetllnternet Online Purchasing
City of Pasadena: City Website redesign and development
Las Vegas Water Pollution Control Facility: IntraneUnternet Online O&M Manual
City of Las Vegas: City Website redesign, Intranetilnternet On-line Business Permitting,
Development Permitting, Parks and Recreation
Los Angeles Economic Development Corporation: Intranet/lnternet Business
Development and Project Management Application
1. Virtual Cify (Trademark of ThirdWave Corporation): An IT Model developed by ThirdWave for the “City of
the Future,” supporting the transformation of how Cities do business and provide services, through the synthesis of emerging technologies with innovative business practices.
General Information
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1 .I .4 Geographic Information Systems Expertise
ThirdWave has been carrying GIS projects since the infancy of that technology. Over the last twelve years, we have carried out some of the most significant and ambitious GIS
projects in the country. We have carried out GIS projects in all corners of the United States.
At one point or another, ThirdWave has provided GIS professional services to all major local
and regional government agencies in Southern California. Recent experience includes
projects for the following major agencies:
Los Angeles Police Department 911 Emergency Command & Control Center System
(ongoing, $1,200,000.)
Orange County Transportation Authority (ongoing)
Los Angeles Redevelopment Agency (ongoing)
City of Las Vegas
Los Angeles Department of Transportation Traffic Accident Information System
(ongoing)
Southern California Association of Governments (ongoing mapping / transportation
modeling support)
Los Angeles County Metropolitan Transportation Agency (onsite GIS group for
transportation modeling and application development over 3.5 years, $1,500,000.)
City of San Diego Wastewater/Sewer Mapping
San Diego Data Processing Corporation
City of Los Angeles Department of Public Works, Arc Info Pilot and Sewer Wye Map
Project
US West (all facilities mapping across 15 states, $2,400,000.)
In summary, firms with the core centers of competency noted above are extremely rare (if
not unique). But more importantly, all of the above will be critical to the City’s strategic
success. ThirdWave has a proven record in not only deploying all of the technologies listed
above, which are key to the City’s overall goals and objectives, but we have successfully
implemented enterprise-wide, seamlessly integrated solutions, incorporating EDM,
G/S and Web-enabled Service Delivery applications for government agencies.
The following diagram illustrates ThirdWave’s breadth and depth of information technology
expertise. We can handle any IT issues which might arise during the course of the project,
or over the life of the City’s Document Management System program.
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Figure 7. f: ThirdWave Areas of Expertise
Internet
Development
l Inter/lntra/Extranet
Consulting
l Web Page Design &
Development
l Web Enabled DB
Applications
l E-Commerce
l Shopping Carts
l Web Connectivity
l Web Site Hosting
l Security & Firewalls ,
Sofhnrare Development
l Software Development
l Application
Programming
l Client-Server
l All leading languages &
Databases: VB, Delphi, SQL, ORACLE, Access
l Y2K Conversion
l IT Training
1
Systems
Integration
l IT Consulting
l IT Strategic Plans
l Enterprise-wide Systems Analysis:
l Data Warehousing
. LAN/WAN/MANS
l IT Implementation 8
Integration
l MIS Outsourcing
a End User Training
Electronic Dot.
Management IL
Auto. Workflow
0 Consutting
+ Business Process
Reengineering
l Application Development
l Web Enabled Applications
Systems Sales &
Ongoing Support
l 70,000 hardware,
software & peripheral products
l All leading vendors 8
platforms
l GIS Consulting
l Systems Analysis
0 Strategic Planning
l Database Design
l Web Enabled & Client-
Server Application Development
l GIS Integration:
l Transportation, City
Planning, Building, Utilities
l On-site Staffing
l End User Training
July 6, 1999
GIS Services
Mulkiedia CL Graphic Design Services
l Graphic Design
l Photoshop / Imaging
l 3D Modeling / Rendering
l Multimedia Productions
l Interactive Applications
1.2 Staff Profiles
The following figure identifies the proposed roles of all members on the installation
on the configuration team.
General Information
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ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
Document Management System
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Figure 1.2: Team Makeup and Roles
F. Addamo
Sr. EDM Consultant,
K. Murdoff
St-. Software
Engineer, ThirdWave
R. Miller
Sr. Systems
Engineer, ThirdWave
Al Mackenzie,
Sr. Application
Consultant
FileNET
AIIM’S Master of IT Award
AIIM’S Laureate of
IT in Electronic Document / Image
Management
Engineering at
East LA College &
Pasadena City
College
Programming,
Mount San Antonio
College
BA, Computer
Science
CSU Sacramento
AA, Golden West College
FileNET Certified
Microsoft Certified
Systems Engineer
Microsoft Certified
Product Specialist
Certifications:
FileNET: Sys Admin for IMS,
Panagon IDM Dot
Services, Ca,pture, Report Manger, Systems Capacity
Planning; MS
Windows NT; DocuLink Optical
Mr. Addamo will act as the Project Manager. Mr.
Addamo has 23 years experience in the EDM/lmaging
arena. He is recognized internationally as an expert in the ImaginglEDM field. Prior to ThirdWave, Mr.
Addamo was responsible for Imaging/Document
Conversion services for the largest document imaging
company in the country, successfully executing the
scanning projects with as many as 5 million documents for Fortune 500 clients. Mr. Addamo has
published numerous articles and has presented at over 30 national imaging seminars including AIIM,
ARMA, EDMS Focus, EDM, NIRMA, BIS, Netcom and Federal Computer Conferences
Mr. Murdoff has 7 years of extensive experience in IT
consulting systems, network integration, SUN/HP/IBM UNIX Administration, Electronic Document
Management I Automated Workflow systems and
Geographic Information Systems. Mr. Murdoff will
participate on the system installation and integration
aspects of the project.
Over 8 years of substantial experience in enterprise- wide networking/communications systems. Has performed system/network analysis, design,
installation, configuration, performance monitoring,
tuning, capacity planning/sizing, security, systems and operations support in a multi-vendor environment. Is
trained in FileNET System Installation, Configuration
and Administration, is also a Microsoft CSE, Certified Product Specialist, Novell CNE and Netware
Engineer. Has played a key role in several EDM
projects, e.g., Hawaiian Electric Company and the Las Vegas Water Pollution Control Facility. Mr. Miller will
address systems, networking configuration issues related to the EDM implementation.
Senior Systems Consultant, with 20 years experience, providing pre and post sales consulting, systems
analysis, configuration development, and project management responsibilities for FileNET’s Integrated
Document Management family of products for
electronic document management, imaging, workflow, and COLD (Computer Output To Laserdisk). Mr. Mackenzie will participate on the system installation
and integration aspects of the project.
General Information
1.5
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
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Brenda Vance,
Systems Engineer
FileNET
BA, Education University of
Delaware
Certifications:
Computer
Networks & Applications
Brenda is a senior member of FileNET’s Technical Consultant team with 12 years experience, and 5
years with FileNET. She provides technical expertise and installation experience to a broad range of
FileNET clients in financial services, government,
health care, and engineering. Ms. Vance will participate on the system installation and integration
aspects of the project.
1.3 Subconsultant Association
1.3.1 FileNET Corporation
ThirdWave has formed a subcontractor teaming relationship with FileNET Corporation.
FileNET is the premier vendor for fully integrated Imaging, Electronic Document
Management and Automated Workflow solutions, which are also support Web Enabled
Application Development. They will act as a technical resource in the system design,
configuration, deployment and training tasks.
1.3.2 IKON Corporation
ThirdWave has chosen to team with the highest quality conversion provider in the world,
IKON Office Solutions. IKON is the premier provider of high volume conversion services
nationally and internationally. For twelve years, IKON’s primary business mission has been
focused on digitizing documents from any media - paper or micrographic - and providing its
clients with images ready to import into virtually any imaging system. IKON’s emphasis on
quality, performance, and mutual project success has translated into hundreds of satisfied
corporate and government customers who have entrusted IKON with scanning and indexing
millions of critical files.
In addition to using the highest quality conversion provider in the world, ThirdWave will add
another independent level of coordination and quality control at every step along the way.
ThirdWave’s and IKON’s engineers will work closely together to create, test and implement
the bulk loading scripts necessary to populate the FileNET Panagon system. The
conversion workflow tasks are graphically depicted on the following page.
1.3.3 ECI
ECI is a globally recognized consulting firm, providing a broad spectrum of services to a
diverse group of industries. They were founded in 1971 and currently has 120 employees.
The IT division provides a wide range of information technology services to Fortune 1000
companies, government and medium size organizations, both nationally and internationally.
ECI has been awarded the exclusive Oracle@ Alliance Partnership for Louisiana. Other Alliance Partnerships have been developed with Intergraph Corporation and FileNet@
Corporation.
In a subsequent phase after Phase 2, ECI will play a key role in the integration of FileNET
with the City’s GIS, using Spatial Enterprise.
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Figure 1.3: Conversion Workflow Diagram
IKON Paper Conversion Workflow
Paper Receipt/ FrepL?kanlStorage After Scanning
Fsa D=prsQc IW9crrhgn*l Rurivd Pnpn&a (---I hC.dECm B
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sum SPARC
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Finalize Index/Format/Record
1.4 References
The following represent three customer references where ThirdWave has carried project
similar to that of the City, and/or we are currently providing ongoing support.
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1.4.1.1 City of Las Vegas Water Pollution Control Facility(WPCF), the
On-line Operations & Manaintenance Manual lntranet Application
Development and imaging Project
V.P. HDR Inc. (Prime)
Customer Contact:
Mr. Dave Pivetti, Sr.
916.3513810
271 Turn Pike Drive
Folsom CA 95630
Size of Account:
Number of Employees: 250.
Dates and amounts 1: 1997 $100,000.
of each contract: 2: 1998 $218,038
3: 1998-1999 $500,000.
4: 1999-2000 $200,000.
Total to Contract Value: $818,038.
Brief Descri~on:
This was the third contract awarded to ThirdWave. (The first was to develop
an IT Strategic Plan; the second entailed implementing the enterprise-wide
infrastructure, servers and Commercial-of the-Shelve applications.) The
purpose of the third contract was to develop an lntranet based on-line O&M
Manual, and integrate it with other plant-wide systems. This enterprise-wide
lntranet application is being used to support an $80,000,000 expansion
project that will double the capacity of the current treatment plant. The work
included the following:
1. Providing a GUI for all key O&M thick-client applications across the plant
site, including the integration of several Maintenance, SCADA, and
Purchasing applications, e.g., FactoryLink, MP2, and ORACLE databases.
2. Provide enterprise-wide access to all data at the plant site from one
Intranet-based application. Convert one-hundred (100) O&M Manuals
(approximately 50,000 documents) by scanning and indexing them.
Information accessed via the on-line O&M Manual includes the scanned O&M
Manuals, AutoCAD drawings, MS Word documents, Adobe Acrobat pdf files,
O&M / Safety Training video tapes.
ThirdWave was responsible for developing the scanning/imaging system for
all of the Maintenance information, consisting of the following systems:
l Scanning Workstation and a Fujitsu M3096 High Speed Scanner
l HP Sure-store 40 Gigabyte Optical Jukebox
l 3 High End Dell Power Edge Servers
The next phase will entail the implementation of an enterprise-wide EDM
system.
General Information
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Figure 1.4: On-line O&M Manual lntranet Application
+ Browser Endow
Main Menu Bar
Selected Equipment
Number
Cl&!Of Lss Vegas Wstsi PotluBxi Cmol Faciiny 6005 E kgas vaney Dnve LasVqas.tW89122 ~70212296200
:. i !&rhere forinstrucb~
Main Screen
Right-Click Menu
o*d snd L+3wapdby $&g&&f&e :
I
Associated Document
View (ADV)
This user interface can be used by anyone on the plant site to find all information associated
with any piece of equipment, system or subsystem located on the plant site. The search
field allows for a robust search capability, using partial or wild card searches.
~Z.IM
hMifa%w
K:
Eed --uir
BG Bhwa
Qy Esclr _ ^.
,““.. ““.
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Figure 1.6: Viewing AutoCAD Construction antior O&M Files
1.4.1.2 Orange County Sanitation
Automation
District: On-line Board Agenda
Customer Contact:
Mr. Peter Hass
Systems Manager
714.593.7273
P.O. Box 8127
Fountain Valley CA 92728
Size of Account:
Number of Employees: upto8ocl
Dates of contract: 1998
Total Dollar amount: $98,380.00
ThirdWave provided workflow user requirements gathering, analysis, design,
development, implementation, training and documentation services. The
Board Agenda Workflow System was a custom tailored application to fit the
customer’s specific requirements. The Board Agenda Workflow System
automates the process of originating, reviewing, editing, packaging, routing
and approving committee and board agendas.
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Designed and deployed an EDM system to automate/manage the Board
Agenda Process using FileNET “Ensemble” workflow; Information
Processing, uses FileNet Panagon. Created a database in Oracle to maintain information created as a result of the process. Board Agenda
Formatting and Compilation, allows users to generate, route reports, and
create the final Agenda Items. Image and Electronic Document
Management, using SpicerLink for the scanning interface, was integrated with
the FileNET Panagon database “DocServices”. The EDMS application was
installed across five departmental PCs.
Key Features
1. Approval process tracking, the originator can check status of Board
approval.
2. Provide electronic forms and database rules for standard items such as
Cost, Budget, Category, Subject, etc. As a result, small details not
missed, which could cause rejection or delay. The application provides
quicker and more accurate completion of Board agendas.
3. Web distribution of items and Board agendas. Nonconfidential
information will be posted to Web for public use.
4. Automatic accumulation of all documents, previously generated in
hardcopy, prepared to go to the Board. As a result, the Board and
Committee secretaries’ workload is greatly reduced.
5. All items, Board agendas, Board minutes and workflow tracking are
checked into Panagon. Future search and retrieval of these items is very
valuable to all organizations for business and legal reasons
On-line Board Agenda Sample Screens
Q 1999
General Information
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ThirdWave 11400 W. Olympic Blvd. Suite650 Los Angeles CA 90064 310.914.1460 Fax 310 914.1490
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1.4.1.3 Cii of Las Vegas Web Enabled Service Delivery Applications
Customer Contact:
Joe Marcella, Director of IT
702.229.6291
400 E. Stewart
LasVegas NV 89101
Brief Description: As part of a 10 million-dollar
IT Program ThirdWave executed for the City, we
were retained to redesign the City’s website. At the
time the project started, the City’s website was
predominantly all text, with long scrolling pages, no
continuity across departments, and a poor
navigational interface. The work included the
following tasks:
l Evaluate the existing website, which included reviewing the existing
content and technical requirements. A Summary of the Evaluation was
prepared.
l Graphic Design, which included developing GUI Standards, and page
layout concept, graphics and typical templates.
l Reformat Existing Web Data, which included GUI graphics production,
GUI HTMUJavaScript production, and CA Testing.
l Website Installation and Configuration, which included server hardware
installation and configuration, configuration of protocols, firewall, moving
web page to new City website, and testing and web server database
installation and configuration.
Figure 1.7: City of Las Vegas Home Page
General Information
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Besides the redesign of the City’s site, this project also included the
development of two proof of concept Internet / lntranet applications,
the On-line Business License and Leisure Land, an on-line Parks and
Recreation applications. These two applications were the first Service
Delivery applications that were part of the “Virtual Las Vegas” IT
strategy. (ThirdWave was retained in 1995 to develop the City’s IT
Strategy, which became known as ‘Virtual Las Vegas.“ The City’s
vision is to ultimately allow citizens on-line to access to City services
from the convenience of their homes and/or places of business.)
On-line Business License Application
This application will allow future business owners to get Business
Licenses without going to City Hall. The work includes reviewing the
business license process, user working sessions, business process
workflow modeling , business process redesign, functional
requirements development and an application specification is
submitted.
Figum 1.8: Business License Applicatrion
General Information
0 1999 1.13
ThirdWave 11400 W. Olympic Blvd. Suite650 Los Angeles CA 90064 310.914.1460 Fax 310914.1490
Document Management System
City of Carlsbad July 6, 1999
City of Las Vegas Development & Review Tracking System
(DARTS) ThirdWave worked with the City of Las Vegas Public Works, Planning,
and IT departments to develop the Development Review Tracking
System (DARTS). The DARTS lntranet application provided an interface to integrate 11 of the 13 City divisions. Phase 1 of the
solution is was to develop an internal application, with the subsequent
version providing Internet access. The DARTS application integrating
several enterprise Commercial-of-the-shelf applications, including
Electronic Document Management (EDM), Imaging, Workflow
Automation, and Geographic Information System (GIS). The application was developed using Delphi and Oracle, however, the
solution could be developed using any 4GL or database. DARTS
integrates the following:
l Raster image files, managed by FileNet software
l Automated routing and work distribution, using Action Workflow
l Text, MS Word files
l Graphical files
l AutoCAD files
l ARC/INFO GIS map data, including parcel and land use/planning
maps.
l Tabular data in Oracle
Fundamentally, the solution can be thought of as having three layers
of technology. The first is the database layer, where integrated and
normalized repositories of data are stored and managed. The second
is the application layer, where native such as EDM, GIS, etc. reside.
The third layer consists of Workflow automation or “work
management.” The DARTS solution takes traditional database
applications one step further by utilizing workflow automation software
to integrate, automate, manage, track and streamline processes. This solution is different than the typical suite of modules provided by
companies such as Sierra, in that those systems attempt to apply
“routing” capabilities into their product as an ad-on, while DARTS was
developed using a robust workflow engine and architecture as the
foundation.
The DARTS system automated the Land Development approval and
permitting process. The entire Land Development approval process
was made up of IO major sub-processes, which included Zoning
Approval, Board Agenda Process, Plans Review, and Building
Permittng.
General Information
0 1999 1.14
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
Document Management System
City of Carisbad July 6, 1999
Figure 7.9: DARTS Application Screens
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This application, when fully deployed, will cut the Developer/Routing
time from 6 to 3 months. It allows for collaborative interaction across
11 City divisions (out of 13), by individuals or teams.
General Information
0 1999 1.15
ThirdWave 11400 W. Olympic Blvd. Suite650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
Document Management System
City of Carisbad July 6, 1999
Figure 1. IO: DARTS On-line G/S Integration lntetface
Figure 1.11: DARTS On-line Building Permit Form
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Automated routing is another possible function that can be added to
on-line applications in subsequent phases of development, not
included in the proposed Site Redesign contract. This is particularly
beneficial in key processes that are paper intensive, or where
expediting the process would derive substantial benefits.
Figure ‘f.12: DARTS On-line Routing Slip
es, No. f L&s 42, Wd 4 fEhwn)
General Information
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
Document Management System
City of Catisbad July 6, 1999
1.4.1.4 Hawaiian Electric Corporation, Honolulu, HI
Joint Pole Program: Electronic Document Management I Conversion
Project
2. Pilot Dot. Conversion $4,000.
3. Production Conversion $70,000.
Project Description:
The Hawaiian Electric Company (HECO) retained ThirdWave to provide and
implement a document management system that would meet the imaging
and information processing requirements for managing Joint Pole documents.
We also provided training to systems administrators as well as end users.
Key HECO issues to be addressed included, but are not limited to, the
following:
0 Automation of storage and retrieval of Joint Pole records and drawings
0 Integration with an existing Joint Pole System database
l Efficient means for imaging, managing, and accessing Joint Pole data
0 Compliment and/or integrate with existing Intergraph system
0 View capability of (DGN) files from within the document management
system
l Workflow capabilities for future process automation of Joint Pole
0 ThirdWave has an on-going technical support contract for this system.
We have replicated the HECO system environment in our office, with an
application server, for immediate trouble shooting/problem resolution,
should the need arise. Several months after installation, there have
bean no technical problems with the system.
Subsequent to this phase, ThirdWave was awarded another contract to carry
out a scanning pilot project, scanning 2,000 documents. A third phase will consist of scanning 60,000 documents.
Products used:
FileNET Panagon: Scanning/Conversion, Capture Document, IDM Desktop,
IDM Document Services.
0 1999
General Information
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ThirdWave 11400 W. Olympic Blvd. Suite650 Los Angeles CA 90064 310.914.1480 Fax 310914.1490
Document Management System
City of Carlsbad July 6, 1999
1.4.2 IKON References (Subcontractor)
I .4.2.1 Great Western Bank
Customer Contact:
Virginia Walton
818.775.7230
9401 Corbin Avenue
Mail Stop: N 02 28
Northridge, CA 9131 I
Summary of project:
In 1994, IKON converted over 1,750,OOO pages of mortgage loan documents
to electronic images on optical disk for Great Western Bank. IKON performed
the conversion in a IO-week time frame (including a five week set-up period)
to meet Great Western’s business operating commitments. Great Western shipped the documents from their loan processing center in Southern
California to IKON’s Northern California Conversion Service Center, IKON
prepared, scanned, indexed, and recorded the documents to 7GB optical
disks compatible with Great Western’s FileNET imaging system.
IKON’s Document Preparation staff affixed barcodes to the files .and
documents to capture loan numbers and multiple document types.
Additionally, IKON configured its software environment to display images to
data entry operators who keyed critical index data from selected document types. Images and index data formatted to FileNET-compatible primary and
TBANLOG optical disks were delivered to Great Western for direct import to
FileNET. The keyed data was delivered on accompanying digital tape for loading into Great Western’s mainframe database.
As a direct result of IKON’s efforts, Great Western was able to update its
image and index databases simultaneously, making the mortgage loan
customer profiles and corresponding images available to the service team
within the required timeframe.
Type of documents converted: loan documents
Volume: > 1,750,OOO pages
1.4.2.2 Amoco CorDoration
Customer Contact:
Ms. Joyce Vaughn - Project Manager
918.58.4332 509 South Boston Avenue
Tulsa, Oklahoma 74103
General Information
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Summary of project:
In 1997, IKON Business Imaging Services (IKON) finished converting 9
million documents for Amoco in Tulsa, Oklahoma. Several months later,
Amoco asked IKON to perform a second conversion project.
The project involved approximately 3 million pages in roughly 30,500 file
folders, which documented mineral rights held by Amoco. Some were legal
documents, others were forms and other business records. Dating back to
the 192Os, documents were on various types and sizes of paper and in
various conditions.
The documents had come from 14 different sources, mostly when Amoco
acquired mineral rights from another company or acquired the company itself.
Each of the 14 document populations had been stored under a different
record-keeping system and was accompanied by a different database.
Amoco had no standardization for their systems, in fact, each of the 14
groups needed to be added to one of three FileNET-based systems within
Amoco. So the conversion had to be divided into three separate production
lines, each ultimately writing images to a different set of 12-inch optical disks.
A crew of about 20 people, who IKON locally hired and trained, performed
document preparation. Other tasks included affixing two bar codes to each
document. The first bar code identified a document by one of 18 types, the
other by the file it came from. The latter were generated from the 14 disparate
databases, which were delivered to IKON as Microsoft Excel spreadsheets.
Data from those were also converted into three indexing files. One was
written to the optical disks and the other two were delivered to Amoco over the Internet using the File Transfer Protocol (FTP). These latter two files were
used in Amoco’s enterprise-wide document management system to link the
FileNET systems to several databases that served various purposes within
the company.
Double-sided scanning, like document preparation, was performed on site, in
Tulsa. To improve economies, Amoco and IKON decided that any page of
onionskin correspondence would be assumed to have nothing written on the
back, and the backside scan was discarded. For all other documents,
scanners were set to a threshold for the backside of a page. If no information
was detected above that threshold, the backside was not scanned. Each
document type had its own backside threshold setting’ that, based on
experience, Amoco and IKON had derived from the conversion job performed
over a year earlier. Both these tactics saved Amoco significant time and
reduced conversion costs.
Once scanned, images were shipped on 8mm tape to IKON Conversion
Operations Center in Northern California, where they were written to disk.
The entire job took almost one year. Although the original contract covered
only 1.3 million images, as Amoco acquired new rights while the project was
General Information
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underway, they added the additional images to the contract, more than
doubling it - evidence of one more happy IKON customer!
Type of documents converted: mineral rights
Volume: Phase I: 9 million images
Phase II: 3 million images
1.4.2.3 Scurlock Permian CorDoration
i Customer Contact:
Mr. Craig Young
Project Manager
713.646.4425
333 Clay Street, Suite 2900
Houston, TX 77210
Summary of project:
Scurlock Permian is a transporter of oil and gas and a subsidiary of Ashland
Corporation. To upgrade their paper-based document management system to
a FileNET imaging system, they utilized IKON Business Imaging (formerly
WESCO) to convert 1 million Lease Division Orders into digital form.
Due to the fact that both backfile and current documentation needed to be
scanned, IKON prepared the paper on-site in Houston, Texas. Indexing
fields were created through bar code implementation during the scanning
phase as well as by manual key entry to ensure high-quality results. Scanned images in TIFF format were recorded onto FileNET 5 I!’ optical disks.
With their new electronic document management system containing all active
and archive property files, Scurlock Permian can manage revenue distribution
and customer support operations in a more timely and efficient manner.
Timeframe of conversion: January through April, 1996
Type of documents converted: Lease Division Orders
Volume: > 1 million Lease Division Orders
1.4.2.4 Bankers Trust ComDanv
Customer Contact:
Ms. Joan Blum-Strear
Project Manager
212.454.7580
Bankers Trust Plaza
New York, NY 10015
General Information
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Summary of project:
Bankers Trust is a financial institution that focuses its businesses on major
corporations, other financial institutions, governments and high net worth
individuals. Bankers Trust has offices in Australia and in the U.K. The
company conducts business worldwide; including the former state controlled
economies of Central and Eastern Europe. Total revenues in 1996 were $4.2
billion.
Bankers Trust of New York City, New York wanted to convert private banking
I files and signature cards in order to improve client service. IKON performed
a similar conversion for Bankers Trust London affiliate.
IKON performed conversion of 250,000 documents of 90 different types for
Bankers Trust for use in an archival and retrieval application resident on a
FileNET imaging system. IKON scanned the documents on-site in New York
City, New York, and completed the conversion at its Conversion Operations
Center in Walnut Creek, California. IKON performed image enhancement in
the form of cropping, rotation, and region clipping. The images were
recorded onto primary and backup 12” 12 gigabyte FileNET optical disks in
TIFF Group IV format.
The conversion of the selected documents improved accessibility and
security while enhancing customer service to high profile clients.
Time frame of conversion: June 1995 to August 1996
Type of documents converted: private banking files and signature cards
Volume: 250,000 documents
1.4.2.5 UNUM Life Insurance Company of America
(Now the Tax Sheltered Annuity Division of Lincoln Life Insurance)
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Customer Contact:
Ms. Tammy Sawyer
Project Manager
207.842.9483
82 Running Hill Road
Portland, Maine 04106
Summary of project: UNUM Life is a Disability and Special Risk Insurance holding company based
in Portland, Maine. They are the world leader in disability insurance and rank
among the world leading Special Risk insurers. In addition to group long-term
disability insurance, UNUM provides other employee benefit plans including
group life insurance, short-term disability, long-term care insurance and
various annuity plans.
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UNUM needed better management and control of their tax sheltered annuity
files. They wanted to improve response to plan participants and corporate
clients. Furthermore, the long-term nature of these files required greater
security of all annuity documents. Files converted consisted of 1.4 million
documents from 160,000 tax sheltered annuity participant files and 300,000
documents from 2,400 group contract files.
These converted documents were to be used on their FileNET system. Prior
to the conversion these files consisted of over 4 million documents. As part of
the conversion, unnecessary documents were purged from the files based on
criteria set by UNUM.
IKON teamed with a regional partner, MicroMedia of New England, who
supplied on-site management and supervision for a staff of 14 document preparation technicians and 2 scanner operators. IKON ran the document
preparation operation around the clock to meet delivery schedule objectives.
Document preparation and scanning of these files was performed at their facility in Portland, Maine. Working with UNUM Central Records Management
staff, IKON sorted personnel files for document preparation.
The images were sent to the IKON Conversion Operations Center in Northern
California for further processing. The image data was then converted to
FileNET format. Image and index data were associated together in
accordance with UNUM’s image system specifications. After formatting,
documents were recorded to FileNET-compatible optical disks. IKON also
recorded a simultaneous back-up (TRANLOG) copy of the images onto
separate optical disks. UNUM was very pleased with IKON’s quick
turnaround and efficient conversion process.
Time Frame: March 1995 to June 1995
Type of documents converted: Annuity files
Volume: 1.4 million pages
1.4.2.6 Toyota Motor Credit
Customer Contact:
Robert Christian
Project Manager
310.787.5939 - 19001 South Western Avenue
Torrance, CA 90509
Summary of project: This is a project currently in production.
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Document Management System
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Toyota Motor Credit Corp. (TMCC), a subsidiary of Toyota Motor Sales,
U.S.A., Inc. awarded IKON the backfile conversion contract for converting all
active loan / lease files from paper to on-line digital images. The IKON
backfile conversion consists of scanning and indexing millions of collateral
documents, and is part of TMCC’s overall plan to move the corporation to a
less paper-intensive environment.
“We selected IKON because of their sound project methodology, technical
expertise and their ability to deploy project teams to our thirty-three branch
; locations,” said Robert Christian, TMCC Project Manager. The backfile
conversion solution will encompass handling 30 million pages to yield 8
million key documents for optical disk storage and retrieval on TMCC’s
FileNET Panagon system. Key collateral documents will be extracted from
their folders, indexed, and prepped for scanning. Key collateral documents
are identified as the credit application, contract, and vehicle title.
The twelve month conversion timeline was developed to complement the roll
out of TMCC’s document management solution as designed by Deloitte &
Touche Consulting Group. “IKON’s conversion process expertise and
national presence makes them the perfect choice for meeting Toyota’s
conversion needs”, said Ed Gibson of Deloitte & Touche Consulting Group.
Type of documents converted: Auto loan files
Volume: 8 million pages
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ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
Document Management System
City of Cadsbad July 6, 1999
Section 2
System Description &
Response to Section 2.3
r- 2.1 System Description
2.2 Response to Section 2.3 of RFP
The following pages represent our detailed response to the
City’s RFP Section 2.3, System Functionality Discussion. The
City’s RFP requests and/or questions have been copied to this
document (in italics) and our response is in the space
immediately following the request and/or question.
2.2.7. How does your solution meet the City’s need for an
open system? What standards does your product(s)
adhere to? Does your system support DMA?
The FileNET Panagon solution that ThirdWave is
proposing meets all of the City’s requirements for an
open system.
Panagon software is based on industry standards, including the Document
Management Alliance (DMA) technical specification, the Open Document
Management API (ODMA), the and the Workflow Management Coalition (WfMC)
interface specifications. Panagon is also tightly integrated into common corporate
computing standards such as Microsoft BackOffice, SAP, and Lotus Notes.
Built around Microsoft’s common object model (COM) and ActiveX object-oriented
programming technology, Panagon offers a high degree of flexibility. Panagon is
scalable and easily expanded.
2.2.2. Provide a system design, identifying all soRware and hardware components in
easi/y understood terms, including details about:
- Database
- Number, location, and functions of servers
System Description 4% Response to Section 2.3
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2.2.3.
2.2.4.
2.2.5.
2.2.6.
2.2.7.
2.2.8.
Although Panagon supports both MS SQLServer and Oracle, we are proposing to
use MS SQLServer for the City. This database will provide all of the functionality
required and will be relatively easy to install/configure. One database server and
one web server will be required. They can be located anywhere on the City’s
network.
How would you approach decentralized scanning while maintaining a central
database? The City anticipates scanners at City Hall and at Faraday.
Decentralized scanning with a central database is easily accomplished because of
the architecture of the Panagon product suite. Scanners and scanning software
can be located at any desktop. Once scanned, images, like any electronic file, are
“checked into” the Panagon library (database) which can also be located anywhere
on the network.
Describe the types of user software and licensing you support. Do you offer various
levels of functionality for users with different needs?
User licenses are based on simultaneous user logon (concurrent users). There are
three levels of functionality. The simplest level is via a web browser. The level of
functionality is determined by the features that the system administrator chooses to
activate. The next level is via a desktop interface which the user can modify to
show different properties or customize different searches. The next level is via a
professional desktop where custom applications can be integrated with Panagon.
Provide a detailed description of system’s capabilities to import and manage
electronic documents.
Any electronic document can be imported and managed by Panagon. A universal
viewer gives all users the capability to view these files. In the case of proprietary
file formats, Panagon will manage the electronic file and if the user has that
proprietary application software on their desktop the Panagon system will start the
proprietary software and bring up the proprietary file.
List tile formats your system supports. JPEG, ASCll text, etc. Identify formats supported by the full text index.
The system supports over 200 document formats including all Microsoft Office,
popular CAD systems, popular word processing and spreadsheet formats. JPEG
and ASCII text formats are supported.
Describe how your system creates a full text index when an electionic document is
checked in.
The system uses the Fulcrum full text engine as standard product and Excalibur as
an optional full text product. Both are completely integrated and seamlessly used.
The full text engines create a full text index of each word at the time of check-in.
All of those words are searchable.
Describe OCR offerings. How is OCR implemented in a distributed environment?
System Description & Response to Section 2.3 2.2
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Based on the requirements of the City we propose to use Adobe Capture as the
OCR component with PDF “Normal” as the file format. This will make it possible
for the City to keep all of the original file formatting, including graphics.
2.2.9. Describe how users can extract text from images on the t/y.
The PDF Normal format allows users to extract text or images.
2.2.10. Describe the structure your system uses to set up and define document classes
and folders.
The system allows users and administrators with the proper rights to create custom
properties (metadata) for documents. Once the properties are defined, the
properties that the user would like to set up as document classes are chosen and
given controlled values (if desired). Folders are constructed much like folders are
created in Windows. The user also has the opportunity to change the security of
those folders.
2.2.11. Describe version co&o/, check in/out functionality. How are mu/tip/e versions of
the same document managed?
Panagon has complete version control and check-in/check-out functionality. After
a document is checked-in for the first time it is given a version 1” designation.
Subsequent check-out and check-in creates Version 2, 3 etc. without any user
intervention. Past versions of documents are accessible to users with the proper
permission. The system administrator determines how many versions to keep on-
line. There is no limit as to the number of versions that can be kept on-line.
2.2.12. Provide step by step description of how desktop documents are imported into the
system. Describe metadata automatically indexed fmm desktop programs.
A document is imported into the system in many ways, the method is up to the
user. One of the most popular ways is the following:
Step 1:
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In Explore, the user drags the document that they want to check-in from the right
side pane to the folder desired in the FileNET library in the left side pane.
step 2:
The Add Document Wizard comes up for the user to confirm their choice.
Step 3:
The document properties index screen appears for the user to add metadata.
Required properties have a read diamond next to them.
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Step 4:
If the security requires changing from the user’s default, the Document Security
screen can be accessed by picking Next>.
Finally the document is confirmed as added to the system.
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2.2.13. What metadata does your system generate automatically? Describe document ID numbers, if applicable.
The automatic metadata is as follows:
Document ID (system assigned unique ID)
Original file name
Current version checked out
Protected
Allow secondary version lines
, St&age category
Archive category
Default check-out filename
Date added
Online limit
Online version count
Online disk space
Current version ID
Current version author
Current version date
Last accessed version
Last accessed date
Added by user
Added by group
Current content search repository
Version ID
Checked out
Modification date
Offline location
Checkin date
Checked in by user
Checked in by group
Last accessed user
Last accessed group
Availability status
Archive date
Archive repository
File size
Storage repository
Encrypted filename
Content search repository
Full text index status
Filename
Access level
Origin library
Origin ID
Folder ID
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System Description & Response to Section 2.3 2.6
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2.2.14. How does the system ensure that documents have unique identifiers in a distributed environment?
The system assigns a unique ID to every document checked-in.
2.2.15. How would your system approach a group that wanted users to create documents
on their PCs, then transmit them to a specialist who would import them into the
DMS?
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2.2.76.
This scenario is possible by having the group store the documents in a special spot
on a file server, by emailing the files to the specialist or by emailing a link to the
documents to the specialist.
How are index values modified or updated?
The index values can be modified after check-in by users with the proper rights by
right clicking on the document and picking the properties tab, then changing the
desired index values.
2.2.17. Describe the system’s capability to download CAD files and associated metadata;
describe in detail capabilities and /imitations in importing and managing CAD files.
Are they stored as raster versions? If so, how is the vector to raster conversion
accomplished?
Panagon allows the check-in of CAD files like any other document. They are
stored as either raster or vector since the system has the ability to view both. It is
possible to manage the metadata embodied in the CAD files with additional, fully
integrated software from Green Pastures. As was made clear by the City in the bid
conference, this feature is not required in phase one or two.
2.2.18. identify capabilities and limitations in importing and managing CAD fifes.
Panagon imports (checks-in) and manages CAD files like any other file format.
The only limitation might be the ability for general users to view proprietary formats.
The formats that the City identified in the bid conference are viewable by all users.
2.2.19.
2.2.20.
Describe mark up too/s and worMIow to expedite modifications to drawings and
plans.
Mark up tools include text boxes, highlights, lines, arrows, boxes, circles, arcs,
polylines, polygons, ellipses and freeline sketches. Ad-hoc workflow can be used
to create new workflow route on the fly or more structured workflow can be
graphically created and saved to automate a recurring process.
Describe annotation functionality. Will your system consolidate annotations made
by various users?
The system allows annotations by all users authorized to do so. Layering and
coloring techniques can be used to distinguish annotations by different users.
When desired the annotations can be “burned-in” (consolidated) to the document.
0 1999
System Description & Response to Section 2.3
2.7
ThirdWave 11400 W. Olympic Blvd. Suite650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
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Document Management System
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2.2.21.
2.2.22.
2.2.23.
2.2.24.
2.2.25.
2.2.26.
2.2.27.
2.2.28.
The Municipal Code, Council Policies and Administrative Orders will require
updating. Today this is done by inserting new pages and discarding old pages.
How does your system provide this function electronically?.
Panagon manages complete electronic documents (one file, whether it’s single or
multi-page). Insertion of pages is best handled by checking-in a new version of the
document.
When faxing out direct/y from the DMS, are annotations included in faxed out
dqcuments?
Annotations are included unless the user chooses to turn them off.
How would your solution provide both images of final documents with signatures as
well as text versions with full text search and cut 8, paste?
The PDF files include both text and graphics so the signatures will always be in the
document and will also always be full text.
Individual documents may appear in mu/tip/e folders. How does your system
handle one to many relationships?.
One to many relationships like the one described in this question is handled as
pointers to the original file so that the file is only stored once. To the end user it
looks like the file is copied in many places but it’s only referenced in the database.
Does your system support compound documents, i.e., documents composed of
Word and Excel files, or CAD files with references?
Yes. As mentioned in paragraph 2.2.17 above, it is possible to manage the
metadata embodied in the CAD files with additional, fully integrated software from
Green Pastures. As was made clear by the City in the bid conference, this feature
is not required in phase one or two.
Does your system provide any safeguards to protect document/data integrity? For
example, is it possible to have a database entry without an associated object?
The system does provide safeguards to protect documents and data integrity. The
system must have an object in order for it to have a database entry.
Describe worMlow capabilities to manage/distribute documents during approval
cycles.
Panagon has the ability to produce ad-hoc and structured workflows. A graphical
workflow scripting tool is used to create, test and initiate workflows. Workflows can
also be started by right clicking any document in the system.
How does your system hand/e electronic signatures?
Electronic signatures are handled by the security built into the Email system and
the document management systems security model.
0 1999
System Description & Response to Section 2.3
2.8
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
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City of Carlsbad July 6, 1999
2.2.29.
2.2.30.
,
2.2.31.
2.2.32.
2.2.33.
2.2.34.
2.2.35.
0 1999
Describe your system’s support of optional common document formats such as
PDF.
The solution that ThirdWave is proposing uses PDF as it’s primary format for
documents that require full text retrieval.
What would be your solution to providing documents on diskette or CD to the pubic
on request? Whaf fom7at.s would be supported?
The solution would be to use the Explorer interface of the system to copy files to
any writeable device like a diskette or CD. All file formats stored on the system
can be copied to a writeable device.
Provide a detailed description of your use of browserMewer software on client
worksfations that addresses both text documents and drawings.
The browser interface is as simple or complex as the system administrator wishes.
On the simple end of the spectrum it can provide a keyword search/results screen.
Once the user picks the chosen document, the viewer brings up the document
which can then be zoomed, panned and printed. On the complicated end of the
spectrum, the user can check-out, check-in, change properties, etc.
How does your system handle the need to redact information within a document?
The viewer, which is from Spicer Corporation, allows the user to cover text with a
black highlight. This highlight is stored with the file and can be “burned-in” to the
document if the user wishes.
Describe your approach to providing file storage both online (in local memory) and
near line (CD or optical jukebox) to ensure fast response for document retrieval.
Files should reside on storage devices located near most frequent users who will
be located at City Hall and at Faraday.
In our opinion the City should use hard disk storage for all documents. Hard disk
storage continues to become cheaper and more reliable. CD or optical disk
jukeboxes add another level of complexity, in addition to adding another breaking
point. Lastly the City’s requirements for mass storage fits comfortably within a
RAID environment.
How does your solution utilize intranet architecture for internal access?
The Panagon system uses Microsoft Internet Information Server or Netscape
Enterprise Server to interface with the intranet. All user features and functions are
available if the systems administrator wishes. Access is over the in-house
network.
How does your solufion interface with the internet - please provide a detailed
response.
The Panagon system uses Microsoft Internet Information Server or Netscape
Enterprise Server to interface with the internet. All user features and functions are
System Description & Response to Section 2.3
2.9
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
Document Management System
City of Carl&ad July 6, 1999
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2.2.36.
2.2.37.
2.2.38.
2.2.39.
2.2.40.
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available if the systems administrator wishes. An example of the view interface is
shown below. Access is via an ISP.
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Describe any interfaces with online billing modules your intemet offering includes
On-line billing modules are customized using Active Server Pages.
Which intemet sewer interfaces does your system support?
The Panagon system uses Microsoft Internet Information Server or Netscape
Enterprise Server to interface with the intemet.
How are images stored on your DMS exported to the intemet?
In their native format. The first time that a user logs onto Panagon, the plug-in
viewer is downloaded onto their PC.
Do non-licensed users, on the intemet for example, need special viewers to view
documents?
No. The first time that a user logs onto Panagon, the plug-in viewer is downloaded
onto their PC.
Does your intemet solution include online payment? If so, p/ease describe in detail.
On-line billing modules are customired using Active Server Pages
System Description & Response to Section 2.3
2.10
ThirdWave 11400 W. Olympic Blvd. Suite650 Los Angeles CA 90064 310.914.1480 Fax 310914.1490
Document Management System
City of Carlsbad July 6, 1999
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2.2.41.
2.2.42.
2.2.43.
2.2.44.
2.2.45.
2.2.46.
2.2.47.
2.2.48.
0 1999
Provide a detailed description of your use of browseMewer software that
addresses both text documents and drawings/maps. Describe any intemet plug-ins
required for viewing various file formats, such as maps and AutoCAD drawings.
Browser based document viewing software is downloaded to the user the first time
they use the system and remains on their system for future use. Plug-ins for maps
and AutoCAD drawings are from Spicer Corporation and are fully integrated with
Panagon.
Are full check in/out capabilities available to internal users using browser
inieffaces?
Yes provided that they have access rights.
Describe capabilities and limitations for users using browser interfaces, such as
their ability to copy documents without checking them out; attaching documents to
emails, participate in worknows; initiate workflows, validate user-entered properties
against validation tables; enter version numbers; view a list of past versions; view
past versions; modify index values; search using keywords, full text, search.
All, some or none of the features and functions mentioned in the question above
can be made available using browser interfaces. It is up to the administrator to
determine the access rights.
Describe security levels for users using a browser interface.
Security using browsers, as it is with thick client interfaces, are: None (can’t even
locate the document), Viewer (can view only), Author (can view, check-out and
check-in), Owner (can view, check-out and check-in and change the properties)
and Administrator (can view, check-out and check-in, change the properties and
delete).
Will users with browser interfaces be able to launch the associated application
program a document was created in?
Yes.
What would be your recommendation for Kiosks or public terminals at City Hall,
Library, and Faraday to provide access to most frequent/y retrieved
document&formation?
A browser interface with security on documents based on document type.
Can your system restrict the public to structured searches and not have FTS
available?
Yes.
The City charges the public for printing documents. How would your system
integrate cashiering functionality with printing?
A customized browser interface using Active Server Pages could be developed to
track and calculate printing changes.
System Description 4% Response to Section 2.3 2.11
ThirdWave 11400 W. Olympic Blvd. Suite650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
Document Management System
City of Carlsbad July 6, 1999
2.2.49.
2.2.50.
2.2.51.
2.2.52.
2.2.53.
2.2.54.
2.2.55.
2.2.56.
2.2.57.
2.2.58.
0 1999
Describe your system’s security system in detail - does it function as part of the
operating system? Does it work at the document level? Etc.
Document security can be set at any level including library, folder or document.
Securities are: None (can’t even locate the document), Viewer (can view only),
Author (can view, check-out and check-in), Owner (can view, check-out and check-
in and change the properties) and Administrator (can view, check-out and check-in,
change the properties and delete).
Does your system utilize the same sign on/passwords as the LAN OS?
The current version does not. The version planned for release prior to the City’s
project start in January will.
The City has recently established a records management program - how would
your system incorporate retention schedules?
One of the properties that can be set on document is the on-line retention period.
Describe system utilities for disposing of old files and consolidating remaining
active files.
Based upon any search criteria, documents can be disposed of in bulk fashion.
Once deleted, the automatically database handles consolidation.
How would your system isolate documents already on the system that later require
limited access because of litigation?
A bulk scripting language is provided that would change the security or status of
documents that meet certain search criteria.
Is there a limit to the number of libraries on your system?
A single server with Panagon can have up to 15 libraries. The number of file
folders are unlimited. The number of Panagon servers is also unlimited so there is
no theoretical limit.
How many printers per server can be attached?
The system uses whatever in-house printing devices that the City possesses.
There is no limit as far as the Panagon system is concerned.
How many fax stations per server can be attached?
Fax stations are only limited by the number of fax boards that can be installed in
the workstation. There is no limit as far as the Panagon system is concerned.
How many scanners per server can be attached?
Scanners are configured on a workstation basis. The number of scanners is
limited to the amount of SCSI connections that a workstation has.
Is there a limit to the number and length of fields in the database?
System Description & Response to Section 2.3
2.12
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
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Document Management System
City of Carlsbad July 6, 1999
2.2.59. Can the system handle mandatory and optional fields?
Yes.
2.2.60. Describe the types of searches your system supports. Which of these queries can
be saved for reuse?
Keyword and full text searches can be performed. Searches can done with
Boolean operators. All searches can be saved for reuse.
2.2.61. In future phases, DM should be integrated with G/S so those users accessing
ArcView would have the option of displaying related documents stored on the DM
system. Describe in detail your approach to this interface and provide concrete
information about your ability to deliver a solution.
Approximately 2,000 characters depending upon how many and what type of other
fields there are.
Our approach to integrate with GIS would be to use SpatialENTERPRISE.
SpatialENTERPRISE has developed an out-of-the-box integration between
ArcView and Panagon (called SpatialENTERPRISE), and has also development of
a Web enabled Map Objects/Panagon integration. SpatialENTERPRISE has
created an ArcView extension, which allows the user to associate spatial features
to documents. Those documents can be viewed, checked-in/out, routed to
workflow, etc.
0 1999
System Description & Response to Section 2.3
2.13
ThirdWave 11400 W. Olympic Blvd. Suite650 Los Angeles CA 90064 310.914.1480 Fax 310914.1490
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Functionality of SpatialENTERPRISETM and SpatialENTERPRISETM Web
SpatialENTERPRISETM Desktop
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Single administrative functions for Spatial data servers, documents, business
agents
Full security for spatial environments, spatial features, spatial filters, spatial
business agents, document business agents
Create spatial filters and store in an enterprise server
Define filters with an intelligent description for easy data access
Create spatial features and store in an enterprise server
Define spatial features with an intelligent description for easy data access
Define spatial feature symbology (point/line/polygon style, color, width, symbol,
scale factors) and store in an enterprise server
Create environments on the fly and store in an enterprise server
Select environments from a global drop down list
Select spatial features from a global drop down list for adding or removing from
any environment
Select spatial filters from a global drop down list for adding or removing from any
environment
Create queries for attribute labels and store in an enterprise server as a feature
definition
Store images in an enterprise server as a feature definition
Create queries for attribute fields and store in an enterprise server as a feature
definition
Create queries for spatial definition and store in an enterprise server as a feature
definition
Create queries for thematic display and store in an enterprise server as a feature
definition
Create queries that are user field “prompt” and store in an enterprise server as a
feature definition
Create environments as drill down windows and relate to any spatial feature
View drill down environments for images, spatial features, CAD drawings,
queries
Handle same functionality for drill down spatial window as the initial spatial
window
Publish all environments for the WEB
Easy-to-use Wizard which relates spatial features properties to document
properties
Easy-to-use Wizard which relates spatial features to predefine Access forms
Easy-to-use Wizard which relates spatial features to predefine Crystal Report
Writer reports
View a list of documents attached to a spatial feature
Attach documents to one or multiple spatial features
View a list of documents related to a spatial feature
System Description & Response to Section 2.3
2.14
ThirdWave 11400 W. Olympic Blvd. Suite650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
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Select documents associated with a spatial feature that meets specific criteria.
Criteria can be based on document properties, folders, classes, or text content
Select documents using ad hoc query
Launch external programs and pass information about the selected spatial
feature
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Locate spatial features attached to a document
Pan to spatial features attached to a document
Zoom to spatial features attached to a document
Handle plotting support for GIS and CAD as individual windows or in batch
operations
Handle CAD Viewer and Redline or markup file capability
Handle Spatial analysis tools: Buffer zones, What if queries, Thematic mapping
Handle the seamless integration of Integrated Document Management &
Workflow
Handle integrated document check in I checkout
Handle integrated document version and revision control
Handle integrated document routing and approval of Engineering Change Orders
Handle integrated CAD with advanced document management and process
automation
l Handle regulatory compliance tracking and reporting
l Handle IS0 9000 quality procedures and change management
l Automatic archive & reclaim by date, document class or user name
l Query by document properties or text engine search
Specialize Add-on Agents
l Easy-to-use Wizard which relates spatial features to business process forms and
reports as add-on agents.
SpatialENTERPRISETM WEB
Full security rights establish from desktop
Select from a drop down list of published environments
View a drop down list of predefined spatial features for a published environment
Select which spatial features to view from a published environment
View a combinations of spatial features without downloading new data, reducing
web traffic
Select a spatial object and view a list of associated documents
View multiple document types without the application that created the document
View CAD engineering drawings
Handle redlining of engineering drawings
Allow document checkin/checkout, viewing, changing and printing functionality
View drill down publish environments
View associated documents within any drill down publish environment
0 1999
System Description & Response to Section 2.3
2.15
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
Document Management System
City of Carlsbad July 6, 1999
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2.2.62. Planning has recently installed Permits Plus which offers a workftow capability.
Please describe any capabilities to interface your workflow solution with Permits Plus’ offering.
There are two ways to achieve this integration:
1) SpatialENTERPRISE ArcView has a built in Agent Manager, which allows the
user to communicate with external business applications. An agent can be
written to connect to Permit Plus, thus allowing the user to access the desired
information from a single interface.
2) A complete integration between SpatialENTERPRISE ArcView and Permits
Plus can also be achieved. SpatialENTERPRISE has currently has developed
an integration between SE ArcVIEW and Hansen’s V7 Permit Tracking (called
Integrated Data tracking System), and are currently in the process of providing
a similar integration for the City of San Jose, CA.
In simplest terms, a user can input information (APN#, Street Addess, Name) into
the permit system. Ask the system to “map it”, thus bringing up the associated
parcel within ArcView and from that parcel show all associated documents within
Panagon. This integration is multi-directional, a user can start with permits to find
documents or the map, or start with the map to find documents or permits.
2.2.63. What is your approach to migrating from one storage medium to another as new
technology becomes available?
Storage media is one of the most dynamic areas of information management
today. As we pointed out earlier, we believe that it would be best to store the City’s
documents on hard disk at this time. As alternate storage methods become
available migration will be very easy.
2.2.64. How do you provide disaster recovery? Are RAID and mirroring available?.
System level and database level backups methods are provided. RAID and
mirroring is available.
2.2.65. How do you backup your system?
At the system level and at the database level.
2.2.66. Describe features that enhance the performance of your system: cache management, writing to optical disks, client workstation performance, etc.
Caching is handled by the RAID approach that we are providing.
2.2.67. Describe any system monitoring tools you provide
0 1999
System Description & Response to Section 2.3
2.16
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
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2.2.68. Describe system reports, differentiating standard from optional report generators
and reports.
The system administrator has the ability to check for logged on users, storage
usage, database space usage and processor usage and print the results as a
report. All of the MS SQLServer reporting tools are available to customize any
other report desired.
2.2.69. Provide minimum standards for PC workstations. Provide optimal workstation
standards.
The desktops required for the application are Pentium Processor, High resolution
display, 50 MB disk space, 32 MB RAM (64 MB RAM recommended for
developers), Microsoft Windows 95 or Windows NT 4.0, for web browsers;
Microsoft Internet Explorer 4.0 or greater or Netscape Communicator 4.0 or
greater.
2.2.70. Describe electronic forms capability your system includes.
ThirdWave has developed an automated Agenda Report form which is completely
integrated with FileNET Panagon. Other electronic forms are available via Shana
forms or Jet forms.
2.2.71. Describe your COLD offering.
Panagon Report Manager reads report files received electronically from a
mainframe or other host system. Then it automatically indexes, sorts, and stores
the reports. The reports can then be queried, viewed, analyzed, and annotated with
comments, all online.
2.2.72.
2.2.73.
2.2.74.
will your system support existing HP networked printers? HP 650 large format
printer? Will accelerator boards or other enhancements be required?
Yes. In general, all Windows supported printers are supported by Panagon.
Does your system interface with IVR?
Through third party products.
Describe your company’s involvement with user groups.
The system administrator has the ability to check for logged on users, storage usage, database space usage and processor usage.
FileNET’s UserNET users group is the largest, most respected users organization
in the document management industry. ThirdWave and FileNET are very active in
the user’s group and take direction from the group at large.
0 1999
System Description & Response to Section 2.3
2.17
ThirdWave 11400 W. Olympic Blvd. Suite650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
Document Management System
City of Carlsbad July 6, 1999
2.2.75. Describe your approach to the City’s conversion requirements:
A. Where will conversion take place? The City Clerk will consider onsite and
oKsite conversion. (It may also be easier for the vendor to convert drawings and
maps onsite because knowledgeable City staff would be available to answer
questions.)
ThirdWave will perform document preparation and scanning at either City’s facility
in Carlsbad or the IKON Conversion Operations Center in Walnut Creek, California
(our sub-consultant). If document preparation and scanning is to be performed on- , site, it is assumed that the City will provide appropriate facilities for conversion
operations. We intend to operate up to two shifts per day, five days per week, with
the option of extending the work week to meet any project time constraints.
Formatting and recording will be performed at whichever location is decided by the
City to be most appropriate.
B. What quality control procedures do you follow?
- How do you handle poor quality documents.
- How do you handle poor quality images from good documents?
- How do you verify the accuracy of indexed data?
Since the responsibility for quality assurance belongs to all management, IKON’s
Quality Assurance Team consists of the Project Manager, the Quality Assurance
Manager, the on-site QC staff and the Vice President of Field Operations.
Project Manager: To be assigned
QA Manager: Larry Lehman
Director of Operations: Claire Marynowski
As a group their responsibilities include:
l Working with the project staff to establish project quality requirements
l Configuring IKON’s quality program to meet the project specific requirements
l Assist in modifying IKON’s quality control procedures to meet these project
requirements
l Define the project metrics that will demonstrate quality compliance
Even though this responsibility is shared, the execution of quality assurance tasks belong to the Quality Assurance Manager. These tasks include:
rn Ensuring the quality control procedures are being utilized
o Reviewing the site’s operations to insure:
- The documented procedures and objectives satisfy the City’s
requirements - The documented procedures are being followed
0 1999
System Description & Response to Section 2.3
2.18
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
Document Management System
City of Carlsbad July 6, 1999
- The performance objectives are being achieved
- The procedures and goals continue to satisfy the City’s requirements
l Reporting on the project quality status
The Quality Assurance Manager will assist in the planning and pilot phases of
the project, developing the Quality Assurance Plan. He will work with our
Project Manager to insure the appropriate CIA and QC procedures are
implemented and working through all of the production processes. Once the
project is in the execution phase, the QA Manager will conduct periodic
I inspections of the site, review production statistics, and participate in project
reviews.
Project Quality Management includes all the processes required to ensure
that the project will satisfy the needs for which it was undertaken. Project quality management through three processes will be conducted:
i Quality Planning - identifying which quality standards are relevant to the
project and determining how to satisfy them.
l Quality Assurance - evaluating overall project performance on a regular
basis to provide confidence that the project will satisfy the relevant quality
standards.
l Quality Control - monitoring specific project results to determine if they
comply with the quality standards and identifying ways to eliminate
causes of unsatisfactory performance.
During the planning stage, IKON’s Quality Assurance Team will identify which
quality standards are relevant to the project, document them, and assign
roles and responsibilities and reporting relationships to the team. They will
establish a customized quality program for the City’s project based on quality
policies, the project scope, and deliverable requirements.
Generally accepted project management tools and techniques will be used to
determine the optimum solution for quality assurance. They are benefit and
cost analysis, benchmarking, and flowcharting. The goal of this effort will be
to create well-defined quality requirements, procedures to achieve these
requirements and metrics to verify compliance. The results of this effort will
include:
l Image quality and index accuracy specifications
l Sampling guidelines
l Measurement procedures
l Acceptance criteria
Based on this effort, we will modify our standard quality control methods and
corresponding metrics. The output will be a Quality Assurance Plan that
complements the Conversion Services Project Plan.
System Description & Response to Section 2.3
0 1999 2.19
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
Document Management System
City of Carlsbad July 6, 1999
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Inspection Sampling Levels
The goal of quality assurance will be to ensure that the City’s quality
requirements are met. To accomplish this, we will work with the City to
develop a comprehensive program which includes the
processes of identifying objectives and strategy, of client
interfacing and of organizing and coordinating planes
and systematic controls for maintaining established
standards. This in turn involves measuring and
evaluating performance to these standards, reporting
results and taking appropriate action to deal with
deviations.
Inspect ion Rejection
Multiple bathes
accept4
Quality assurance and quality control will be addressed in the following.
The Project Management Institute’s “Generally Accepted
Practices” will be used to determine the optimum
solution for its Quality Assurance Program. Quality assurance will be performed using the following inputs:
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l Quality Management Plan - to describe how the
project management team will implement its quality
policy (Le. organizational structure, responsibilities,
procedures, processes and resources needed to
implement quality management).
l Results of Quality Control Measures - to gauge
progress and provide feedback.
l Metrics - to define what is being measured (e.g.
document preparation, scan operations, indexing, image
quality) and how is it measured.
Multiple batches The City can expect the end result of Quality Assurance
Program to be the implementation of quality
improvements including the taking of corrective actions
to increase the effectiveness and efficiency of the
project.
ThirdWave recognizes the uniqueness of each
conversion project and its requirements. To
accommodate this, we have a standard quality control
system that we modify for use in each project. In this section, we present our standard set of procedures as
we currently see them modified for the City project. In
presenting this, we recognize that many of these procedures may change as
the detailed project requirements are developed with the City during the planning phase.
The Quality Program used by IKON employs prevention, statistical sampling,
tolerance and inspection, consistent with the methodologies presented in
System Description & Response to Section 2.3
0 1999 2.20
ThirdWave 11400 W. Olympic Blvd. Suite650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
Document Management System
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PMl’s Guide to Proiect Manaoement Book of Knowledge, MIL-STD-105D,
ANWASQC 21.4 and various academic texts. After analyzing the City’s
quality requirements, an Acceptable Quality Level (AQL) will be established
for the various inspection points. Based on the AQL, the appropriate
sampling and inspection procedures, both manual and automated, will be
defined.
IKON uses high-volume, high quality paper scanners, which balance
production performance and quality. Image quality will vary based on the
: quality of the source media. Our goal during the planning stage will be to
establish a set of baseline scanning parameters for each document
population. These baseline scanning parameters will be set to produce
optimal image quality across the entire document population. At the
beginning of each scan shift, test targets designed by the Association of
Information and Image Management (AIIM) will be used and compared to the
baseline to insure the capture equipment is working properly.
IKON realizes that inspection procedures will only be effective if they are
applied at the appropriate checkpoints in the process. Those points in
IKON’s conversion process are:
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l At receipt of files from the City
l After document preparation
l During scanning
l After scanning
l After index and image processing
l After recording
l Before returning files to the City
Specific procedures for each of these critical quality control points have been
developed to evaluate the success of the previous processes.
Document Preparation (dot prep): To verify correct document preparation,
a dot prep Quality Control inspector samples and reviews the prepared
documents. Each dot prep clerk will be individually tracked through a
stepped sampling process. Initially, the sample will be 100%. As each clerk
meets the quality requirements, the sample size will be reduced to 50%. If
the sampling continues to meet the quality requirements, then the sample
size may be reduced to the appropriate size as dictated by the AQL tables.
The inspection process will consist of the QC inspector reviewing the
selected folders for physical dot prep quality, looking for incorrectly identified
documents, missed binding mechanisms, damaged pages, incorrectly
applied/inserted barcodes, and other conditions that should have been
caught by the dot prep clerk. Any defects will be tagged and noted on the clerks QC log sheet. The box will be returned to the dot prep clerk for repair,
additional instruction being given as necessary. Quality and production
System Description & Response to Section 2.3
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Document Management System
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statistics will be maintained on all clerks and will be reviewed by their
supervisors. (Promotions, pay raises and performance bonuses are based on
these statistics.)
Scanning: At the scanner, the QC process includes daily scanner
maintenance, performance verification at the start of each shift, and
continuous image quality monitoring. Two operators will be used at each
scanner to improve both quality monitoring and production throughput.
Post Scanning: After scanning, a Scan QC inspector will perform an
inspection of the scanned batch. The inspector looks for image quality, barcode capture verification and blank image deletion, The Scan QC
inspector will review images according to the QA methodology in the QA
Plan. Based on the results of the inspection, the batch will be returned for
rework or passed onto recording.
Post Index and Image Processing: After scanning, the images and bar
code data will go through final processing (formatting, QA, and recording).
The first step will be the translation of bar code data to formatted index data
and required image masking. The main purpose of this processing step is to
translate the bar code data to formatted index data required by the City’s
imaging system and perform the back side deletion process. A statistical
sampling of the images and their associated index data will be inspected and
processed in accordance with the QA Plan.
Reconciliation After Image Recording: After each document population
has been recorded to optical disk, a complete reconciliation of that document
population based on boxes, batches and documents will be conducted. This
reconciliation will insure that all of the documents we pulled from the shelves
were delivered back to the City as fully indexed images.
Speciw bow long conversion will take.
We understand that the backfile conversion project needs to be completed
during Phase 1, which will encompass a six-month period. After a 4 to 6 week
Pre-production Set up period, we plans to complete 200dpi Production
scanning in a 14 week timeframe, and the optional 300dpi Production
scanning in a 22 week timeframe.
How many documents and drawings would be submitted in a batch to meet
production schedules?
IKON has structured all conversion operation around a batch process that
allows work to be segmented and tracked in batches. Employing
computerized tracking coupled with manual control procedures, a batch
tracking and workflow management system provides accountability and
traceability for each individual document received and processed. ThirdWave
System Description & Response to Section 2.3
2.22
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
Document Management System
City of Carlsbad July 6, 1999
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will work with the City to determine mutually agreeable batch sizes and
turnaround timeframes for batches. This information will be documented in
the detailed Conversion Services Project Plan (CSPP) that will be created.
0 1999
System Description & Response to Section 2.3
2.23
ThirdWave 11400 W. OlympicBlvd. Suite650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
Document Management System
City of Carlsbad July 6, 1999
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Section 3
Compliance Matrix
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3.1 Compliance Matrix Spreadsheet, Response to Section 2.4 of RFP
This section describes the features and functions of the system as requested in the City of
Carlsbad’s RFP, paragraph 2.4.1.
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2.4.2.3
2.4.2.4
2.4.2.5 2.4.3
2.4.3.1
2.4.3.2
2.4.3.3
2.4.3.4
2.4.3.5
Yes
Yes
Yes -
Yes
Yes
Yes
Yes
Yes
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Managing both Images and Electronic Documents
ThirdWave will develop a “Shopping Cart” that queries the
document management system for the public user’s request,
queue’s the requested documents for printing, computes the
number of pages and cost, prints in the cashiering area and
gives the ability to remove documents from the queue and
re-compute fees.
Capturing
Scanning Requirements
Panagon Capture allows the capability to use bar codes for
Indexing and has built in OCR capabilities. FileNET does
not generate bar codes.
FileNET does not generate bar codes. They are used to
read index information, but not to produce bar codes. Bar
codes can be created through the use of a bar code font.
Compliance Matrix 3.1
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
Document Management System
City of Carlsbad July 6, 1999
2.4.4.5 Yes
2.4.4.6 Yes
2.4.4.7 Yes
2.4.4.8 Yes
2.4.4.9 Yes
2.4.4.10 Yes
2.4.4.11 Yes
2.4.4.12 No
2.4.4.13 No
2.4.4.14 Yes
2.4.4.15 Yes
2.4.4.16 Yes
2.4.5 ---
2.4.5.1 Yes
2.4.5.2 Yes
2.4.5.3 Yes
2.4.5.4 No
2.4.5.5 No
2.4.5.6 Yes
2.4.6 ---
2.4.6.1 Yes
2.4.6.2 Yes
2.4.6.3 Yes
2.4.6.4 Yes
2.4.6.5 No
2.4.7 m-m
2.4.7.1 Yes
2.4.7.2 Yes
2.4.7.3 Yes
2.4.7.4 Yes
2.4.7.5 Yes
2.4.7.6 Yes
2.4.7.7 Yes
2.4.7.8 Yes
2.4.7.9 Yes
2.4.7.10 Yes e 4-14 \I- -
There is not a status flag in the system out of the box. Such
functionality would have to be customized. However, the
process is relatively simple: Images are scanned and the user who does the scanning can review the quality of the
pages, use image enhancement features to improve it and
rescan it if needed.
It is not possible to enter index values until the document
has beenscanned.
Indexing Requirements
This feature would have to be customized. There is no
repeat functionality.
This feature would have to be configured within a workflow
script.
Retrieval Requirements
This will have to be customized. There is no such
functionality out of the box.
Navigation
2.4./.11 1 yes I
Compliance Matrix rl)q 0 1999 3.L
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
Document Management System
City of Carlsbad July 6, 1999
2.4.7.12
2.4.7.13
2.4.7.14 2.4.8
2.4.8.1
2.4.8.2
2.4.8.3
2.4.8.4
Yes
Yes
Yes m-m
Yes
Yes
Yes
Yes
I2.4.9 -mm
2.4.9.1
2.4.9.2
2.4.9.3
2.4.9.4
2.4.9.5 2.4.10
Yes
Yes
Yes
Yes
Yes mm-
2.4.10.3
2.4.10.4
2.4.10.5
2.4.10.6
2.4.10.7
2.4.10.8
Yes
Yes
Yes
Yes
Yes
Yes
2.4.10.10 Yes
2.4.10.10.1 Yes
2.4.10.10.2 Yes
2.4.11.2
2.4.11.3
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Yes
Yes
Workflow Requirements
The workflow software is from FileNET. The Panagon
Integrated Workflow product will meet all of the City’s
requirements.
User t-tell,
Public Access Requirements
This geographic functionality is scheduled for phase 3 when
the GIS integration is scheduled
ThirdWave will develop a “Shopping Cart” using Panagon’s
Active Server Pages that queries the document
management system for the public user’s request, queue’s
the requested documents for printing.
The “Shopping Cart” will query the document management
system for the public user’s request, queue the requested
documents for printing, compute the number of pages and
cost, print in the cashiering area and give the ability to
remove documents from the queue and re-compute fees.
The “Shopping Cart” will provide a receipt:
This geographic functionality is scheduled for phase 3 when
the GIS integration is scheduled
Database
Compliance Matrix
3.3
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
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Document Management System
City of Carlsbad July 6, 1999
2.4.12
2.4.12.1
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2.4.12.2
2.4.12.3
2.4.12.4
2.4.12.5
2.4.12.6
2.4.12.7
2.4.13
2.4.13.1
2.4.13.2
2.4.14
2.4.14.1
2.4.14.2
2.4.14.3
2.4.14.4
2.4.14.5
2.4.14.6
2.4.14.1
2.4.14.1.1
2.4.14.1.2
2.4.14.1.3
2.4.14.1.4
2.4.15
2.4.15.1
2.4.15.2
2.4.15.3
2.4.16
2.4.16.1
2.4.16.2
2.4.16.3
2.4.16.4
2.4.16.5
2.4.16.6
me-
No
No
No
No
No
No
No ---
Yes
Yes w-w
Yes
Yes
Yes
Yes
No
Yes -se
Yes
Yes
Yes
Yes mm-
Yes
Yes
Yes ---
Yes
Yes
Yes
Yes
Yes
Yes
Reporting
There is extensive auditing functionality that can be
reviewed online. In order to get this type of data in a report
format, crystal reports can be created that produce reports
based on the audit information that is stored in the database
tables. There are no out of the box reports in FileNET. The
administrator can modify the reports through the crystal
report tools. Also, until the document is in the library, there
is no trace of this document and therefore, some custom
work will have to be done in order to provide reports on
documents scanned but not yet committed to the library.
Same comment as 2.4.12.1 above.
Same comment as 2.4.12.1 above.
Same comment as 2.4.12.1 above.
Same comment as 2.4.12.1 above.
Same comment as 2.4.12.1 above.
Same comment as 2.4.12.1 above.
Fax
System Administration
With the exception of generic Windows help screen
modifications like bookmarks.
Security
This is an NT feature outside of FileNET Panagon. Panagon
shows a list of users then the administrator can expand the
profile of a user to get the rest of the information requested.
Storage
ThirdWave is proposing to use all RAID storage
ThirdWave is proposing to use all RAID storage
ThirdWave is proposing to use all RAID storage
Architecture
Compliance Matrix
0 1999 3.4
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
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Compliance Matrix
0 1999 3.5
ThirdWave 11400 W. Olympic Blvd. Suite650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
Document Management System
City of Carisbad July 6, 1999
Section 4
Training Plan
4.1 Training Plan
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ThirdWave has extensive experience in developing and \rGY~
providing generic and custom tailored training programs for ‘,
Information Technology we implement for our clients. We
strongly believe in assisting our clients with knowledge
transfer. This serves to create the self-sufficiency
necessary for City staff to take ownership of the new DMS
implemented, minimizing future dependencies on outside
resources. The training program will be custom tailored to
the specific needs of the City of Carlsbad, and the staff to
be trained.
The training planned for the City of Carlsbad includes formal on-site Systems Administration
and User training from FileNET Corporation in addition to ThirdWave. The following
describes an overview of our training approach, consisting of:
l Develop Detailed Training Plan
l Develop Training Materials
l Provide Training: End User and IS Staff
4.1.1 Develop Detailed Training Plan
ThirdWave will develop a detailed training plan by verifying the specific training requirements
identified in the RFP. Training requirements will include a detailed assessment of the training
needs within each department, as determined by the Pilot projects, e.g., the City Clerks
Office and Community Development/Public Works. In general, the following will be identified:
l Who should gets trained in each department or division, validate the number of trainees.
n City Clerk Staff
. Water AutoCAD Specialist
n Engineering AutoCAD Specialist
n Streets AutoCAD Specialist
= Others as necessary
Training Plan
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Document Management System
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l Identify each group’s unique requirements, e.g., electronic workflows, information access
and processing.
l Application training required by each staff, e.g., the FileNET commercial off-the-shelf
modules or the custom applications developed for the City.
l Identify and document the training logistics, i.e., develop a training schedule with
corresponding classes, dates, times and locations.
l Assign a ThirdWave staff to work with the City’s Project Manager in coordinating all
training related resources and issues.
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4.1.2 Develop Training Materials
ThirdWave will use professional designed and produced training materials as part of the
Training Program. A combination of two types of training materials will be used for the City’s
DMS project:
l FileNET Training Materials
l City of Carlsbad Custom Tailored Training Materials
FileNET Training Materials
For the generic system and application overviews and standard features and functions, standard FileNET training materials will be used. This is a complete set of formally designed
and printed instructional materials. There will be no need to develop training materials for
this training, as the most appropriate and existing training modules will be used.
City of Carlsbad Custom Tailored Training Materials
ThirdWave will prepare custom tailored end-user training materials (e.g., demonstrations,
PowerPoint presentations, sample exercises, and class handouts) on the new DMS and
related applications. These training materials will be specifically designed to reflect the
requirements of each user group.
In Phase 2, these materials will cover all customized features, such as custom properties and
the Cashiering “Shopping Cart” application developed.
4.1.3 Provide Training
Our project team offers the City expert trainers in the computer industry with extensive
experience in formal classroom training. A number of our trainers not only have professional
experience in developing curriculum, but have also taught at the university level. It is also
important to note that our trainers have developed successful technical training programs
over many years. Our trainers are very technical, but have the rare ability to impart technical
knowledge to the end-users in an easily understandable manner.
Using the training materials identified above, there will also be two types of training:
l FileNET Product Training
l Custom Tailored Training
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Training Plan
4.2
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
Document Management System
City of Carlsbad July 6, 1999
C IS Staff FileNET Systems Administration Training
Systems Administration training will be provide to the City’s IS Staff. This will consist of six
(6) - eight hour training sessions. The first part of the class will be a systems review of the
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FileNET configuration. For the most part, this part of the training will use FileNET’s standard
training documents. The second part of the class will focus on the City’s unique DMS
environment, and the corresponding system administration and operation. The City of Carlsbad Systems Administration Guide, developed as part of the project, will be used in the
Systems Administration class. This training will be led by FileNET, and supported by
ThirdWave’s staff with additional information developed to cover the unique installation and
configuration of the City’s DMS.
City of Carlsbad End-User Custom Tailored Training
The end-user training for City staff will be customized to reflect the unique environment and
requirements of the City. Based on the parameters identified in the RFP, that some users will work exclusively with text documents, some exclusively with drawings, and some with both,
end-user training will be organized using a cafeteria style approach. Thus, everyone will not need to take all of the training sessions. This will allow for a higher level of focus in each
class, and consequently, a higher level of understanding and retention on the part of the
students.
l General System Overview
l Working with Text Documents
l Working with Drawings
l Custom Electronic Workflows
General System Overview
This training module will be the foundation class to all of the others. This session will consist
of general end-user system operation, including:
0 System Overview
l Electronic Document Management Concepts
l FileNET Application Overview
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All City staff using the DMS will take this class.
Working with Text Documents
This training will be focus on end users who will mainly be working with text documents. All
City staff will take this class. This session will consist of general end-user system operation,
including:
l Indexing Standards and Procedures
l Importing text documents into the electronic vault
l Scanning text documents into the electronic vault
l Viewing Document
l Full text Searching
In Phase 1, persons taking this class might include staff from: the City Clerk, Community
Development/Public Works, Document Coordinator. In Phase 2, persons taking this class
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Training Plan
0 1999 4.3
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
Document Management System
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would include: the City Council Secretary, City Manager, City Attorney and selected users
involved with the development process.
C Working with Drawings This training will be focus on end users that mainly work with drawings and/or maps. This
session will consist of the procedures for doing the following:
l Indexing Standards and Procedures
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l Importing Drawings/Maps into the electronic vault
l Scanning Drawings/Maps into the electronic vault
.i l , Viewing Drawing/Maps
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In Phase 1, persons typically taking this class would include AutoCAD specialist from the
Water District, Engineering, Streets & Facilities groups, which are all part of Community
Development/Public Works, and the Document Coordinator. In Phase 2, persons taking this
class would include selected users involved with the development process.
Custom Electronic Workflows This training will be focus on end users who will primary users of automated workflow
applications (regardless of the format of the information, i.e., text/drawing). This session will
address workflow specific features, including:
l Workflow Process Model
l The Electronic Library and Sharing Information Concepts
l lntranet and Internet Features and Functions
l Document Creation and Editing Cycles
l Version Control and Check In/Out Features
l Simultaneous Reviews
l Designating Signature Authority
l Full text Searching
l Cashiering “Shopping Cart,” Phase 2.
In Phase 1, persons taking this class might include staff from: the City Clerk, Community
Development/Public Works, Document Coordinator, the City Attorney and selected users
involved with the development process.
Training Plan
0 1999 4.4
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
Document Management System
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Section 5
Project Plan
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5.1 Understanding of the Project Goals & Objectives
ThirdWave has carefully reviewed and familiarized ourselves with the City’s RFP Document.
We understand that the City of Carlsbad has two high level goals that will be supported by
Document Management System Technology.
l Fir&, fo provide infhnation fo the public electronically To that end, the City wants
to install a Document Management System (DMS) that will manage documents
internally, make them available on an intranet, and distribute selected information to the
public via the internet.
The City’s vision is that documents created internally will be imported directly into an
electronic vault that manages versions and internal distribution; and documents
submitted on paper from the public and other agencies will be scanned. The City will
encourage developers and designers to submit plans and drawings electronically as well
as on paper.
l Secondly, the goal is to build an infrastructure Rw knowledge management A
recent survey identified that numerous managers will be eligible to retire in the next few
years. Their experience is vital to the continuing effectiveness of City operations and
services. Implementing the DMS will be key to building a repository of information
supporting the City’s knowledge management program.
ThirdWave further understands that the City expects to achieve specific benefits from DM
technology functionality, for instance:
Electronic worMow for the internal review process - agenda bills, contracts, and agreement
-will provide benefits in a number of areas including quality, productivity and speed.
1. A centralized electronic library of completed documents will allow all departments to share a single copy. Converting existing documents to the new system will be an
important part of the electronic library.
Project Plan
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Document Management System
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2. The system will provide version control, check in/out, which will allow users to ensure
they are working from the correct version of the document. This is important during the
creation process and in the editing cycle, ensuring that comments and revisions are not
lost but are correctly incorporated into the final document.
3. Workflow technology will shorten the review cycle so that contracted work can begin
earlier. This can be accomplished through:
- Simultaneous reviews
- Designating signature authority
, - Group “discussions” facilitated by electronic comments without waiting for everyone
to be available for a meeting
- Instant receipt
4. When preparing new agenda items, users and City Attorney staff will use full text
search to research past decisions impacting new situations. Full text search will also
assist users to identify and copy appropriate language into new documents.
5. The City intends to take advantage of the low cost and friendly user interface of browser
technology to distribute information via an intranef and the internet This is perhaps
the most powerful component in realizing the City’s goals.
5.2 Project Tasks
The approach for the implementation work provides a comprehensive, proven, and formal
methodology.
The City’s RFP outlined the required scope of work for phase 1. Because the requirements
were not necessarily listed in the order of execution, we listed them in the table below. Next to each City requirement, in the column in the far right, is a reference to the ThirdWave Task
Number in the project plan where each requirement is addressed.
Figure 5.7: Scope of Work - Phase 1
2.2.1
1” bullet
Two pilot projects: one in the City Clerk’s Office; one .in
Community DevelopmenffPublic Works. The City Clerk’s
Office will remain at City Hall. Community Development/Public
Works staff will be located in the new Faraday building, about
5 miles from City Hall. The City Clerk: new agenda packets,
minutes, agreements, deeds, ordinances, resolutions.
Task 1.0 -
5.0
ThirdWave 11400 W. Olympic Blvd. Suite650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
2.2.1
2nd bullet
Users of Phase 1 will be the City Clerk staff and AutoCAD
specialists in Water, Engineering, and Streets, which are all
part of Community Development/Public Works.
Task 2.3
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2.2.1 Community Development/Public Works: import and/or scan Task 8.3.2 &
3rd bullet new maps/drawings into an electronic vault. Deliverable
8.3.2.4
2.2.1 Selected system supplier is expected to provide software, Task 2.4,
4’h bullet hardware (except for user workstations) and services to 5.1, 11 .O
ensure the success of the system.
2.2.1 Prototype database and user screens, Modify according to the Task 4.1 &
!jth bullet ., City’s requirements. 5.1
2.2.1 Complete a network analysis to identify upgrades that may be Task 2.1
6’h bullet required to support DM throughout the City.
2.2.1 Work with City Clerk to finalize indexing scheme; work with Task 2.3
7’h bullet Community Development/Public Works subcommittee to
finalize indexing scheme for drawings, plans and maps.
2.2.1 Convert selected sets of drawings from Community Task 9.1.3
8’h bullet Development/Public Works.
2.2.1 Convert selected existing files in the City Clerk’s department Task 9.1.2
9* bullet
2.2.1 Determine feasibility of converting the City Clerk’s index Task 9.1 .I
lOti bullet
2.2.1 Convert existing Engineering Access database to new DMS Task 9.1.3
liti bullet
2.2.1 Convert existing Water District Access database to new DMS Task 9.1.3
12’h bullet
2.2.1 Load converted databases, images and text versions of Task 9.2
13’h bullet converted documents and test
2.2.1 Prepare a site preparation plan Task 3.4
14* bullet
2.2.1 Prepare a detailed training plan. Develop training materials. Task 8.1,
15” bullet Train users and IS staff. The selected vendor will be expected 8.2 & 8.3
to conduct on-site user training classes. Train the trainer will
not be acceptable.
2.2.1 Provide complete system documentation including system Task 7.1
16” bullet designJ database structure, user operation, system
maintenance and administration. Include:
- table definitions
Project Plan
0 1999 5.3
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
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Document Management System
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- defined index fields
- screens
- management reports
- workflow diagrams
- system documentation
2.2.1 Provide description of document storage facilities Task 7.1
17” bullet
2.2.1 ; Provide detailed user manuals/instructions Task 7.2
18’” bullet - System Administration
- Cashiering/Accounting
- Scanning
- Indexing
- System operations (backups, etc.)
- External user documentation/procedures for
remote access
- Fax and billing remote users
2.2.1 Submit project progress reports at regularly scheduled project Task 10.2
1 gth bullet team meetings
2.2.1 Phase 1 is ,expected to be completed in 6 months, starting the Paragraph
20th bullet day of system acceptance 5.6, Project
Schedule
2.2.2 Users & Support Staff, Phase 1 - 19 users Task 3.2,
11.2
2.2.3 Conversion Preparation and Volumes
2.2.4 Conversion Indexing Requirements - City Clerk
2.2.5 Conversion Indexing Requirements - Maps and Drawings
2.2.6 Indexing New Documents - City Clerk
2.2.7 Indexing New Documents - Drawings and Maps
2.2.8 Estimated Volume of New Work for Phases 1 & 2
2.2.9 Retrieval Volume
2.2.10.1 Current Computing Environment
2.2.10.2 Interface with GIS
Task 9.0
Task 9.0,
9.1.1 & 9.1.2
Task 9.1.3
Task 3.1
Task 3.1
Task 3.2
Task 3.2
Task 11 .O
Section 2,
Paragraph 2.2.61,
2.2.62
0 1999
Project Plan
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5.3 Scope of Work
53.1 Phase 1 - Pilot Projects: City Clerk’s Office & Community Development I
Public Works
The City’s DMS phase 1 implementation effort will consist of the following approach to the
work:
T1.l Kick-off Meeting
A project kick-off meeting will be held with the City’s Project Manager and
appropriate City project staff to review: the Scope of Work for the DMS Project,
City/ThirdWave responsibilities, task deliverables, project schedule, and the
Project Management protocol.
Deliverable 7.7: Revise Project Schedule (if required)
T2.1 Network Analysis Working Session
ThirdWave will hold a one on one working session and physical review of the
current network. A complete network analysis will be carried by expert Systems ’ Engineers to identify-upgrades that may be required to support DMS throughout
the City.
Deliverable 2.2: Network Analysis Working Session
T2.2 Site Preparation Working Session
ThirdWave will hold a one on one working session and “walk-through” of the
physical environment. This will be important as a precautionary step in
identifying issues that might cause disruptions and/or delays during the DMS
installation.
Deliverable 2.2: Site Preparation Working Session
T2.3 Workflow Process and Indexing Review Sessions
ThirdWave will hold working sessions to review the existing and/or proposed
workflow processes with the City Clerk and Community Development Public
Works (including the AutoCAD Specialists in Water, Engineering, and Streets).
We shall work with the City Clerk to finalize the indexing scheme. We shall also
work with Community Development/Public Works subcommittee to finalize the
indexing scheme for the drawings, plans and maps
Deliverable 2.3: Workflow Process & Indexing Review Session
T2.4 User Requirements Documentation A summary document of all the end-user working sessions described above, and
their corresponding requirements, will be documented. user requirements. At the conclusion of this task, ThirdWave will order all DMS hardware and software
based on user requirements.
Project Plan
0 1999 5.5
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
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Deliverable 2.4: User Requirements Summary Document
T 3.1 Database Design
The database design task will define properties, primary document types, default
and controlled values. Indexing of new documents will include the following:
t City Clerk - New documents that will be added to the DMS will either be
imported from desktops or will be scanned and OCR’d. (This will allow the
City to use the DMS to support retention schedules.) The following fields will
be incorporated into the database design: (as well as full text versions):
. Document type from pick list
n Document title/name
n Date of document
. Keywords
n Recording number for deeds and other documents with recording
numbers
. Project number
n Retention date
l Drawings and Maps - ThirdWave will work with City’s technical staff to finalize
indexing fields.
Deliverable 3.7: Database Design Specificatioli
T 3.2 Document Management System (DMS) Architecture Design
ThirdWave will design an appropriate DMS Architecture in this task. We will
define users, groups, security, and storage requirements. The system will be
designed to easily handle the following key performance parameters for phasel.
Storage Requirements
l Estimated volume of backfile conversion
l New work processed by the City
Estimated volume of back-file conversion
Calculations for backfile conversion:
1,738,748 8 W x 11 101.6GB
111,000 drawings 51.9GB
New work processed by the City
Calculations for new work year 1:
. 43,3848%x11
l 1,500 drawings
2.5GB
0.7GB
Calculations for new work year 2:
. 43,3848%x 11 2.5GB
0 1999
Project Plan 5.6
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310914.1490
Document Management System
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l 1,500 drawings 0.7GB
Total of Backfile and New Work 159.9GB
Note: The estimates shown above were derived from the information provided in
the RFP (pages 12 and 74).
Users & Support Staff
The following Users and Support Staff for phase 1 was estimated based on the
information provided in the RFP (page 11).
Phase I- 19 users # Users Location Primary Application
City Clerk 7 City Hall text
Community Develop./Public Works 3 Faraday text & drawings
Document Coordinator I Faraday text & drawings
Streets & Facilities 2 Oak Street drawings
Water District 3 Water District drawings
System Administrator/IS 2 Faraday
Training workstation 1 Faraday
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Although users’ primary application is text or drawings/maps, users will be able to
view either format, since the City regularly handles compound documents.
Retrieval Volume
The following Retrieval Volumes for phases 1 and 2 were estimated based on the
information provided in the RFP (page 15).
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Phase 1 # Simult.
Users
City Clerk 3
Corn. Develop./Public Works 3
Corn. Dev. Document Coord. 1
Streets & Facilities 1
Water District 2
System Administrator/IS 2 Training workstation 1
Location Volume per User
City Hall 2-3 dots/hour
Faraday 4-5 drawings/hr Faraday 4-5 dots & drawings/hr
Oak Street 6-8 drawings/hr
Water District 6-8 drawings/hr
City Hall
Faraday periodic use
Phase 2 # Simult. Location
Users
City Council’s Secretary 1 City Hall
City Manager 2 City Hall
City Attorney 3 City Hall
Corn. Develop/Public Works 15 Faraday
Volume per User
2/hour
2/hour
2/hour
2/hour
Technical Documents Performance Parameters:
Project Plan
0 1999 5.7
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
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T 3.3
T 3.4
T 3.5
T 3.6
7 concurrent users will each retrieve approximately 4 drawings an hour and one
text document per hour.
Deliverable 3.2: DMS Architecture Design Specification
Imaging Architecture Design
ThirdWave will define the most appropriate scanning / imaging setup for the City.
This will consist of small and large document scanners and capture software.
Deliverable 3.3: Imaging Architecture Design Specification
site Preparation Plan
ThirdWave will prepare a site preparation plan addressing setting up the office
environment for the servers and scanners, including space requirements,
location, verifying power, network and lighting requirements.
Deliverable 3.4: Site Preparation Plan Document
Conceptual Design Review with Users and Management
A design review session will be held with the City’s Project Manager, appropriate
end-users and management. This review will cover all of the issues addressed in
this task, including: the Database Design, DMS Architecture Design, and Imaging
Architecture Design
Deliverable 3.5: Conceptual Design Review Meeting
Final Conceptual Design Modifications
ThirdWave will incorporate design changes based on input from City staff.
Deliverable 3.6: Final System Design Specification
ThirdWave is proposing to stage the DMS in our office prior to final installation and
configuration at the City. This is done for several reasons.
l It expedites the installation process, as we have easy and immediate access to all of our
company resources, including systems tools, technical literature and technical staff.
l It also provides a controlled environment for software installation and testing, fully under
our control.
l It allows us to deliver the most stable system possible to the customer, where we begin
the process over within the clients systems environment.
T 4.1 Install and customize the DMS library at ThirdWave
Install 1 library on ThirdWave’s Panagon system and configure per the City’s
requirements. ThirdWave will prototype the database and user screens.
Deliverable 4.1: Customized DMS system
T 4.2 Imaging Integration
Install and customize the scanning system at ThirdWave per City requirements
Deliverable 4.2: integrated Scanner and Scanning Software
0 1999
Project Plan 5.8
ThirdWave 11400 W. Olympic Blvd. Suite650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
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T 4.3 Configure City Hardware
Install and customize the City’s system at ThirdWave.
Deliverable 4.3: Working DMS system at ThirdWave
T 4.4 Alpha Testing and Bug Fixes
Test installation and high-level system components in a controlled environment
at ThirdWave. The system will be tuned. A review session will be held at
ThirdWave’s office with the City’s Project and appropriate City staff, where the
City will be provided the opportunity to provide feedback and suggested
modifications. ThirdWave will modify the database and user screens according
to City’s input.
Deliverable 4.4: Test DMS sysfem at ThirdWave
T 5.1 install the DMS system at the City
ThirdWave will install the DMS system at the City of Carlsbad. We shall provide
software, hardware (except for user workstations) and services to ensure a fully
functional system. We will carry out modification / fine-tuning of the prototype
database and user screens according to City’s requirements.
Deliverable 5.7: Working DMS On-site
T 5.2 Beta Testing
ThirdWave will test the DMS installation and all system components
Deliverable 5.2: Tested DMS system on-site
T 5.3 Final Bug Fixes
ThirdWave will correct any system (hardware and software) errors which are the
result of our installation. We will work the City to identify system errors which are not the result of our installation, i.e., network/communications issues outside the
scope of our work. The City will resolve non-DMS issues.
Deliverable 5.3: Fully functional and tested DMS system on-site
T 6.1 Comprehensive On-site Testing
ThirdWave will carry out comprehensive testing of the on-site DMS installation for
1 week.
Deliverable 6.7: Comprehensive On-site Testing
T 7.1 Systems Administration Guide
Project Plan
0 1999 5.9
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
Document Management System
City of Carlsbad July 6, 1999
ThirdWave will develop professionally written and produced installation
configuration documentation. Complete system documentation including system
design, database structure, system maintenance, administration, and storage
facilities including:
l Table definitions
l Defined index fields
0 Screens
l Management reports
9 Workflow diagrams
; System documentation
l Description of document storage facilities
A detailed Systems Administration User Manual will be produced, including instructions for the following tasks:
l System Administration
l System operations (backups, etc.)
Deliverable 7.7: Sysfems Administration Guide
T 7.2 Users Guide
ThirdWave will develop a professionally written and produced User Guide containing information relating to the custom features of the DMS. Complete
documentation will be provided for the user operation. A detailed User Manual
will be produced, including instructions for the following end user activities:
l Cashiering/Accounting
0 Scanning
l Indexing
l External user documentation/procedures for remote access
l Fax and billing remote users
Deliverable 7.2: Users Guide
The training planned for the City of Carlsbad will consist of formal on-site Systems
Administration and User training from FileNET, in addition to ThirdWave. The following
describes an overview of the training tasks:
T 8.1 Develop Detailed Training Plan
ThirdWave will develop a detailed training plan by verifying the specific training
requirements identified in the RFP. In general, the following will be identified:
l Who should get trained in each department or division, validate the number of
trainees.
l Identify each group’s unique requirements
l Application training required by each staff, e.g., the finest commercial off-the-
shelf modules or the custom applications developed for the City.
Project Plan
0 1999 5.10
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
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Document Management System
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l Identify and document the training logistics, i.e., develop a training schedule
with corresponding classes, dates, times and locations.
Deliverable 8.7: Training Plan
T 8.2 Develop Training Materials
ThirdWave will use professionally designed and produced training materials as
part of the Training Program. A combination of two types of training materials will
be used for the City’s DMS project, existing FileNET training materials and
customized materials for the City.
l FileNET Training Materials
There will be no need to develop training materials for this training, as the
most appropriate and existing training modules will be used.
l City of Carlsbad Custom Tailored Training Materials
ThirdWave will prepare custom tailored end-user training materials (e.g.,
demonstrations, PowerPoint presentations, sample exercises, and class
handouts) on the new DMS and related applications. These training
materials will be specifically designed to reflect the requirements of each user
group.
Deliverable 8.2: City of Carlsbad Custom Tailored Training Materials
T 8.3 Provide Training
Using the training materials identified above, there will also be two types of
training:
l Systems Administration Training
l End User Training
T 8.3.1 Systems Administration Training
T 8.3.1 .I FileNET System Training
FileNET System Training will provide formal product training in four 8-hour
training sessions on-site to the City’s IS Staff. The first part of the class will be a
systems review of the FileNET configuration.
Deliverable 8.3.1.7: FileNET System Training
T 8.3.1.2 Custom Tailored Systems Training
Additionally, two 8-hour training sessions will be provided on the system
configured for the City. The class will focus on the City’s unique DMS
environment, the corresponding system administration and operation. The City
of Carlsbad Systems Administration Guide, developed as part of the project, will
be used in the Systems Administration class. This training will be led by ThirdWave’s staff.
Deliverable 8.3.1.2: Custom Tailored Systems Training
T 8.3.2 End User Training
The end-user training for City staff will be customized to reflect the unique
environment and requirements of the City. Based on the parameters identified in
Project Plan
0 1999 5.11
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
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the RFP, that some users will work exclusively with text documents, some
exclusively with drawings, and some with both, end-user training will be
organized using a cafeteria style approach offering the following end-user
classes:
Deliverable 8.3.2.1: FileNET General System Overview: 4, CHour Classes
Deliverable 8.3.2.2: FileNET Working with Text Documents: 4 BHour
Classes
Deliverable 8.3.2.3: FileNET Working with Drawings: 4,2-Hour Classes
Deliverable 8.3.2.4: Custom Training - Importing / Scanning Maps: 2, 4-
Hour Classes. ThirdWave Custom training for the
Community Development/Public Works staff on importing
and scanning maps into electronic vault:
Deliverable 8.3.2.5: Custom Tailored Electronic Workflow Training: 1, 4
Hour Class
ThirdWave, and our team members, will carry out the City’s conversion program in a formal
and structured manner, to ensure the results and success the City is seeking. The following are a list of assumptions we have made with regards to the conversion tasks.
City Clerk’s Files
The backfiles to be converted consists of Council Agenda Bills, Agreements/Contracts,
Deeds, Council Resolutions, Council Ordinances, Council Minutes, CMWD Minutes,
CMWD Resolutions, Housing/Red Corn Minutes, Housing/Red Corn Resolutions, and
Planning Corn files in paper form. There are 1,738,748 pages to be converted to an
electronic format. (This represents 174,937 documents averaging approximately 10
pages per document.)
Each document population is stored separately from the other populations. A sequential
number is assigned to documents within each population, and the number is contained
on the first page of each document.
The average paper size is 8.5 x 14 inches (approximately 84% of total). 7% are 8.5 x 11
inches. The remaining pages do not exceed 8.5 x 14 inches in size.
The majority of the documents are on bond stock paper. A small percentage is on card
stock paper and onion skin paper (approximately 5% of total).
The vast majority of the pages are in good condition (clean, flat sheets). Approximately
9% of the Deeds are on “old” paper that is showing the effects of age.
Physical pages are organized into documents and documents into folders. There are
approximately 10 pages per document. A stapled group within a folder represents one
document.
ThirdWave will capture page sides as bitonal images at 200 dots per inch (dpi)
resolution. Optionally, if the City elects to require OCR capture, ThirdWave will scan the
documents at 300 dpi resolution.
Project Plan r Ah 0 1999 3:1&L
ThirdWave 11400 W. Olympic Blvd. Suite650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
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l The City Clerk’s database s assumed to be accurate. The database will be sorted into
the same order in which the pages are stored.
Community Development/Public Work Files
l The sheets are stored unfolded.
l ThirdWave will capture page sides as bitonal images at 200 dots per inch (dpi)
resolution.
l Maps and Drawings: . The.City will require the following fields for converted documents:
- Unique document number to tie drawing to the database
- Project number
- Document type (from pick list)
- Date signed
- As-built date
n For Engineering drawings, sheet numbers hand written on drawings must be keyed
manually from the drawing itself. For Water District drawings, sheet numbers are
referenced in a database field.
. For Streets’ plans, the vendor will index from index cards:
- Street name
- Track number
- Drawing number
- Track name
- Developer name
n Engineering has its own Access database. Streets have an index card system. The
City’s Engineering database will be provided to ThirdWave in ASCII delimited flat file format. This database will be converted in order to be used in the document
management system. The database is assumed to be accurate.
n The Water District has its own Access database. Streets have an index card system.
The City’s Water District database will be provided to ThirdWave in ASCII delimited
flat file format. This database will be converted in order to be used in the document
management system. The database is assumed to be accurate.
l The backfile to be converted consists of Engineering final drawings/plans, Water
maps/drawings, and Streets plans. The sheets are in the following approximate
proportions:
Project Plan
0 1999 5.A3
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
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Engineering 70,400 D-size 63%
8,000 C-size 7%
1,600 E-size 2%
Water 30,000 D-size 27%
Streets 1,000 E-size 1%
1 Total 111,000 100%
Location
l ThirdWave will perform document preparation and scanning at either the IKON
Conversion Operations Center in Walnut Creek, California or at the City’s facility in
Carlsbad, California.
l If document preparation and scanning is to be performed on-site, the City will provide
appropriate facilities for conversion operations.
l ThirdWave intends to operate up to two shifts per day, five days per week. ThirdWave
reserves the right to extend this work week to meet any project time constraints.
l ThirdWave will perform formatting and recording at the IKON Conversion Operations
Center in Walnut Creek, California.
T 9.1 Conversion of Community DevelopmentiPublic Works, City Clerk’s files,
City Clerk’s Index, Engineering Access database, Water District Access
database
T 9.1.1 ThirdWave will evaluate and determine the feasibility of converting the City
Clerk’s index
Deliverable 9.1. I: index Conversion Feasibility Findings
T 9.1.2 Convert Selected Sets of Files in the City Clerk’s Department
The ThirdWave Team will carry out the conversion of selected files per the
assumptions noted at the beginning of this task.
Deliverable 9.1.2: Converted Files, indexes and Dafabases
T 9.1.3 Convert Selected Sets of Drawings from the Community
Development/Public Works
Convert existing the Engineering Access database to new DMS. Convert the
existing Water District Access database to the new DMS
Deliverable 9.1.3: Converted Drawings and Databases
Project Plan
0 1999 5.14
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
Document Management System
City of Carlsbad July 6, 1999
T 9.2
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Conversion Coordination, QA and Bulk Loading System
ThirdWave will carry out coordination of the conversion process, including the
following:
l Coordinate conversion deliveries, conduct statistical QA of conversion
subcontractor work.
l Load converted databases, images and text versions of converted documents
and test. Deliverable 9.2: Fully Loaded Converted Data on the On-site DMS
T 10.1 Project Task Management and Coordination with City’s Project Manager
This task will provide ongoing management in two areas regarding the progress
of the work. This activity includes:
n Internal project task management and coordination, task deliverables and
internal project status reviews (percent complete, budget, and schedule
integrity).
l Project coordination with the City’s Project Manager, including ongoing
communication and coordination with the City’s Project manager, the
execution of the work and, resource allocation of ThirdWave and City staff
Deliverable 10.7: Ongoing Project Management and Coordination.
T 10.2 Project Progress Status Reports
ThirdWave’s Project manager will submit project progress reports at regularly
scheduled project team meetings, as determined by the City. On a project of this
type, we would recommend these meetings be held every other week.
Deliverable 10.2 Project Progress Reports at Regularly Scheduled Team
Meetings.
The hardware and software components required to ensure the success of the DMS is
outlined in the following paragraphs. These components will work in conjunction with the
technologies and platforms outlined in the City’s RFP, or with a complete NT environment if
the City chooses to change over from Novell in the future.
T 11.1 DMS Hardware i
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T 1 I .I .I NT Server for FileNET Panagon IDM Document Services
n Dell PowerEdge 6300, Pentium III Xeon, 500MHzUMB Cache with
Redundant Power Supplies
n Multiple Processors, Dual Pentium III Xeon, 500MHzIlMB Cache
n Memory, 3GB RAM, 12 X 256 ED0 DlMMs
Project Plan
0 1999 5.15
ThirdWave 11400 W. Olympic Blvd. Suite650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
Document Management System
City of Carlsbad July 6, 1999
n 6 Bay Hot-Pluggable Back-Plane
n PERC 2/SC Hard Drive Configuration. RAID controller, Quad Channel,
128MB Cache
n RAID 5/SC Hard Drive Configuration
. 6x36GB Ultra-2/LVD SCSI 7200 RPM Hard Drives (“Approximately” 216 GB
total disk space)
= BusinessCare 3 year 4 hour 7x24 on-site support
. 30/70GB DLT Internal Tape Backup
. Seagate Backup Exec V7.2 for MS NT 4.0
i Keyboard, 13.8 Monitor, Mouse, CD Rom
n APC Smart UPS 1400 Watt Ups and NT Shotdown Software
Deliverable 71.1.1: NT Server for FileNET Panagon IDM Document Services
T 11.1.2 NT Server for FileNET Panagon IDM Web Services
l Dell PowerEdge 2300, Pentium III Xeon, 500MHz/512KB Cache with
Redundant Power Supplies
l Memory, 384MB RAM, 3 DlMMs
l 1 x6 Hot-PluggableBack Plane
l Adaptec 2940UW PCI SCSI Controller
l RAID 1 Hard Drive Configuration (Mirriored)
l 2x9GB Ultra-2/LVD SCSI 10,000 RPM Hard Drives
l BusinessCare 3 year 4 hour 7x24 on-site support
l Keyboard, 13.8 Monitor, Mouse, CD Rom
Deliverable 17.7.2: NT Server for FileNET Panagon IDM Web Services
T 11.1.3 Small Document Scanners
l 2xFujitsu 3096GX SCSI Letter/Legal size scanners
Deliverable 17.1.3: Small Document Scanners
T 11.1.4 Large Document Scanner
l 1 Vidar TruScan E size scanner
Deliverable 11.1.4: Large Document Scanner
T 11.2 DMS Software
The following FileNET Panagon application suite proposed by ThirdWave satisfies all of the DMS product features required by the City’s RFP. This
includes satisfying future phases in which the City expects to expand the system
to groups of 40 - 50 users at a time, with up to 250 internal users. The City will
easily be able to install public workstations at Libraries, at City Hall, and at the
new Faraday building. Secured public access over the Internet is already a
feature of the FileNET software being provided by ThirdWave. Software being
provided includes:
l Windows NT 4.0 Server
l MS SQLServer Licenses
l FileNET Panagon Integrated Document Management, Document Services
0 1999
Project Plan
5.16
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
Document Management System
City of Carlsbad July 6, 1999
l FileNET Panagon Integrated Document Management, Document and
Content Services: Two 1 O-pack Simultaneous User Licenses
l FileNET Panagon Integrated Document Management, Capture: Three Capture User Licenses
l Adobe Acrobat Capture (to OCR 45,000 pages to cover new work in year 1)
l Facsys Fax Software: Two 1 O-pack Simultaneous User Licenses
Deliverable 7 1.2: DMS Software
5.3.2 Phase 2 - Expand System to about 40 users
The City’s RFP outlined the required scope of work for phase 2. These requirements are
shown in the table below. Next to each City requirement is the ThirdWave Task Number in the project plan which addresses each specific requirement.
Figure 5.2: Scope of Work - Phase 2
2.2.1
21 st bullet
2.2.1
22nd bullet
2.2.1
23ti bullet
2.2.1
24” bullet
2.2.1
25” bullet
2.2.1
26* bullet
2.2.1
27” bullet
2.2.1
Expand the system to about 40 users from selected
departments that frequently access the City Clerk’s files (the
City Council secretary, the City Manager, the City Attorney,
selected groups within Community Development/Public
Works) and drawings/plans converted in Phase 1.
Add Municipal Code, Council Policies and Administrative
Orders to the electronic library
Develop workflow with electronic signatures for internal
approvals by selecting a small group of users to route
documents internally
Implement electronic submittals of plans and drawings and
import CAD files into the system
Deliver complete documentation for Phase 2 applications and new system components
Develop a training plan for users and train users
This phase is expected to take 9 - 12 months
Submit project progress reports at regularly scheduled project
Task 1.0
through 5.0
Task 5.1
Task 4.3
Task 4.3
Task 7.1 &
7.2
Task 8.1 &
8.3
Paragraph
5.6, Project
Schedule
Task 9.2
0 1999
Project Plan
5.17
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
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City of Carlsbad July 6, 1999
19th bullet team meetings. This task funs throughout the entire project. 1
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The City’s DMS phase 2 implementation effort will consist of the following approach to the
work:
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T1.l Kick-off Meeting
A project kick-off meeting will be held with the City’s Project Manager and
appropriate City project staff to review: the Scope of Work for the DMS Project,
City/ThirdWave responsibilities, task deliverables, project schedule and, the
Project Management protocol for all tasks relating to Phase 2.
Deliverable 7. I: Revised Project Schedule (if required)
T2.1 Site Preparation Working Session.
ThirdWave will hold a one on one working session and “walk-through” of the
physical -environment. This will be important as a precautionary step in
identifying issues that might -cause disruptions and/or delays during the DMS
installation.
Deliverable 2.7: Site Preparation Working Session
T2.2 Working Sessions - Electronic Document Management
ThirdWave will hold working sessions to review the existing and/or proposed
workflow processes with each of the 4 departments.
- City Council Secretary
- City Attorney
- City Manager
- Selected users involved with the Development Process
Deliverable 2.2: Working Session Meetings
T2.3 Working Sessions - Workflow.
One on one working session to develop workflow with electronic signatures for
internal approvals by selecting a small group of users to route documents
internally. This will consist of a simple workflow with 7 steps or less, within 1
controlled group.
Deliverable 2.3: Working Session Meetings
T2.4 User Requirements Documentation
A summary document of all the end-user working sessions described above, and
their corresponding requirements, will be documented. At the conclusion of this
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task, ThirdWave will order all DMS hardware and software based on user
requirements.
Deliverable 2.4: User Requirements Summary
T 3.1 Database Design
Define properties, primary document types, default and controlled values for the
Departments in Phase 2.
De/iverab/e 3.1: Database Design Specification
T 3.2 DMS Architecture Design
ThirdWave will design an appropriate DMS Architecture in this task. We will
define users, groups, security, and storage requirements. The system will be
designed to easily handle the following key performance parameters for phase 2.
Deliverable 3.2: DMS architecture Design Specification
Users 88 Support Staff
The following Users and Support Staff for phase 2 was estimated based on the
information provided in the RFP (page 11).
Phase 2 - 40 users
City Council’s Secretary
City Manager
City Attorney
Selected users involved with
development process
# Users Location Primary Application
1 City Hall text
2 City Hall text
5 City Hall text
30 Faraday text & drawings
Although users’ primary application is text or drawings/maps, users will be able to
view either format, since the City regularly handles compound documents.
T 3.3 Imaging Architecture and Design
ThirdWave will define the most appropriate scanning / imaging setup for the new
Departments. This will consist of small document scanners and capture
software.
Deliverable 3.3: Imaging Architecture Design Specification
T 3.4 Workflow Architecture Design
Define one workflow per the requirements of the City. The will include the
development of process diagram and prototype screen designs. Deliverable 3.4: Workflow Design Document
T 3.5 Conceptual Design Review with Users and Management A design review session will be held with the City’s Project Manager, appropriate
end-users and management. This review will cover all of the issues addressed
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in the previous tasks.
Deliverable 3.5: Conceptual Design Review Meeting
Final Conceptual Design Modifications ThirdWave will incorporate design changes based on input from City staff.
Deliverable 3.6: Final design specifications
T 4.1 Install and customize the DMS library at ThirdWave
Install additional Phase 2 folders on ThirdWave’s Panagon system and configure
per City requirements. Prototype database and user screens.
Deliverable 4. I: Customized DMS system
T 4.2 Imaging Integration
Install and customize the scanning system at ThirdWave per City requirements
Deliverable 4.2: integrated scanner and scanning software
T 4.3 Create Simple Workflow
Develop workflow with electronic signatures for internal approvals by selecting a
small group of users to route documents internally. This is a simple workflow with
7 steps or less within 1 controlled group. Implement electronic submittals of plans
and drawings and import CAD files into the system through the use of the system
:-login and password security, in addition to the City’s Email system security.
Deliverable 4.3: Working Simple Workfiow
T 4.4 Create “Shopping Cart” for cashiering
ThirdWave will develop custom tailored “Shopping Cart” functionality for the
cashiering function.
Deliverable 4.4: Working Shopping Cart for Cashiering
T 4.5 Alpha Testing and Bug Fixes
Test installation and high-level system components in a controlled environment
at ThirdWave. The system will be tuned. A review session will be held at
ThirdWave’s office with the City’s Project and appropriate City staff, where the
City will provided the opportunity to provide feedback and suggested
modifications. ThirdWave will modify the database and user screens according
to City’s input.
Deliverable 4.5: Tested DMS system at ThirdWave
T 5.1 Install the DMS system at the City
Install the DMS system at the City. Provide software, hardware (except for user workstations) and services to ensure the success of the system. The Municipal
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Code, Council Policies and Administrative Orders will be added to the electronic
library.
Deliverable 5.7: Working DMS system on-site
T 5.2 Beta Testing
ThirdWave will test the DMS installation and all system components
Deliverable 5.2: Tested DMS system on-site
T 5.3 Final Bug Fixes
ThirdWave will correct any system (hardware and software) errors which are the
result of our installation. We will work the City to identify system errors which are
not the result of our installation, i.e., network/communications issues outside the
scope of our work. The City will resolve non-DMS issues.
Deliverable 5.3: Fully functional and tested DMS system on-site
T 6.1 Comprehensive On-site Testing
ThirdWave will carry out comprehensive testing of the on-site DMS installation for 1 week.
Deliverable 6.1: On-site comprehensive testing
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ThirdWave will develop a professionally written and produced installation
configuration documentation. Complete system documentation including system
design, database structure, system maintenance, administration, and storage
facilities. Complete documentation for Phase 2 applications and new system
components will be provided
Deliverable 7. I: Systems Administration Guide
T 7.2 Users Guide
ThirdWave will develop a professionally written and produced User Guide
containing information relating to the Phase 2 custom features of the DMS.
Complete documentation will be provided for the user operation. The User
Manual will be augmented to include instructions for the new features and
functions of the DMS. Complete documentation for Phase 2 applications and new system components will be provided.
Deliverable 7.2: Users guide
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T 8.1 Develop Detailed Training Plan
ThirdWave will develop a detailed training plan for the new departments that will
be using the DMS by verifying the specific training requirements identified in the
RFP. In general, the following will be identified:
l Who should get trained in each department or division, validate the number of
trainees.
l Identify each group’s unique requirements
l Application training required by each staff, e.g., the FileNET commercial off-
the-shelf modules or the custom applications developed for the City.
6 Identify and document the training logistics, i.e., develop a training schedule
with corresponding classes, dates, times and locations.
Deliverable 8. I: Training Plan
T 8.2 Develop Training Materials
ThirdWave will use professionally designed and produced training materials as
part of the Training Program. A combination of two types of training materials will
be used for the City’s DMS project, existing FileNET training materials and
customized materials for the City.
l FileNET Training Materials
There will be no need to develop training materials for this training, as the
most appropriate and existing training modules will be used.
l City of Carlsbad Custom Tailored Training Materials
ThirdWave will prepare custom tailored end-user training materials (e.g.,
demonstrations, PowerPoint presentations, sample exercises, and class
handouts) on the new DMS and related applications. These training
materials will be specifically designed to reflect the requirements of each user
group.
Deliverable 8.2: City of Cat&bad Custom Tailored Training Materials
T 8.3 Provide Training
Using the training materials identified above, there will also be two types of
training:
l Systems Administration Training
l End User Training
T 8.3.1 Systems Administration Training
T 8.3.1 .I Custom Tailored Systems Training
One 8-hour training session will be provided on the system configured for the
City. The class will focus on the City’s unique DMS environment, and the corresponding system administration and operation. The City of Carlsbad
Systems Administration Guide, developed as part of the project, will be used in
the Systems Administration class. This training will be led by ThirdWave’s staff.
Deliverable 8.3.1.1: Custom Tailored Systems Training
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T 83.2 End User Training
The end-user training for City staff will be customized to reflect the unique
environment and requirements of the City. Based on the parameters identified in
the RFP, that some users will work exclusively with text documents, some
exclusively with drawings, and some with both, end-user training will be
organized using a cafeteria style approach offering the following end-user
classes:
ileliverable 8.3.2.1: FileNET General System Overview: 4 4-Hour Classes Deliverable 8.3.2.2: FileNET Working with Text Documents: 4 BHour
Classes
Deliverable 8.3.2.3: FileNET Working with Drawings: 4 2-Hour Classes
Deliverable 8.3.2.4: Custom Training - Importing / Scanning Maps: 2 4-
Hour C/asses. ThirdWave Custom training for the
Community Development/Public Works staff on importing
and scanning maps into electronic vault:
Deliverable 8.3.2.5: Custom Tailored Electronic Workflow Training: 4 Hour
Class
T 9.1 Project Task Management and Coordination with City’s Project Manager
This task will provide ongoing management in two areas regarding the progress
of the work. This activity includes
= Internal project tasks management and coordination, task deliverables and
internal project status reviews (percent complete, budget, and schedule
integrity).
l Project coordination with the City’s Project Manager, including ongoing
communication and coordination with the City’s Project manager, the
execution of the work, and resource allocation of ThirdWave and City staff
Deliverable 9.1: Ongoing Project Management and Coordination.
T 9.2 Project Progress Status Reports
ThirdWave’s Project manager will submit project progress reports at regularly
scheduled project team meetings, as determined by the City. On a project of this
type, we would recommend these meetings be held every other week.
Deliverable 9.2: Project Progress Reports at Regularly Scheduled Team
Meetings.
T 10.1 Hardware
T 10.1 .I Small Document Scanners
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l 4 Fujitsu 3096GX SCSI Letter/Legal size scanners
Deliverable IO. I. 7: Small Document Scanners
T 10.2 Software
l FileNET Panagon Integrated Document Management, Document and
Content Services
. Four I O-pack Simultaneous User Licenses
l FileNET Panagon Integrated Document Management, Capture
: Four Capture User Licenses
l Adobe Acrobat Capture (to OCR 45,000 pages to cover new work in year 2)
l Facsys Fax Software: Four lo-pack Simultaneous User Licenses
Deliverable 10.2: DMS Software
T1l.l On-going Technical Support for 1 year
ThirdWave will provide telephone and on-site support (if required) for system and
user help not related to maintenance of systems. An example of the issues
addressed under the support tasks would include system administration and user
help for items covered during training, but forgotten. In general, any question and/or problem encountered - not covered by system maintenance contracts
would be addressed.
Deliverable Il. 1: On-going Technical Support for 1 year
5.4 Project Management Plan
ThirdWave shall plan and manage the execution of all project activities, including tasks and
subtasks and that of our team members, quality of the work, resource allocation, schedule
integrity and coordination with the City’s Project Manager.
ThirdWave will provide a robust and proven project management methodology which has
proven effective for 12 years on close to 80 information technology projects of varying
degrees of scale and complexity. We have managed projects throughout the United States
(East Coast, Southeast, and Pacific Northwest), and in other countries as well. Simply
stated, we manage to the contractual requirements of the job, with a special emphasis on
providing:
0 Professional / Technical expertise
0 Quality products and results 0 Customer satisfaction, as defined by the customer
The methodology for ensuring results is to assign the required resources, execute to the project plan, and perform to the customer’s expectation. ThirdWave will supply appropriate
resources to provide the attention and monitoring needed for the success of each project
Project Plan
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(Design, Implementation, Conversion, Documentation, Training, etc.). In addition, if
required, the project manager has access to all resources within ThirdWave - to ensure that
the desired results are attained. Our project management approach can be summarized as
follows:
1. Perform to the letter of fhe contract Scope of Work, as defined by the Tasks in this
proposal. ThirdWave’s reputation has been built on consistently exceeding the
requirements of the contract - and the expectations of our customers. We are prepared and
capable of doing the same with the City of Carlsbad’s project.
2. Execute the Work per the project schedule, with task orders being carried out in
logical and manageable pieces, with a focus on critical path activities and deliverables.
ThirdWave uses customized automated project management software to document the
status and progress of the work.
3. Continua/ resource requirement planning, monitoring, and adjustment, where
necessary. This will ensure sufficient resource allocation and an optimal fit between a task
and the technical expertise of those responsible for a given task.
4. We employ disciplined project planning, tracking, and reporting as required for
achieving cost controls, schedule integrity, and technical performance. We provide our
project managers with tools and resources to track progress and performance.
5. Ongoing ThirdWave internal project budget reviews, assessing the percent
complete status against dollars / time expended, done at several levels, e.g., subtask,
task, and project level. Cost control is seen as a crucial project management facet of all
projects we carry out. ThirdWave has very tight business controls in place.
6. We will be commifted to the life of the program, and support each City of Carlsbad
project throughout the complete life cycle with whatever oersonnel, resources, and
technoloav are reauired.
7. Technical Capabilities and the integrity of the project team. Our technical
capabilities, via the experience of our team, will be key factors to success. We will preserve
the integrity of the project team for the benefit of the customer. We will meet key personnel
commitments and create an environment for our staff to make long-term contributions,
eliminating disruptions to the work and / or negative impacts to the project schedule.
8. Take the initiative to identify technical risks, and take responsibility for their
resolution. Our project manager and technical manager will use the lessons learned from
previous projects to identify potential problems and develop appropriate solutions.
5.5 Project Personnel
The following pages contain the professional resumes of the staff that will be assigned to the
City’s project: The entire ThirdWave team members have worked together on several DMS
projects for local government agencies over the last two years.
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5.5.1 ThirdWave Resumes
The following pages contain resumes for the following:
Frank Addamo, Project Manager
Kevin Murdoff, Senior EDM/GIS/Systems Engineer
Randall Miller, Senior Systems Engineer
Kaya Mentesoglu, Sr. Web Application Developer
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FRANK ADDAMO, Program Manager
Mr. Addamo has over 23 years of progressively responsible managerial experience with
electronic records documentation, dissemination and management. For the last 14 years he
has been involved with the management of imaging services organizations, marketing, sales
and operations personnel. He is a recognized expert in the imaging implementation market. In 1997 Mr. Addamo received AIIM’s Master of Information Technologies award and in 1998
he received AIIM’S Laureate of Information Technologies in Electronic Document Image
Management award. Mr..Addamo has published numerous articles and has presented at
over 30 national imaging seminars including AIIM;ARMA, DMS Focus, EDM, NIRMA, BIS,
Netcom and Federal Computer Conference.
PROJECT MANANGEMENT: SELECTED PROJECTS
O Orange County Transportation Authority, managed the development of an e-
commerce application for on-line vendor and procurement management.
l Orange County Sanitation District, managed the development of automated workflow
applications.
0 City of Las Vegas Water Pollution Control Facility IT Strategic Plan
Implementation, managed the implementation of a multiple year ITSP, including an
enterprisewide on-line lntranet 0 & M manual.
l City of Las Vegas Water Pollution Control Facility IT Strategic Plan, managed the
assessment of existing MIS environment, information technology requirements, and
development of 5 year strategic recommendations.
l ~.Air Quality Management District; managed the development of lntranet automated
workflow applications.
l Hawaiian Electric Company, managed the implementation of an electronic document
management system and a major document conversion effort.
r PROFESSIONAL EXPERIENCE
lnnodata Corporation, Director, 19964998
Director of an imaging services company. Responsible for marketing strategies and sales
management of an organization which provides outsourcing services to organizations
requiring backfile and day-forward image conversion. Services are performed on-site in a
facilities management roll throughout the US or off-site in regional production centers.
lnnodata acquired International Imaging in January 1996. Some clients included:
l Allergan Continental Airlines
l Chevron Baxter
l State of Nevada ARC0
l Labor Department McDonnell Douglas
International Imaging, Inc., President, 19884996 President of an imaging conversion services company. Responsible for operations
management, marketing strategies, sales management and services operations which provide outsourcing services to organizations requiring backfile conversion and imaging
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systems management. Services performed on-site in a facilities management roll
throughout the US or off-site in regional production centers.
Comarco - Vectuscan, General Manager, 19854988 General manager of an imaging consulting and conversion service company. Responsible
for operations management, marketing strategies and which provided outsourcing services
to organizations requiring backfile conversion and imaging systems management.
United Technologies Lexar, Engineering Services Manager, 19814985
Engineering Services Manager of a digital PBX company. Responsible for Records
Management, CAD and Drafting.
Tylan Corporation, Engineering Services Manager, 19804981
Engineering Services Manager of a diffusion furnace manufacturing company. Responsible
for Records Management, CAD and Drafting.
Rusco Electronic Systems, Design Services Manager, 19784980
Design Services Manager of a card key manufacturing company. Responsible for Records
Management, CAD and Drafting.
CF. Braun & Company, Designer, 19764978
Designer for an engineering/construction company. Responsible for electrical design and
CAD drafting.
Mr. Addamo has experience with the following computer technologies:
EDM/lmaging : EA Systems Re: Solution Application Integration & System
Management Excalibur EFS Integration & System Management,
System Capacity Planning Tools Optigraphics Curator System
Management, Skantek System Administration
Action Technology: Metro 3.0 Developer’s Course, Action Workflow 3.0 Developer’s Course,
Process Modeling Course
FileNET: Panagon EDM API Programming, Level I Panagon EDM
Administrator
Project Management: Managing Information Technology Projects, Master’s Certificate in
Information Technology Project Management (in progress),
Quality Functional Deployment (QFD), Total Quality Management
(TQM), Microsoft Project
Office Automation: Microsoft Office, Word, Excel, Outlook, Microsoft Project, and
Adobe PageMaker
EDUCATION
Engineering East Los Angeles College, Los Angeles, CA
Engineering Pasadena City College, Pasadena, CA
Engineering & Computer Programming Mount San Antonio College, Walnut, CA
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AWARDS & ARTICLES / REPORTS PUBLISHED
AIIM’S Master of Information Technologies Award
AIIM’S Laureate of Information Technologies in Electronic Document Image
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Comparison Report on .Electronic Document Management Systems (1987, 1988, 1989,
1990,1991,1992,1993)
Engineering Document Management Systems Installed between July 1987 and July
1989 (as expert witness for Unisys in Advent vs. Unisys)
Refineries and Regulations (EDMS solutions) - Inform, November/December 1991
On the Wings of Imaging - Document Management, January/February 1992
IO Steps in Document Conversion: Preparing for EDMS - Document Management
Alphabet Soup, Acronyms Have Their Place in Imaging - A//M Dai/y, June 24, 1992
EIM Glossary Addendum - Inform, November/December 1989
Automating Engineering Documentation: The Scanning Solution - Plan and Print,
November 1988
Which Path to Take? Raster or Vector Drawing Conversion - Inform, October 1988
CAD Conversion and Automated Document Scanning - Inform, November 1987
A Short History of Automated Scanning - MicroCAD News, December 1987
Conversion of Manual Drawings to CAD: Use of Automated Scanning - P/an and Print,
March 1988
Answering Einstein: Making Your Imaging System Purchase Work - A//M Conference
Dai/y, April 1991
Engineering An Imaging Dream - Inform, February 1991
Raster or Vector? - Data Conversion Newsletter, September 1988
PROFESSIONAL MEMBERSHIPS
Association for Information and Image Management (AIIM)
Southern California AIIM chapter
Association Records Managers and Administrators (ARMA)
Published author in technical trade journals and public speaker at trade conferences
on the subject of electronic document management systems.
SPEAKING ENGAGEMENTS
AIIM Engineering Special Interest Group, Speaker - 4 sessions since 1988
Al IM, Speaker - 1996
Al IM, Session Chairman and Speaker - 1997
AIIM Greater LA, Session Chairman and Speaker- 1997
ARMA Capitol Chapter, Speaker - 1993
ARMA Coastal Chapter, Speaker - 1995 BIS International EDMS Seminar, Speaker- 1992
Defense & Government Computer Graphics Conference, Speaker - 1992 Documenturn Users Conference, Session Chairman and Speaker - 1997
EDM ‘93, Speaker and Session Chairman - 1993 EDMS Petrochemical Special Interest Group, Speaker - 1992
EDMS User-to-User Forum, Speaker and Session Chaiman - 6 sessions from 1989 - 1995
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FileNET/HP TDMS Seminar, Speaker - 1994
HP World Seminar, Speaker- 1996
Intelligent Mapping ‘90 Conference, Speaker - 1990 National Computer Graphics Assn. Conference, Speaker - 2 sessions from 1990
NetCom and Federal Computer Conference, Session Chairman - 1992
NIRMA Conference, Speaker - 1993 and 1995
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KEVIN MURDOFF, Senior EDMIGISISystems Engineer
As a Senior GIS/Systems Engineer, Kevin Murdoff has been involved in the design and
implementation of GIS systems for over five years. He has extensive knowledge of ESRl’s
ARC/INFO and ArcView applications, as well as UNIX systems administration. Mr. Murdoff
maintains all internal UNIX systems for ThirdWave, specifically IBM RS/6000 workstations.
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ThirdWave Corporation, Sr. EDM/GIS Systems Engineer 1998-present Provide government customers with comprehensive consulting and software development
services to enhance service delivery and establishing enterprise-wide GIS Program. Mr.
Murdoff also provides UNIX systems administration and support. Example of current
projects include:
l Orange County Sanitation District
Design, development and implementation of automated workflow applications utilizing
FileNET Panagon, Visual Basic and Oracle products.
l City of Los Angeles, Community Redevelopment Agency (CRA)
Provide GIS services for a five year contract. Project responsibilities include creation of
base displays supplied and specified by CRA, editing and adjusting various sources of
data, and integration with the latest version of ArcView, and providing LAN/WAN design,
implementation and support services. The GIS consist of HP workstations and servers
utilizing ESRl’s suite of products.
l City of Los Angeles, Department of Transportation (LADOT): Traffic Accident
Information System (TAIS)
Mr. Murdoff is currently assisting in creating a Traffic Accident Information System for
use in collecting and analyzing accident data. The system utilizes ARC/INFO, ArcView,
and Oracle RDBMS technology. The goal of this project is to develop an enterprisewide
multi-agency system that enables data sharing between LA DOT, Los Angeles Police
Department and other agencies such as California Highway Patrol, Bureau of Street
Maintenance, and Bureau of Engineering. In addition, this system will be the foundation
of a new information infrastructure that will provide a universal method for referencing a
variety of transportation related data.
l Orange County Transportation Authority (OCTA)
Provide ongoing GIS / Software development services on an as needed basis over a two
year contract. Assist OCTA staff in the development and maintenance of a
comprehensive transportation database system. Responsibilities included updating data and publishing periodical project summaries, and maintaining master data dictionary and
transaction records of all files. Assist in the development of a GIS file system in a
client/server environment. Carry out spatial data analysis, network assignment, database management, GIS technical report preparation and ArcView program
applications.
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Price Waterhouse LLP, Consultant I Principal Consultant, 1996-1998 Developed workplans and procedures for the rollout of standardized desktop computers at
SONY Pictures Entertainment. Coordinated site preparation for rollout and preliminary
inventory of all existing computers. Developed process for rolling out 500+ computers per
week.
Participated in large reengineering project at Universal Studios. Led effort to standardize
the application development environment including the identification of development
software tools to meet those requirements. Coordinated the evaluation of development methodologies. Developed procedures for documenting and enforcing existing standards,
and requesting new standards. Oversaw enterprise management system evaluation
process.
Acted as UNIX Administrator for data warehouse and software development project at 20th
Century Fox Studios. Provided tutoring in UNIX to technical staff. Helped organize Oracle
database and Forte application development software installations on Hewlett Packard
servers. Evaluated Platinum’s AutoSecure UNIX security software product. Documented
procedures for migrating new releases of custom application from development environment
to testing environment.
State of California Governor’s Office of Emergency Services, UNIX Admin./ ARC/INFO
Team Leader, 1994-l 996
Served as UNIX Administrator for a document management project at the Governor’s Office
of Emergency Services. Constructed and configured Sun workstations and servers and
installed various application software packages. Trouble shooted problems with
interconnectivity between UNIX, Novell, and PC’s. Diagnosed defective hardware and
repaired or replaced damaged parts. Designed and implemented backup and recovery
system. Identified and implemented ways to improve document management system.
Acted as ARC/INFO Team Leader for Geographic Information Systems (GIS) unit. Met with
customers, determined project details/requirements and produced products. Managed workload and assigned projects. Developed standards for collecting and editing data for
map creation.
Mr. Murdoff has experience with the following information technology:
GIS Software: ARC/INFO v 5, 6 and 7.x, PC ARC/INFO, ArcView v 2, and 3.x,
Spatial Database Engine (SDE) v 2.x
Software: Microsoft Office 97 Suite, MS Word, MS Excel, PowerPoint, Adobe
PageMaker,
Programming: Arc Macro Language (AML), C, C++, Assembly, Visual Basic
Operating Systems: Window 3.11, Windows 95, Windows NT, DOS, IBM RS6000, UNIX
Workstations, Macintosh, Solaris, SUN OS 4.1.3, HP-UX Rev. 9.03,
10.x
Output Devices: CalComp 9100/1043 plotters, HP LaserJets, HP 650, 750 and 755CM
plotter
Peripherals: CD ROMs, tape backup devices Cipher CSC 100 g-track tape drive
Project Plan
0 1999 5.32
ThirdWave 11400 W. OlympicBlvd. Suite650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
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Document Management System
City of Carlsbad July 6, 1999
EDUCATION BS, Computer Science,
CONTINUING EDUCATION
California State University Sacramento
. 1999 Programming with ESRl’s Internet Map Server
. 1998 Programming with ESRl’s Map Objects
l 1998 Introduction, Intermediate, and Advanced Visual Basic Programming
. 1998 _ Introduction to Local Area Networks & LAN Cabling Systems
. i 1998 ’ Design and Installation of Ethernet & Token Ring LANs
. 1998 Introduction to Internetwork Design
. 1998 High Speed Campus Backbone Design
l 1997 Designing and lntranet
l 1997 Netscape SuiteSpot Servers 3.0
. 1996 Introduction to Cisco Router Configuration, Advanced Cisco Router
Configuration
. 1996 Introduction to Java Application Programming
. 1995 Network Administration
Project Plan
0 1999 5.33
ThirdWave 11400 W. Olympic Blvd. Suite650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
Document Management System
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RANDALL MILLER, Senior Systems Engineer
As a Senior Systems Engineer, Mr. Miller has over six years experience LAN/WAN design,
installation and support nationwide. He has additional experience project management,
installation, design, consultation, training and support in the areas of client/server
networking, routing/bridging, remote node/remote control connectivity. All aspects of
LAN/WAN and Tl technology. Frame Relay, PPP, ISDN, Token-Ring, Enet, TCP/IP,
IPX/SPX, NetBEUI.
PROFESSIONAL EXPERIENCE
ThirdWave Corporation, Sr. Systems Engineer 1998-present
Since joining ThirdWave Mr. Miller has become involved with providing
implementation/integration services on many key projects, which includes the following:
l City of Las Vegas Water Pollution Control Facility (WPCF 3) Information
Technology Strategic Plan Implementation
Provide development and systems integration services on the following:
l Online Operations Manual lntranet Application
l On-going Technical Support
l Project Management / Coordination
l Other Professional Services as Required
International Automation Associates, Senior Systems Engineer, 19924998
Mr. Miller provided LAN/WAN design, installation and support nationwide services to
numerous clients including federal, state, military and local government, Fortune 1000
companies, utilities, and major manufacturers. Some key projects included the following:
l LLNUNTTF, Lawrence Livermore National Laboratories/Nuclear Technologies and
Testing Facility: Managed the installation of a two million dollar government classified
network consisting of over one million feet of cable, 2663 drops, fifty Synoptics 3000
concentrators containing AppleTalk, Enet, UTP routing/bridging modules and two SUN
Spark Stations running UNIX management software. This project required interfacing
with everyone from high level government employees to on site construction crews. Security clearance required.
l Installed INTEL ProShare video conferencing software utilizing ISDN technology between two separate campuses. Coordinated the resources of IBM, Intel and PacBell
for the purpose of demonstrating distance learning technologies to Prince Charles of
England on his visit to the United States. This very high profile project involved my interfacing with many government officials and received much positive media attention.
Security clearance required.
l West Coast multi-site Frame Relay WAN installation for the largest environmental
company in the nation utilizing 3Com NetBuilder II’s, 3Com Remote Office hubs/routers
and related equipment. Network environment consisted of NetWare servers at all sites
Project Plan
0 1999 5.34
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and an AS/400 running over Enet using TCP/IP and IPX. Trained MIS personnel to
later install the same setup for their East Coast sites.
l SDUSD / San Diego Unified School District (prop. 0). WAN installation (25+ schools)
utilizing Synoptics Enet switches, routers and hubs in a TCP/IP environment. This
installation enabled the students and teachers to access the Internet with Macintosh
workstations. Project involved heavy interfacing with school district officials and involved
much travel in and around San Diego area.
l / Twenty&e states, nation wide installation of remote node/remote control connectivity
integrating CUBIX, Attachmate/DCA/RLN/CITRIX into a very large government classified
NetWare 4.x WAN environment over TCP/IP and IPX. Project provided over 300
Remote Access and Remote Control Windows dial in sessions. This installation
spanned a period of over five months and included on site installation and configuration
of all product, training of MIS administrators and end users at each site, application
integration, extensive travel and post installation support. Security clearance required.
EDUCATION Computer Science,
Computer Science,
Golden West College
Fullerton College, Fullerton, Ca.
CONTINUING EDUCATION
l Microsoft Certified Systems Engineer
l Microsoft Certified Product Specialist
l NOVELL Certified Network Engineer
l 3Com (LAN Hubs/Bridges/Routers/Switches/Concentratorsrrranscend)
l Synoptics / Bay Networks (LAN Hubs/Bridges/Routers/Switches)
l DEC (DEC hub 90, 900, Giga Switch, HubWatch)
l CITRIX Winview & Winframe NT Remote Control Application Servers
l Communications Servers Installation & Administration
l Enterprise Systems Architecture & Maintenance
l Cable Plant Design and Installation
l Microsoft LAN Manager Microsoft TCP/IP Networking,
l DOS & Hardware Microsoft SNA Gateway
l Microsoft Mail & Microsoft Exchange
l NetWare SAA Gateway Network Architecture Standards & Protocols
TECHNICAL TRAINING and CERTIFICATES
l Microsoft Certified Systems Engineer
l Microsoft Certified Product Specialist
l NOVELL Certified Network Engineer
l 3Com (LAN Hubs/Bridges/Routers/Switches/Concentratorsrrranscend)
l Synoptics / Bay Networks (LAN Hubs/Bridges/Routers/Switches)
l DEC (DEC hub 90, 900, Giga Switch, HubWatch)
l Communications Servers Installation & Administration
l Enterprise Systems Architecture & Maintenance
l Cable Plant Design and Installation
Project Plan
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l CITRIX Winview and Winframe NT Remote Control Application Servers
l Microsoft LAN Manager Microsoft TCP/IP Networking
l Microsoft DOS & Hardware Microsoft SNA Gateway
l Microsoft Mail Microsoft Exchange
l NetWare SAA Gateway Network Architecture Standards & Protocols
TECHNICAL SCHOOLS ATTENDED
l Professional Training Center Inst., Los Alamitos, Ca.
l New Horizons Computer Learning Center, Santa Ana, Ca.
l ’ LAN State University (Synoptics), Torrance, Ca.
l lnfotech Information Systems, L.A. Ca.
l Ingram Micro, Santa Ana, Ca. WAVE Technologies, Torrance, Ca.
l Microsoft University, Santa Monica, Ca. NovaQuest InfoSystems, Torrance, Ca.
0 1999
Project Plan
5.36
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KAYA MENTESOGLU, Sr. Web Application Developer
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As a Web Applications Developer, Kaya Mentesoglu has been involved in the design,
development and implementation of commercial and custom developed applications for over
16 years and has been specializing in Internet. and Extranet applications for the past 4
years. During this relatively short timeframe, he has developed hundreds of Internet /
lntranet / Extranet applications for Fortune 500 and Multinational corporations, with a specila
emphasis on business applications and electronic commerce. Mr. Mentesoglu has been a
lecturer at the University level for five years on various topics, including Computer Systems,
Programming, and for Industrial Engineering and Civil Engineering. Mr. Mentesoglu is
certified as a Microsoft Lecturer in Turkey.
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ThirdWave Corporation, Sr. Web I Software Developer 1998 to present
Responsibilities include Internet and lntranet application consulting, design, development,
and implementation, graphic design, and technical support for all of the above. Significant
projects include:
l City of Pasadena Web Site Development, responsible for the redesign the disparate
web pages of 17 departments into a unified, and professional web site. Provide
programming of the City’s new web site, graphic design of a new citywide look and feel,
navigational schema, and web enabled service delivery. The subsequent phase will
entail the development of various web enabled service delivery applications, such as
purchasing, on-line bill payment, etc.
l Orange County Sanitation District Online Purchasing/Contracts Web Site
Development, responsible for the design and development of the 5” enterprise-wide on-
line government Purchasing web site in the country. This site will allow OCTA Contract
Administration and Materials Management to streamline its procurement processes by:
l Posting on-line solicitations, and automatically email vendors registered on the site.
l Allowing vendors to submit price quotes and proposal on-line.
l Automate the contract award process, and automatically post the award.
l Provide automatic notification of the award to the selected vendor via email.
l Allow applicable businesses to apply and get certified as Disadvantaged Business
Enterprises.
SoftDesign. Founder and General Manager
1997-l 998
Istanbul
Established and operated a web design company specializing in Intranet, Extranet, and
Internet applications. Was the leader in the use of E-commerce in Turkey. Created and
launched the first Extranet business-to-business application for a Turkish company with daily transactions averaging $300,000. Grew the company to becvome the premier web
development company in Turkey. Some of the major commerce sites developed for major
corporate customers include:
l Honda, which is located at www.honda.com.tr
l Pfizer Pharmaceuticals, located at www.ofizer.com.tr
Project Plan
0 1999 5.37
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Document Management System
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l Hyundai Motors, located at www.hvundai.com.tr
l The Motherland Turkish Political Party, located at www.anap.oro.tr, which will be used
for the national convention.
l A real estate site for exclusive homes, located at www.acarkent.com
A partial list of other notable web site development projects include the following:
Www.softdesign.com.trl32gun
M.abbate.com.tr
Www.anap.org.tr
Www.softdesign.com.tr/acarkent
INww.softdesign.com.tr/anatolia
Www.araskargo.com
~.escottnet.com/asyafiIm
Www.escortnet.com/ayyildiz
Www.bankapital.com.tr
Www.basco.com.tr
Www.bayindirsigorta.com.tr
Www.baytur.com.tr
Www.bestsigorta.com
M.bilser.com
Www.softdesign.com.trlbiriz
Www.brothertr.com
Www.softdesign.com.tr/brt
Www.compex.com.tr
0 1999
Provides access to archived programs of Turkey’s highest rated news show similar to “60 Minutes” in the US
Turkey’s most prestigious brand of shirts, displaying its product line in an on-line catalogue.
An internet site for one of Turkey’s largest conservative political party,
providing news to its constituents and voters - as well as providing an lntranet for communication between patty branch offices throughout the
country.
Site providing on-line sales of luxury homes for a large development company. Site includes a virtual tour of homes, with panning and
zooming of the interiors.
On-line catalogue for a travel agency services.
Site posting a cargo company’s services and branch office locations.
A Turkish movie production company marketing their new and old films
with trailers viewed on this site.
On-line catalogue of one of the top bathing suit and lingerie manufacturers in Turkey, providing on-line orders.
Site providing on-line banking for a mid-sized Turkish bank. Features included most functions required to carry our banking activities,
including: allowing customers to make deposits, make inter-bank
transfer of funds, make credit card payments, etc.
International shipping firm provides on-line tracking for cargo, allowing
customers to view the exact location and carrier of their cargo.
An insurance company selling home and auto insurance on-line.
A site introducing the Baytur conglomerate, including products in
several industries, e.g., medical, automobile, banking, etc.
An insurance company providing information about its services and policies on-line.
A site for a software developer designed to promote and sell its software packages.
Turkey’s largest diamond jewelry specialist to market their creations on-
line.
A site for the distributor for the Brother Sewing machine in Turkey, allowing for on-line marketing of products designed for industry.
A travel agency marketing their special promotions and packages on- line.
A site for a Turkish trade fair, similar to COMDEX, through which information about participating companies could be obtained. The site
Project Plan
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Www.escortnet.com/dataexpert
Www.escortnet.com/Dfactoring
Www.escortnet.com/ekol
Www.elsanelk.com
Www.escortnet.comleps
Www.escort.com.tr
M.escortenerji.com
Www.escortfinans.com
Www.escortleasing.com
Www.escortmultimedia.com
INww.penguen.com.tr
Www.pfizer.com.tr
Www.photobanktr.com
Www.richmondhotels.com
Wvw.sahin.com.tr
Www.softdesign.com.tr/SezenAbla
\MNw.subarutr.com
Www.sekerleasing.com
Www.teksure.com.tr
Www.ulutrans.com.tr
Www.xn.com.tr
Www.escottnet.com.tr&eniturku
0 1999
provides on-line registration to the fair.
A site to market the products of a software developer.
A site for an investment and loan company.
A site of Turkey’s third largest cargo company, used to market its
services on-line.
A company selling small household appliances, providing on-line
products information.
A site for a human resources company allowing for on-line resume submittal and job searches.
A site for Turkey’s largest local assembler of PCs, a $ 400,000,000
concern, allowing for on-line sales as well as an Extranet for its distributors to be able to order and trace products.
Importer and exporter of Uninteruptable Power Supplies. The site allows users to calculate UPS capacity based on the number of PCs to be supported.
This site allows visitors to order PCs, submit a credit application, and
then runs a on-line credit report on the customer.
This site allows visitors to order PCs, submit a credit application, and
then leases a computer to the customer.
Created on-line shopping cart capability for a computer accessory
distributor.
This is a site for Turkey’s largest frozen foods producer, allowing for wholesalers to order products on-line.
A site for Pfizer in Turkey, the multi-billion / muylti-national corporation,
providing product information and an on-line newsletter for doctors.
An on-line photography exhibit through which photos could also be purchased.
On-line reservation system and information posting for the Richmond
Hotels.
A site providing on-line product information for a Turkish car parts manufacturer.
Site for the on-line sale of national lottery tickets - the first in the country.
A site for Subaru in Turkey, designed to promote its car models.
A site providing on-line leasing applications, allowing the company to run a credit check and sending an e-mail response.
Site used by the manufacturer of Ladies stockings to promote its
merchandize.
An international trucking company site, providing on-line tracking of its trucks in Europe and Asia using the GPS system.
A site for a daily newspaper which has the second largest circulation in Turkey.
A site for a well-known Turkish music group, including lyrics and audio of its songs.
Project Plan
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Www.yokohama.com.tr A site for Yokohama in Turkey, providing an on-line catalogue and
information on this Japanese’s tire products. This site allows customers to choose tire appropriate tire for their needs.
Escortnet. Web Services Manager
1996-l 997
Istanbul
Formed and managed a team of web programmers and graphics artists. Increased
revenues becoming the highest grossing division of Turkey’s then largest ISP. Pioneered
and set the. standards and practices for the Internet and Web industry in Turkey with many
“firsts”. Earned designation as the first Microsoft Solution Provider in Turkey.
Bosphorus University, Registrar’s Office Consultant.
1990
Istanbul 1986-
Developed and implemented computerized student registration at Bosphorus University, one
of the top engineering universities in Turkey. Trained new personnel hired due to a large- scale staff walk-out at the university.
Director. Concrete Laboratory Project, Bosphorus University.
1992-l 996
Istanbul -
Coordinated the establishment of a Concrete Laboratory at Bo azici University. Responsible for fund raising and the purchasing and installation of equipment.
Bosphorus University Summer Language School. Resident Coordinator Istanbul
1987-I 992
Administered a dormitory with at least 30 foreign students who were attending Turkish
language courses.
ESKA n aat. Site Engineer
1986-l 987
Istanbul,
Managed construction site for multi-story parking garage.
Control Engineer. ESKA n aat.
1986
Istanbul, 1985
Oversaw the construction of 60 homes on the Adana lncirlik US Airforce Base.
Sewed as liaison between Turkish construction teams and American base personnel.
Mr. Mentesoglu has experience and expertise with the following Internet Technologies:
Web Programming: HTML, MS FrontPage 98, Java Script, Visual Basic Script (VBS),
Active Server Pages (ASP) programming, Dynamic HTML (DHTML)
Web Solutions: Developing complete Internet package including Intranet, Extranet,
Internet
Network Solutions: NT Networking, Install and maintain NT 4.0 Server, NT 4.0
Workstation, MS-Site Server, MS-SQL Server Graphics &
Presentation Adobe Photoshop 5.0, Adobe ImageReady,
Project Plan
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ThirdWave 11400 W. Olympic Blvd. Suite650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
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Macromedia Flash, PowerPoint 95197, Macromedia Director, Paint
Shop Pro
Programming Tools Paradox, Lotus, Quattro Pro, Excel 95 / 97, MS Access, MS-SQL
Database Programming, Pascal, Qbasics, Active Server Pages (ASP)
UNIVERSITY LEVEL INSTRUCTION
Department of Industrial Engineering, Istanbul University Istanbul, 1997-
1998
Instructor, Conducted a course entitled “Computer Programming and Systems” for 80
students. ;
MS-Office Software. Microsoft.
1987-I 991
Istanbul,
Instructor, Taught the “Beginners” and “Advanced” levels of MS-Word and MS-Excel.
Department of Civil Engineering, Bosphorus University.
1986-l 996
Istanbul,
Teaching Assistant, Lectured and designed and graded exams or projects in English for the
following courses: Concrete, Steel Constructions, Hydrolics, Statics, Construction Materials,
Dynamics of Materials, Structures, Fluid Mechanics, Shell theory, Environmental
Engineering
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.-Computer Programming Instructor, Bosphorus University.
1983-l 986 Istanbul,
Conducted courses in Lotus, Advanced Lotus, Basic and Advanced Basic programming for
professionals outside of the university. Course materials I designed for my classes became
the standard course materials for all of the courses in this program.
Management & Administration.
PUBLICATIONS
Columnist, PC Magazine Tiirkiye. Istanbul, 1996 - 1998
Authored a column entitled “Life On-line” for the past 17 issues. Article topics include a
variety of topics including: On-line publishing, On-line sales & marketing, Push vs. Pull
Technology, browser review, on-line education, Internet telephony, freeware and shareware
evualuations.
Columnist, Office Team. Istanbul, 1998
Wrote articles concerning the Internet for a new monthly publication targeting managers for
organizing office technology and materials.
Magazine
Off&Team
PC Magazine Turkiye
Date Issue Column
Jan-98 1 Life On-line
Aug-96 33 Life On-line
Title
“Ah, if I only had Internet access...”
“Story of an HTML page”
Pages
54-57
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PC Magazine Turkiye
PC Magazine
Turkiie
PC Magazine Turkiie
PC Magazine Turkiye
PC Magazine Turkiye
PC,Magazine Turkiye
PC Magazine Turkiye
PC Magazine
Turkiie
PC Magazine Turkiie
PC Magazine Turkiie
PC Magazine
Turkiie
PC Magazine Turkiie
PC Magazine Turkiie
PC Magazine
Turkiie
PC Magazine Turkiye
PC Magazine Turkiie
PC Magazine Turkiie
PC Magazine Turkiye
PC Magazine Turkiye
Ott-96
Nov-96
Dee-96
Jan-97
Feb-97
Mar-97
Apr-97
May-97
Jun-97
Jul-97
Aug-97
Sep-97
act-97
Dee-97
Feb-98
Mar-98
Apr-98
May-98
Jun-98
35 Life On-line
36 Life On-line
37 Life On-line
38 Life On-line
39 Life On-line
40 Life On-line
41 Life On-line
42 Life On-line
43 Life On-line
44 Life On-line
45 Life On-line
46 Life On-line
47 Life On-line
49 Life On-line
51 Life On-line
52 Life On-line
53 Life On-line
54 Life On-line
55 Life On-line
“No to Higher Education Government-Yes to the Internet’
“You and the Internet”
“Shareware - Free Vinegar is sweeter than honey”
“Electronic publishing and Atillas”
“Browsers - Yesterday and Today”
“www.jobs-wanted.com - Education and Employment Opportunities On-line” 103-105
“You and the Internet - Death of the Salesman” 96-98
“Browser Wars”
“Firsts on the Internet”
“Internet and MP3 - How to create MP3 files”
“Attention: Internet Junkies”
“Push Technology -Which is more difficult pushing or pulling?”
“Browser Wars - Channels are the Battlefield”
‘What’s next? - MSCIA” (I)
“Internet Telephony”
“What’s next? - MSCIA” (2)
“Fiih Generation Browsers”
“Multimedia ($-Line”
“Y2K and Internet”
126-128
130-132
147-148
129-132
112-114
89-91
121-124
76-78
72-75
96-97
124-125
128-132
85-95
77-83
111-115
87-92
144-148
Professional Memberships and Certifications
Microsoft Solution Provider - SoftDesign, 1997
American Society of Civil Engineers, ASCE
Istanbul Chamber of Civil Engineers
EDUCATION
Ph.D. candidate, Civil Engineering Bosphorus University, Istanbul, Turkey 96-present
Master of Science, Civil Engineering Bosphorus University, Istanbul, Turkey 1987
Bachelor of Science, Civil Engineering Bosphorus University, Istanbul, Turkey 1985
LANGUAGES:: English, Turkish
0 1999
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5.52 IKON Resumes
CLARENCE (LARRY) LEHMAN, Project Manager Mr. Lehman has over twelve years of management experience, including six years at IKON
Business Imaging (formerly known as WESCO).
As Quality Manager at both client sites and IKON’s Conversion Operations Center, Mr.
Lehman is responsible for the successful completion of all phases of scanning and
conversion operations, including project analysis, staffing, set-up, technical design,
scheduling,’ resource management, and budgeting. Following contract award, the IKON
Project Managers are the key points of contact with the client, ensuring that each project is
completed on time, within budget, and as smoothly and efficiently as possible. He has
managed conversion projects for Wells Fargo Bank, Allied Signal, P G & E, and Caltrans.
Prior to becoming a Project Manager at IKON, Mr. Lehman was a software engineer, where
he designed and implemented a gray scale editing package to enhance engineering
drawings for electronic use. He also designed and developed the graphical user interface
used for the Kodak IL 9000 paper scanning platform.
Mr. Lehman managed one of IKON’s largest paper conversion projects, the conversion of
ten million documents for a major financial institution. He has successfully managed projects
for both national and international clientele in the aerospace, financial, health care,
insurance, petrochemical, transportation, and government industries.
Mr. Lehman received a Bachelor of Science degree in Computer Science from California
State University, Hayward, and has received numerous awards and championship titles in
professional Chess competitions
CLAIRE MARYNOWSKI, Director of Operations
Claire Marynowski has over twelve years of experience in project operations supervision for
the high technology industry. Prior to her tenure at IKON, Ms. Marynowski was Operations
Manager for Collier Software, implementing initial operations strategies for a start-up
software manufacturer. While at ETAK, Inc., she managed the national production
operations of a $30 million project consisting of 110 people. She has proven experience
establishing a successful team environment for assignments in a myriad of industries. Ms.
Marynowski attended University of La Verne in California Ms. Marynowski is a certified Project Management Professional from the Project Management Institute. Ms. Marynowski
attended University of La Verne in California. Ms. Marynowski is a certified Project Management Professional from the Project Managemet.
5.6 Project Schedule
The following pages contain the project schedule reflecting Phases 1 and 2.
Figure 5.3: Project Schedule
Project Plan
0 1999 5.43
ThirdWave 11400 W. Olympic Blvd. Suite650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
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Section 6
Pricing
6.1 Pricing Introduction
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The pricing shown in this section reflects a firm fixed price proposal for Phases 1 & 2. It
includes all costs to the City of Carlsbad for hardware, software, installation, training and
project management as listed below.
6.2 Implementation
The pricing shown below reflects all the costs associated with project management,
implementation, customization and adaptation of software. These costs include all labor,
travel, lodging, per diem, car rental, etc., required to complete the system. included in these
cost are items such as setting up the database, security, workflow rules, etc. Additionally,
the cost to develop the cashiering software is included.
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Project Management
Implementation, customization and adaptation of
software
Travel Expenses
Expected number of trips to the City of Carlsbad
from Los Angeles
$152,980
$55,805 1
$109,710
$40,889 ]
$7,520 $5,885
38 27
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6.3.1 System Software r
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The pricing shown below reflects all the costs associated with commercial software such as
the document management software. Included in the document management application
software is the workflow software. These itemized costs were requested on page 33 of the
City’s RFP.
0 1999
Pricing
6.1
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Document Management Software (
Document Management Application Software concurrent client license workstation (two IO-user packs phase 1, four 1 O-user pack phase 2)
$2,912 $5,824
Workflow software comes with the document
manaaement aoplication software at no charae
Included Included
Facsys (fax software server & two IO-user packs
phase 1, four IO-user packs phase 2)
$2,453 $2,442
IAdobe Capture OCR software I $3,058 1 $3,058
SQLServer Database software comes with the Included Included
document management server shown in the ($3,432 if bought (4,055 if bought
hardware section of the City’s Price sheet separatelv) seoaratelv)
NT Server software comes with the document
management server shown in the hardware section
of the Citv’s Price sheet
Included Included
Communications software comes with the
document management server shown in the
hardware section of the City’s Price sheet
Included Included
6.4 Training
Formal FileNET Training on-site (training costs for
the DMS as configured and customized for the City
are included in implementation pricing in paragraph
6.3.2).
$18,401 $4,625
0 1999
Pricing
6.2
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Document Management System
City of Carlsbad July 6, 1999
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Documentation for the FileNET software is
included in the application software pricing above.
Costs shown for this line item are for the
documentation of the DMS as configured and
customized for the City.
$8,960 $5,340
6.6 Maintenance
6.7 Technical Support
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Technical support is provided under ThirdWaveIFileNET’s Silver maintenance which is
priced in the previous paragraph.
6.7.1 Right To New Versions
Right To New Versions is included in the price of your Silver technical support program,
ensuring that you receive all minor and major FileNET software releases.
6.7.2 Telephone Support
When you call for support, we will make every effort to immediately connect you with a
technical support engineer. This method of support has been considered the most effective
model by the SSPA (Software Support Professionals Association).
6.7.3 Targeted Response Times
l 2 Hours - System Down, No Workaround (Customer production is not operational:
more than 90% of users are affected and solution is not available).
l 8 Hours - Intermittent Problem (Minor or intermittent problem is not significantly
affecting production).
l Within 24 Hours - Incident Creation via the Web
6.7.4 Hours of Coverage
Technical support is available via telephone Monday through Friday, 8:00 a.m. to 6 p.m.,
customer local time. Actual days and hours of coverage may vary by region. After Hours and
Pricing 6.3
ThirdWave 11400 W. Olympic Blvd. Suite650 Los Angeles CA 90064 310.914.1460 Fax 310 914.1490
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Document Management System
City of Carlsbad July 6, 1999
Weekend / Holiday technical assistance can be purchased for an annual fee. Uplifts are
calculated as a percentage increase to the annual base maintenance prior to any discounts.
6.7.5 On-site Support
On-site technical support is available on a time and materials basis at $250 per hour plus
travel expenses at cost.
i 6.8 Other Costs
6.9 City Pricing Tables
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contain more detailed backup information for the City’s review.
0 1999
Pricing
6.4
ThirdWave 11400 W. Olympic Blvd. Suite650 Los Angeles CA 90064 310.914.1460 Fax 310 914.1490
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Document Management System
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Figure 6.1 Phase I Price Sheet
Phase 1
Hardware
Single sided scanner - Sheet feed
Large Document Scanner
Internet FileNET IDM Web Server
Database Server (includes RAID)
Software
Application Sofbvare (includes all server and client)
Facsys (fax software two 10 user pack)
Adobe Capture OCR software (45k pages)
Services
Development and Project Management
Travel Expense (mileage @ .32)
Formal FileNET Training
Other Costa
Performance Bond
System Cost Summary
Software
Hardware
Services
Maintenance
Other Costs
Total
Conversion - price per image
Clerk (A size, 1.7mm images minimum)
Scanning
OCR
Indexing to match Clerk index
Indexing additional per keystroke
Drawings
Scanning
Indexing to match Clerk index
Indexing additional per keystroke
Conversion Media
Shipping
$76,463
Quantitv Price/Unit Total Price Support Maintenance
1 51.072 $51.072 9.193
1 2.453 $2.453 442
1 3.058 $3.058
$56,582 59,634
11
$234,706
Quantitv Price/Unit Total Price
II 20.0001 520.000
01 01 $0
$20,000
Sum
$397,387
On-site Off-site
Client-supplied shipper account
0 1999
Pricing 6.5
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Figure 6.2 Phase 2 Price Sheet
Phase 2
Hardware
Single sided scanner - Sheet feed I
Quantitv Price/Unit Total Price Suooort Maintenance 41 6,1541 $24.6181 11 vear included [
$24,616
software
Application Software (includes all server and client) 1 32.704 $32.704 5.790 5,887
Facsys (fax software four 10 user pack) 1 2442 $2,442 439 Adobe Capture,OCR software (45k pages) 1 3.058 $3.058
$38,203 $5,790 $6,326
Services
Development and Project Management
Travel Expense (mileage @ .32)
Formal FileNET Training
$166,995
Quantitv Price/Unit Total Price
01 01
Ol 01
$0
System Cost Summary
Software
Hardware
Services
Maintenance
Other Costs
Total 236.142
6.10 Compensation Schedule
The following figure provides a compensation schedule, showing the total maximum cost
based on the tasks identified in our work plan. The following serves as a payment schedule
with specific deliverables and milestones
Figure 6.3: Compensation Schedule
Phase 1 - Pilot Projects: City Clerk’s Office & Community Development / Public Works.
Task ‘I .O Project Initiation
T1.1 Kick-off Meeting 6,800.
Task 2.0 Analysis & Requirements Definition
T2.1 Network Analysis Working Session 5,220.
T2.2 Site Preparation Working Session 2,560.
T2.3 Workflow Process and Indexing Review Sessions 6,160 T2.4 User Requirements Documentation 7,040
Pricing
0 1999 6.6
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
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City of Carlsbad July 6, 1999
Task 3.0
T3.1
T 3.2
T 3.3
T 3.4 T 3.5
T 3.6
Design
Database Design Document Management System (DMS) Architecture Design
Imaging Architecture Design Site Preparation Plan
Conceptual Design Review with Users and Management
Final Conceptual Design Modifications
6,300
3,250
9,060
3,595 3,940
2,475
Task 4.0 T4.1
T 4.2
T 4.3
T 4.4
System Staging and Configuration
Install and customize the DMS library at ThirdWave
Imaging Integration
Configure City Hardware
Alpha Testing and Bug Fixes
9,060
9,850 7,390
3,250
Task 5.0
T5.1
T 5.2 T 5.3
Implementation
Install the DMS system at the City
Beta Testing
Final Bug Fixes
13,443
8,612 5,910
Task 6.0
T 6.1
Comprehensive Testing Comprehensive On-site Testing 16,250
Task 7.0
T 7.1
T 7.2
Documentation
Systems Administration Guide 4,480
Users Guide 4,480
Task 8.0 T8.1
T 8.2 T 8.3
T 8.3.1 T 8.3.1.1
T 8.3.1.2
T 8.3.2
D 8.3.2.1 D 8.3.2.2
D 8.3.2.3 D 8.3.2.4
D 8.3.2.5
Training
Develop Detailed Training Plan Develop Training Materials
Provide Training
1,625
3,250
Systems Administration Training
FileNET System Training Custom Tailored Systems Training
End User Training
13,776 3,740
FileNET General System Overview
FileNET Working with Text Documents FileNET Working with Drawings
Custom Training - Importing / Scanning Maps Custom Tailored Electronic Workflow Training
1,542
1,542
1,542
3,150 3,150
Task 9.0
T 9.1
Conversion
T 9.1.1
T 9.1.2 T 9.1.3
T 9.2
Conversion of Community Development/Public Works, City
Clerks files, City Clerks Index, Engineering Access.database, Water District Access database
ThirdWave will evaluate and determine the feasibility of converting the City Clerk’s index Convert Selected Sets of Files in the City Clerk’s Department
Convert Selected Sets of Drawings from the Community
Development/Public Works Conversion Coordination, QA and Bulk Loading System
345
Per Unit Batch Basis
Per Unit Batch Basis
Hourly Batch Basis
Pricing
0 1999 6.7
ThirdWave 11400 W. Olympic Blvd. Suite650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
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Document Management System
City of Carlsbad July 6, 1999
max total 25,600
Task 10.0 Project Management
T 10.1 Project Task Management and Coordination with City’s Hourly
Project Manager max total 7,200
T 10.2 Project Progress Status Reports Hourly
max total 21,600
Task 11 .O Document Management Systems (Hardware 8 Software)
T 11.1.1 NT Server for FileNET Panagon IDM Document Services 45,274
T 11.1.2 NT Server for FileNET Panagon IDM Web Services
T 11.1.3 Small Document Scanners
T 11.1.4 Large Document Scanner
T dl.2 DMS Software
Travel Expenses
71298 12,309
.I 1,583 56,582
At cost Progress
max total 7,520 Basis
Phase 2 - Expand System to about 40 users
Task 1.0
Tl.1
Phase 2 Project Initiation Kick-off Meeting
Task 2.0
T2.1
T2.2
T2.3 T2.4
Analysis & Requirements Definition Site Preparation Working Session
Working Sessions - Electronic Document Management Working Sessions - Workflow
User Requirements Documentation
Task 3.0
T 3.1 T 3.2
T 3.3 T 3.4 T 3.5 T 3.6
Design
Database Design
DMS Architecture Design Imaging Architecture and Design
Workflow Architecture Design Conceptual Design Review with Users and Management
Final Conceptual Design Modifications
Task 4.0 System Staging/Configuration
T4.1 Install and customize the DMS library at ThirdWave
T 4.2 Imaging Integration
T 4.3 Create Simple Workflow
T 4.4 Create “Shopping Cart” for cashiering
T 4.5 Alpha Testing and Bug Fixes
Task 5.0
T 5.1 T 5.2 T 5.3
Implementation Install the DMS system at the City Beta Testing
Final Bug Fixes
Task 6.0 T6.1
Comprehensive Testing
Comprehensive On-site Testing
5,760
2,560
10,640
2,560 2,240
2,215
1,625
3,250
1,230 3,940
2,475
3,250
1,625 3,740
12,530 1,625
12,669 10,275
6,780
14,870
Progress Basis Progress Basis
Pricing
0 1999 6.8
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
Document Management System
City of Carlsbad July 6, 1999
Task 7.0 T7.1
T 7.2
Task 8.0
T 8.1
T 8.2
T 8.3 T 8.3.1
T 8.3.1.1 T 8.3.2
D 8.3.2.1
D 8.3.2.2
D 8.3.2.3
D 8.3.2.4 D 8.3.2.5
Task 9.0
T9.1
T 9.2
Documentation
Systems Administration Guide Users Guide
Training
Develop Detailed Training Plan
Develop Training Materials
Provide Training
Systems Administration Training
Custom Tailored Systems Training
End User Training
1,625
2,905
1,180
FileNET General System Overview 1,542
FileNET Working with Text Documents 1,542
FileNET Working with Drawings 1,542
Custom Training - Importing / Scanning Maps 3,150
Custom Tailored Electronic Workflow Training 3,150
Project Management
Project Task Management and Coordination with City’s
Project Manager
Project Progress Status Reports
860
4,480
Hourly
max total 5,400
Hourly max total 16,200
Progress
Basis
Progress
Basis
Task 10.0 DMS (Hardware and Software)
T 10.1 Hardware
T 10.1.1 Small Document Scanners
T 10.2 Software
Task 11 .O Support T1l.l On-going Technical Support for 1 year
Travel Expenses
24,617 38,203
5,790
At cost max total 5,885
Progress
Basis
0 1999
Pricing
6.9
ThirdWave 11400 W. Olympic Blvd. Suite650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
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City of Carisbad July 6, 1999
Section 7
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7.1 Acceptance of City Terms and Conditions
ThirdWave finds all of the terms and conditions outlined in the City’s RFP to be acceptable.
7.2 Progress Payment
ThirdWave shall submit progress invoices on a monthly basis as tasks and subtasks are
completed. Subsequently, we would anticipate receiving progress upon the review and
acceptance of the City.
Terms and Conditions
91999 7.1
ThirdWave 11400 W. Olympic Blvd. Suite650 Los Angeles CA 90064 310.914.1480 Fax 310 914.1490
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City of Carlsbad July 6, 1999
Section 8
Appendix
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8.q Appendix
This section contains the following literature:
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ThirdWave Corporate Brochure
ThirdWave Client List
ThirdWave Professional Qualiications
ThirdWave EDM / WoMow Flier
Government West, May/June 1998, Las Vegas Goes virtuel
City of Las Vegas Brochure, Rightsizing tbr Success
FileNET Panagon
FileNET Panagon IDM Document Sewices
FileNET Panagon IDM Desktop
FileNET Panagon Captum
IKON Company Background
IKON Insight V&me 2 issue I-1999
IKON Insight Vobme 7 Issue 2-M38
IKON Performance Beyond Expectation Brochure
Additional IKON Literature
ECI Cons&i Engineers: Spatial Enterprise Functiility
ECI Consulting Engineers: Spatial Enterprise A White Paper
91999
Appendix
8.1
ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Atqeles GA 90064 310.914.1480 Fax 310 914.1499
CITY OF CARLSBAD
Purchasing Department
1200 Carlsbad Village Drive
Cadsbed CA 92008
REPRESENTATION AND- CERTIFICATION
The following representation and certification should be completed, signed and retumed to Cii of Carl&ad.
REPRESENTATIONS: Mark all applicable blanks. This offeror
represents as part of thii off& that the ownership, operation and
control of the business, in accordance with the specific
definitions listed’below is:
)
Asian-Pa& I I
Native-American
Asian-Indian
DEFINITIONS:
MINORITY BUSINESS ENTERPRISE: ‘Minority Business’ is
defined as a business, at least 51 percent of which is owned,
operated and controlled by minority group members, or in the
case of publicly owned businesses, at least 51 percent of which is
owned, operated and controlled by minority group members. The
Small Business Administration defines !he socially and
economically disadvantaged (minorities) as Black American,
Hispanic American, Native Americans (i.e. American Indian,
Eskimos, Aleuts and Native Hawaiians), and Asian-Pacifii
Americans (i.e., U.S. Citizens whose origins are from Japan,
China, the Philippines, Vietnam, Korea, Samoa, Guam, the U.S.
Trust Territories of the Pacific, Northern Matianas, Laos,
Cambodia and Taiwan).
Are you currently certified by CALTRANS?
YES x NO-
~rtification#: . 746.0
CERTlflCATlON OF BUSINESS REPRESENTATlONlSk
Mark all applicable blanks. This offeror represents as a part of
this offer that:
Thll firm is& is not- a minority business.
This firm is- isnot~ a woman-owned business.
WOMAN-OWNED BUSINESS: A woman-owned business is a
business of whiih at least 51 p¢ is owned, controlled and
operated by a woman or women. Controlled is defined as
exercising the power to make policy decisions. Operation is
defined as actually involved in the day-today management.
FIRM’S PRIMARY PRODUCTS OR SERVICE:
systems Integration/Docment Management
CONSTRUCTION CONTRACTOR:
CLASSIFICATION(S):
LICENSE NUMBER:
TAXPAYERS I.D. NO.
CERTIFICATION: The information furnished is certiied to be factual and correct as of the date submitted.
ThirdWave Corporation amAkw klAh4c cG”IrMl” 1 ,W,“,C
11400 W. Olympic Blvd, Suite 650
ADDRESS
;o Hernandez Sergj
mblkl7rn
LQS Angeles, CA 90064
CITY, STATE AND ZIP
310 914 1480 06/14/99 /
TELEPHONE NUMBER DATE
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City of Carlsbad
June I,1999
ADDENDUM NO. I ,
RE: ’ PROPOSAL NO. 8 - DOCUMENT MANAGEMENT SYSTEM
Please include this addendum in the Request for Proposal you have for the above project:
The vendors conference scheduled June 17, 1999 at II:00 AM has been moved to
I:00 PM on the same dav.
This addendum-receipt acknowledged-must be attached to your proposal when it is
submitted. ye
KEVIN DAVIS
Buyer
I ACKNOWLEDGE RECEIPT OF ADDENDUM NO. 1
Signature
1200 Carlsbad Village Drive l Carlsbad, CA 92008-l 989 l (760) 434-2803 l FAX (760) 434-l 987 @
City of Carlsbad
I-
i June Z&l999 .
r ADDENDUM NO. 2
r RE: PROPOSAL NO. 8 - DOCUMENT MANAGEMENT SYSTEM
Please include this addendum in the Request for Bid you have for the above
project:
This addendum responds to several questions and concerns
relayed by vendors. The questions and our responses are
included on the following pages. r
This addendum page-receipt acknowledged-must be attached to your
Proposal when it is submitted. 8
KEVIN DAVIS
Buyer
I-
Attachment
r I ACKNOWLEDGE RECEIPT OF ADDENDUM NO. 2
Signature
r L
1200 Carlsbad Village Drive l Carlsbad, CA 92008-1989 l (760) 434-2803 l FAX (760) 434-1987
City of Carlsbad
July 2, 1999
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ADDENDUM NO. 3
, 1
RE: PROPOSAL NO. 8, DOCUMENT MANAGEMENT SYSTEM
Please include this addendum in the Request for Proposal you have for the above
project.
This addendum page -- receipt acknowledged -- must be attached to your Proposal
when it is submitted.
RUTH FLETCHER
Purchasing Officer
RF:jlk
Attachment
I ACKNOWLEDGE RECEIPT OF ADDENDUM NO. 3
Signature
1200 Carlsbad Village Drive l Carlsbad, CA 92008-1989 l (760) 434-2803 l FAX (760) 434-1987
Information Systems Intelligently Applied
Cii of Corona
Cii of Costa Mesa
cii of Culvar city
City of Glendale
City of Long Beach
CiiofLosAngeias
Application Group
Assessment Division
Architectural Division
Bureau of Sanitation
Central District
Cii Administrative Officer
Constructlon Diiion
Contract Administration
Design Research &Standards
General Services
Harbor District
Hyperion Engin. Desiin Diiisii
Hyperion Construction Division
Information Services Depawtment
Land Development/Mapping Division
Information Technology Agency
NORSGroup
Prcject Management Division
Real Estate Division
Survey Division
Structural Engineering Diiision
STRR Division
Tillman Construction Division
Valley District - Van Nuys
Wastewater Systems Engineering Dii.
Wastewater Program Management
West Los Angeles District
Cii of Los Angeles Prima 2000
City of Los Angeles Department of
Transportation
Commuter Transportation Services
GlSrrrans
Los Angeles County Metrcpoktan
Transportation Authority
Los Angeles lntematiial Airport
Mercer Management Inc.
Omnitrans
Orange County Transportation Authority
Pierce County
PierceTransit
Southern Caliiornia Associatii of
Governments
State of Colorado, Department of
Transportation
Cii of LA Community Redevelopment
Agency
CiiofLasVegaS,NV
Management Information Systems
Water Polluticn Con&l Facility
Cii of Los Angeles Housing Authorii
City of Pasadena
lnformatii Systems Diiivsion
Cii of San Antonio, TX
Cl of San Diio
Clean Water Program
Rural Urban Information System
streets Diiislon
City of San Jose
LA Department of Water 81 Power
Power Distribution Division
Power Systems &vices Diiision
Water Engineering Dseign Division
LA County Department Health Services
LA County Economic Davelopment Carp
LA County Sheriff Department
IA Regional Technology Alliance
Orange County Saniiatii District
Nye County Dept. of Planning, NV
Riverside County DA’s Office
San Bernardino County
San Diio Data Processing Corp.
San Diego Housing Commission
Southern Caliiornia Air Quality Management
District
World Port Los Angeles
Engineering Division
Information Services Division
California Department of Rehabilitation
California Highway Patrol
Caliiornia Public Employees Retirement System
Davis Monthan Air Force Base, Tucson, Ai!
Los Alamos Natiial Labcratories, NM
NaticnalOceanic&AtmospheriiAdmimiitratii
State of Colorado, School of the Deaf
State of Colorado, School of Mines
State of Colorado, Division of Wildlife
US. Army, Corps of Engineers, Sacramento, CA
U.S. DepartmentdCcmrnerce, NOAA
U.S. Department of Energy / Bechtel Nevada
U.S. Department of Transportatlcn
Administration
U.S. District Court, Los Angeles
U.S.MarineCg>AirStation,CanpPendleton,CA
U.S. Naval Air Warfare Center,
Weapons Diii, China Lake, CA
U.S. Naval Undersea WarfareCent@
Diiion, New London, CT
U.S. NavalTraining Center, FL
Chevron USA, Inc.
ON0 Gas DirComercial, Brazilia, Brazil
Prestone Products Corporation
Processes Unlimited
Saudi Aramco, Dharan, Saudi Arabii
The Gas Company of Southern California
Hawaiian ElectricCompany, HI
California State Long Reach
California State University Fresno
Colorado State University
ElCaminoCokge
L.A. Trade Technical college
L.A. Unifii School District
Loyola Marymount University
Mesa StateCollage, CO
Naleo Educatiial Fund
Ranch0 Santiago College
Universii of -,m Universii of California, Los Angeles
Univwslty of California, lrvine
Advanced Micro Devices
Apollo Systems Division
Automated CcmplianceSysterns
Computer Sciences Corporation
FwbesCcnnputers
Hewlett Packard
Hughes Pwer Products
IBM
MicroAgeComputers
The sofhvareworks !
Toshiba
UTTechnologii
UDTSensors
Van Guard Electronics
WhsbSystems
0RAcLEcupcration
Information Systems Intelligently Applied
NXESS!
Ancra International Archdiocese of Los Angeles
Bank of America
bd Systams, inc.
Ben Franklin Business Info Center
Breslow Loeb Baumolh &Wall, CPAs
Brisk0 International
Business Sdutiis International
Cii of Hope National Med Center
clllcmP/n-r
C. K. Consuttii
COfIlpUtWSCi8IlCecorpor8tii
Davis Wire Corporation
Deciiion Focus - Portland, OR
Dodge, Warren, Perter& CPAs
Gabriel, Roeder, Smith &Co.
GSWCEgilManagement
Hindeliier, DeLlamas &Associates Hughes
Kii Lighting
Law OtTices of Steve Brycen
Lockheed
Madvisii Corp.
Mega Commercial Warehouse
Metro Parking &Traffic Systems, Inc.
Navistar Financial Corporation, IL
Neutrogena Naw Economics for Women
Nissan Motor Corp
ORACLECcrporatii
Pacific Sierra Research Corp.
Pat Padilla &Associates
Polycarbon, Inc.
Prestone Products Corporation
PuroFIow, Inc.
RAND Corporation
Resident&l Funding Corporation/GM, IL
sierra Foods More Online
Specialty Laboratories, inc.
The Application Group
The Burke Group
llw
UltimateSports
U.S. west, AZ
Valley Presbyterian Hospital
Willcwbrook Technologies, Inc.
ZBH Promotions
Baymcnt Technologies, Tampa FL
Bechtel
Black & Veatch, MO
Bynum & Associates
Cavaedium Architects 81 Planners
CH2MHill
CRS Sirrine
Digital Option
ENCON Inc., Phoenix, AZ
Envision Archiiecture
Erkel Greenf- 8 Associates
Frank 0. Gehry 81 Associates
Godsey Associates Architects
Golden West Construction
Han-Padron Associates, New York, NY
HDR Engineerings, Inc.
Hirsh-Bedner Interior Design
Hirsh Business Interiors
HOKConsulting
Imaginings Interior Design
I MO Engineering, Taipei, Taiwan
Innerspace
JanesM.Montgomery
Kanner Archii
Kennedy-Jenks
K+CZL Architects
Metropolitan Structures
O’Brien-Km&berg & Associates
Ove Arup Associates
Pavement Management Systems
Pica & Sulliin Architects
Psomas &Associates
Q Development/Sun Cad Servii
Rivers &Christian Archiiects
RTK & Associates
Sierra Pacific Land Company
Syska & Hennessy
Widom Wein &Cohen, Architecture & Planning
Wolfgang PuckFoodCompany
Wcng Hoback & Lau, Architecture& Planning
20th Century Fox
AfterMath
AnimAction Studios
Artima Pictures
Battary Acid
Diiital OptiOn
Dinescu
Dreamworks SKG
E=MCz Inc.
Enjoy Life Records
Fluke Entf3tainment
l-knne-ment
lceHillMultin&ii
Innovative Design Technologies
KCOP-TV Channel 13
Lint Research
Lynx Robotics
Ml Software
Metroplex
MoleRichardson, Entertainment Lighting
Museum OfTeleviiicn and Radii
Omega Pictures
Otherworld Entertainment Grcup
Overseas Technologies
Produciones Aguila, SA de CV, Mexico
Renegade Animation Rocket Sciice Props & Magic
Sharp ImageGaming
STARCHANNEL,Athens, Greece
StarCcm, Chicego- IL
SONY ImageSaft
SONY Pictures, Culver Studios
SONYPltbli!5hii
Tecrno, Inc.
Ten Star Pictures
Torah Aura Productions
Turner Broadcasting Systems, Inc.
Universal Reprographics
vi180 Image
ViiapeS
VKNVARE
Zyrinx Inc.
q*,,:,,i’.,“v-‘“?‘, ., :< ,F.” .-,?’ $‘,.v,.:“L>, ,.:r%,-,i7~ r.~~:,.::‘fi’“&,,~~~.“~,~,b.~.:l L.,, .-‘w.&-~;‘.i a‘. .-, 1^’ .‘.: I ^ .‘I : ’ ,’
-
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INFORMATION SYSTEMS INTELLIGENTLY APPLIED
Professional
Qualifications
ThirdWave Corporation
11400 W. Olympic Boulevard, Suite 650
Los Angeles CA 90064
310 9141480 FAX 310 914 1490
ThirdWave
Corporate Qualifications 6.16.99
Company Background
ThirdWave is a Systems Integration and Consulting firm providing technical expertise in the design,
development, implementation and management of information systems solutions. Our clients include government and corporate users of information technology in a variety of industries. Established in 1986,
we are a California Corporation with our principal office in Los Angeles.
Our company philosophy is based on a simple premise; we are more concerned with the effective utilization of technology than technology itself. Recognizing the following, we provide a new caliber of
service to users of Information Systems:
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l That IT is best leveraged when used for making decisions, not just recording them.
l The opportunity of addressing challenges in the workplace with rapidly evolving and powerful
information technology; e.g., web enabled applications, electronic commerce,
Networking/Communications infrastructures, Electronic Document Management / Automated
Workflow solutions, and enterprisewide Commercial Applications, to name a few.
l IT yields maximum results when streamlining a functional process - not just increasing the
productivity of the individual.
l That IT should integrate work flow processes with empowered knowledge workers, with information
being transferable, leveragable and treated as a long term asset.
Drawing on experience and proven techniques, we employ an exciting paradigm for introducing
information systems technologies into the professional environment. Our mission is:
“To address a need with experience and expertise, optimize the etbtive use
of computer too/s, and work wit71 en&users to insure results and success.”
ThirdWave assembles the appropriate technical resources for each of our customers - defined by their
unique set of contextual and performance parameters. Recognizing the many facets that may comprise
a successful Information Systems solution, we bring the right resources and tools to bear. ThirdWave
understands the challenges of implementing new technologies. Assuming the role of Program
Manager/Systems Integrator, this paradigm allows for successful automation programs and results by
design.
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ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Anneles CA 90064 310 914 1480 FAX 310 914 1490
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Corporate Qualifications 6.16.99
End Users
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A Comprehensive Solution Set
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ThirdWave Corporation is certified as a Minority Business Enterprise (MBE) with Los Angeles, Los Angeles County Metropolitan Transportation Authority, CALTRANS, and the Federal Government as an
8(a) firm.
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ThirdWave 11400 W. Olympic Blvd. Suiie650 Los Anwles CA 90064 310914 1480 FAX 310 914 1490
ThirdWave
Corporate Qualifications 6.1699
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Part 2:
Products and Services
ThirdWave provides systems integration and professional consulting services developed to assist organizations optimize the selection, implementation, integration, and management of Information Systems. Our custom tailored solutions focus on expediting the introduction and use of
technology. Providing a rare mix of technical capabilities, wte offer the necessa ry expertise to provide an
in-depth technical understanding of project complexities, data/user interrelationships, and corresponding
project costs. ThirdVVave is driven by the specific needs of our customers, by responding to each
client’s unique requirements.
Full Service lnfdmation Technology Services
l Professional Consulting Services
- Information Technology Strategic Plans
- Requirements Assessment and Cost/Benefit (Return on Investment) Analysis
- RFP Development and Procurement Management
- Systems Implementation Planning and Implementation Project Management
- Develop Standards Methods and Procedures
- End User and Systems Staff Training Programs
0 Software Development-Enterprise Application Development 0 Systems Integration Services a LAN/WAN Communications Design 8 Implementation Services
0 Web-enabled lntemetllntranet Development Services 0 GIS Development & Integration Services
0 Electronic Document Management I Automated Worldlow Services
0 Graphic Design & Multimedia Services
l Hardware, Softwre and Peripherals System Sales and Support
ThirdWave is positioned to provide complete information systems solutions by offering expert technical
personnel, hardware, software and/or peripherals. Over the last 12 years, our customers have benefited
from our one step shipping delivery of Information Technology Solutions, including:
l One point of Total Responsibility for Screen
l Expeditions Problem Resolution
l No finger pointing between IT Vendors
a Cost effective solutions trying Volume Pricing Agreements
l By retaining Contract Administration convenience, professional consulting services, computer
technologies and systems integration expertise from one qualified source
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Thirdwave 11400 W. Olympic Blvd. Suite 650 Los Anneles CA 90064 310 914 1460 FAX 310 914 1490
ThirdWave
Corporate Qualifications 6.16.99
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Part 3
Customer References
Over the last 12 years, ThirdWave has carried out hundreds of Information Technology projects of varying scale and complexity.
Our customers have represented both small and large customers. The capabilities of any company can best be communicated in the words of the customers, not by the company marketing it’s own services.
The following pages contain a sampling of customer testimonials. It is important to note that the following
letters reference the complete spectrum of ThirdWave’s products and services, underscoring a reputation
for delivering extraordinary results, in assisting our clients achieve success with their critical Information Technology projects.
4 ThirdvVave 11466 W. Olvmcic Blvd. Suite666 Los Anwles CA 90064 310 914 1480 FAX 310 914 1490
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i STEVEN P. HOUCIZENS
DEIWTYCITYMANAGER
1’ L September 24, 1997
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To Whom It May Concern:
In 1995, the City of Las Vegas undertook a critical self examination of its information technology
environment and architecture. This process, entitled “Inner Look” involved City employees at all levels in
evaluating our management of technology.
As part of this process, the City realized industry expertise was requisite to moving forward. Accordingly,
in May of 1995, the City of Las Vegas hired ThirdWave Corporation to develop a Strategic Information
Systems Plan. The choice of ThirdWave was competitive, with several factors influencing our final
decision.
The City was looking for a partner in this relationship. We didn’t necessarily want to emulate what other
cities were doing; we wanted to do it better. We realized that we were at a critical juncture, with aging
legacy hardware and very basic software. We wanted our move forward to be visionary; to create an
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ThirdWave Corporation was ideal to our situation. We reached agreement wherein they would develop the
Strategic Plan for the City and, in fact, that our contract would terminate at that time. We felt that we were
obtaining a level of creativity that was unique to our City. And, most importantly, we agreed that whatever
we decided should be related to a compelling business purpose.
At the end of this engagement, we contracted with ThirdWave to continue with the City as our
“integrator”; a relationship that is nearing finality. We made that selection based on our satisfaction with
their efforts in developing the Strategic Plan, and we have been quite satisfied with the effort to date.
We anticipated a high level of concentration from ThirdWave Corporation to the City’s needs and we
haven’t been disappointed. As partners, we have developed the architecture for a City-wide integrated
system that will serve this City for many years to come.
If you have questions, please contact me at (702) 229-6501.
Steven P. Houchens
400 E. STEWART AVENUE l LAS VEGAS, NEVADA 89101-2986
(702) 229-6501 (VOICE) l (702) 388-1807 (FAX) l (702) 386-9108 (TDD)
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MAYOR
JAN LAVERTY JONES
COUNCILMEN
ARNIE ADAMSEN
MICHAEL J. MCDONALD
GARY REESE
LARRY BROWN
CITY MANAGER
LARRY K. BARTON
CITY of LAS VEGAS
September 2, 1997
To whom it may concern;
The City of Las Vegas is notably one of the most rapidly growing municipalities in the United
States. City management realized early on that comprehensive strategic planning and extensive
internal analysis would be necessary to support this growth. A fundamental consideration was of
course, the effective use of technology both internally and in services delivered to our citizens.
The “Virtual Las Vegas” project was the result of this inner look.
Numerous consulting service providers were researched, but few were able to create and help
realize a “model city” vision. Third Wave was the exception.
Once engaged in the process we quickly understood that their experienced representatives were
able to team with City staff and deliver several rapid “wins”. Their ability to manage project
process and resource is exceptional. They consistently demonstrate creativity innovation and
flexibility driving continually toward the City’s strategic objectives. We have found these folks
to be true professionals, with state of the art industry knowledge coupled with the unique ability
to approach the business process in a practical fashion.
Third Wave has been a significant contributor to the City of Las Vegas strategic success and
without reservation I would recommend their services for the most comprehensive of strategic
technology initiatives. They share the City’s Virtual Las Vegas vision and have formed a
partnership to ensure it’s success; moving departments “kick’n and scratch’n” into the 21”
century.
SinceJely, /I r
Director
Information Technologies
CLV 7009
3810015-a97
400 E. STEWART AVENUE l LAS VEGAS, NEVADA 89101-2986
(702) 229-6011 (VOICE) l (702) 386-9108 (TDD)
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I Whom it May Concern
c/o Third Wave Corporation
11400 West Olympic Blvd.
Suite 650
Los Angeles, CA 90064
Subject: Letter of Recommendation
!-- i To Whom It May Concern:
I am writing this letter in reference to the work done for HDR by Third Wave Corporation, and
specifically by Roy Hernandez . HDR is the prime contractor to the City of Las Vegas for the design of
$80,000,000 in improvements to the City Water Pollution Control Facility(WPCF). Third Wave was
retained by HDR to provide assistance with computer systems integration. Their first project for HDR
was to develop an Information Technology Strategic Plan for the WPCF. This work involved an
assessment of existing conditions, interviews and workshops with staff and the development of a plan to
address future information technology needs.
I Third Wave carried out this work in a competent and professional manner. The work was finished on
time and within budget. The City is.pleased to have a plan in place that will allow them to continue their
modernization efforts at the WPCF. Third Wave has been retained to continue this work and to provide
actual system integration tasks as recommended in the strategic plan.
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The individuals we have worked with at Third Wave are knowledgeable and experienced in computer
hardware, software, systems, networks, communication, systems integration, and applications
development. Third Wave worked well with the other consultants and team members and helped bring
cohesion to the team, Roy Hernandez is a skilled mediator and problem solver.
I would confidently recommend Third Wave, and Roy Hernandez, to any municipality that is considering
the development of an Information Technology Strategic Plan.
Sincerely,
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David Pivktti
Senior Vice President
Project Manager
r HDR Engineering, Inc.
Employee-owned
Suite Dl Telephone
5280 S. Eastern Ave. 702 258-4895
Las Vegas, Nevada FaX
89119~?308 702 795-8588
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MAYOR
JAN LAVERTY JONES
COCJXCII,hIEN
ARNIE ADAhISEN
MATTHEW Q. CAl,IX3TER
MICHAEL J. MCDONALD
GARY REESE
CITY b1 IVAGER
LARRY XC. IiiRTON
3610.0156/95
CITY of LAS VEGAS
August 23, 1995
Mr. Roy Hemandez
President, ThirdWave, Inc.
11400 West Olympic Boulevard, 4th I&or
Los Angeles, CA 90064
Dear Mr. Hernandez:
With ThirdWave having completed three quarters of its contract with the City, I’d like to
offer some feedback. As the co-chair of the information systems team, I have worked
closely with you and your representative, Robert Aguilar, and have only praises to pass
on. Not only have you proven yourselves technical,experts again and again, but as
importantly you have consistently provided the highest level of customer service--
attentiveness, responsiveness, flexibility, concern.1.I could go on.. I would like to
commend Robert on his efforts which have gone above and beyond the stipulations of the
agreement, benefiting the City and its staff in numerous -ways including financially and
educationally.
It was a stroke of very good luck when the City of Las Vegas found your company. I
won’t hesitate to pass on the highest of recommendations for ThirdWave, Roy
Hernandez, and Robert Aguilar.
Sincerely,
Michaela D. Mezo
Senior Management Analyst
400 E. STEWART AVENUE l LAS VEGAS, NEVADA 89101-2986
(702) 229-6011 (VOICE) l (702) 386-9108 (TDD)
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CITY OF COSTA MESA
P.O. BOX 1200, COSTA MESA, CALIFORNIA 92628-1200
COMMUNICATIONS DEPARTMENT
May 5, 1997
Claudia’Rodrigu’ez, Sr. Systems Analyst
Third Wave Corporation
11400 West Olympic Blvd, Ste 650
Los Angeles, CA 90064
I have reviewed the deliverables provided to the City. :We are pleased both
with the documentation provided and the excellent services provided by you
in this project. I have included copies of the sign offpages from the
deliverables.
The deliverables established in initial ,meetings .with Roy and you .have been
completed. We again thank you for your dedication and involvement in
making the necessary tasks take place to configure our databases and train
our staff in Oracle Enterprise Manager.
Sincerely,
Project Manager
79 FAIR DRIVE, COSTA MESA, CALIFORNIA 92626
(714) 754-5385 l FAX (714) 754-4911 l TDD (714) 754-5244
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CITY OF Los ANGELES BOARD OF PUBLIC WORKS MEMBERS CALIFORNIA
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FELICIA MARCUS PRESIDENT
DENNIS N. NISHIKAWA
VICE-PRESIDENT 7 PERCY DURAN. III
M. E. -RED” MARTINEZ
JOHN MURRAY, JR. - TOM BRADLEY
DEPARTMENT OF
PUBLIC WORKS
BUREAU OF
ENGINEERING
ROBERT S. HORII CITY ENGINEER
ROOM 800. Cl-l-f HALL LOS ANGELES, CA 90012
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JAMES A. GIBSON MAYOR
SECRETARY
Mr. Wilfred Marshal, Director
Office of the Mayor
Office of Small Business Assistance
City of Los Angeles
200 N. Spring St., Room 1400
Los Angeles, CA 90012
September 1, 1992
r Subject: Lett.er of Recommendation for ThirdWave Corporation
Dear Mr. Marshal:
This is to provide the highest recommendation for ThirdWave Corporation’s professional and
technical capabilities.
i I have worked with ThirdWave personnel for over three years. I have observed their work in
providing comprehensive systems integration expertise,- products and services, in the use and
management of the System Network, Optigraphics, Auto-trol, and AutoCAD CADD systems.
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The quality of the tasks performed and products delivered has been exemplary. On many
occasions the assignment involved tasks that were not included in the scope of the work, yet a
reliable end product was delivered. The company has a sound and knowledgeable technical base
and has used this ability to see jobs through to completion.
Briefly stated, the personnel of ThirdWave Corporation has shown commendable technical
capabilities, as well as demonstrated excellent personal skills. I can state without hesitation that
their performance has been extraordinary. It is with this direct working experience that I offer
the highest professional recommendation for ThirdWave Corporation.
Please do not hesitate to call me at (310) ,524~8008 if you would like to discuss. their technical
or professional qualifications in more detail.
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Sincerely,
cf- an E.
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Jorda
Systems Manager
Hyperion Construction Division, Bureau of Engineering
F- Dept. of Public Works
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AN EQUAL EMPLOYMENT OPPORTUNITY - AFFIRMATIVE ACTION EMPLOYER FleqeMandm&fmmrecycMnask
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27 August 1992
Mr. Wilfred Marshal
Director
Office of the Mayor
Office of Small Business Assistance
City of Los Angeles
Dear Mr. Marshal:
I am writing to support the nomination of ThirdWave Corporation for the Mayor’s Contractor of the Year Award. ThirdWave has served as a subcontractor to Decision Focus
Incorporated in support of our services to the Department of Water and Power. In that
capacity, ThirdWave supplied computer programming and software testing services. The
model that ThirdWave helped us implement is now being used regularly by DWP to
analyze power purchases and proposed cogeneration projects.
I have been extremely impressed by ThirdWave’s professionalism and the quality and
timeliness of their services. They delivered a high quality product on time and under
budget. Their successful completion of a difficult software development project allowed us
to reduce the cost of delivering an important capability to DWP.
Decision Focus has already made plans to utilize ThirdWave’s services to support our
future consulting engagements with DWP. I would enthusiastically recommend ThirdWave
to any potential clients or prime contractors. They are an outstanding company.
Sincerely,
*dz -
Michael S. Johnson
Vice President
Other Offices: Lns Aitos. California l Washington. D.C.
August 25, 1992
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Mr. Wilfred Marshal Director Office-of the Mayor Office of Small Business Ci:y of Los Angeles
Dear Mr. Marshal:
ThirdWave has been assisting CRSS Constructors, Inc. in providing services to the Hyperion Construction Division of the Bureau of Engineering. The annual value of the Services provided by ThirdWave on this Contract is $400,000 and consists primarily of management information services and computer network operation and maintenance. ~
The services provided are of the highest professional quality and have been rendered in both a professional and congenial manner by the three ThirdWave personnel working at our site.
Our association with ThirdWave has been one of mutual cooperation. Mr. Roy Hernandez has been unfailing in accommodating both the requirements of the City of Los Angeles and of CRSS. It is a pleasure to work with a fine organization such as ThirdWave.
Sincerely,
' Project Manager
CRSS Constructors, Inc.
c/o City of Los Angeles - HCD
Suite 300
100 North Sepulveda Boulevard
El Segundo, California 90245
213 524-8155 Fax 213 640-1434
A Subsidiary of CRSS Inc.
People achieving unequaled solutions..
WILFRED L. MARSHALL DlRECTOR OFFICE OF THE MAYOR
OFFICE OF
F- SMALL BUSINESS ASSISTANCE
CITY HALL - R&OM 1400
Los ANGELES 00012
485.6142
r TOM BRADLEY
MAYOR
August 14, 1992 r
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Mr. Roy Hernandez, President Thirdwave 11400 W. Olympic Boulevard, 2nd Floor Los Angeles, California 90064
Dear Mr. Hernandez:
We are pleased to inform you that the Department of Public Works has nominated your company for consideration as one of the Contractors of the Year that will be recognized by the City of Los Angeles at the. Mayor’s Sixth Annual Awards
Breakfast and Reception. This annual event is scheduled for Friday, October 9,
1992 at the Hyatt Regency Hotel, 711 So. Hope St., Los Angeles, California 90017.
In order to fully evaluate you and your company, we are requesting you to complete the attached profile and return it to us no later than the close of business on September 4, 1992.
Please feel free to contact me if you have additional concerns.
A. RENE’ EVEIWGE-JONES Management Assistant
for:
WILFRED L. MARSHALL Director
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Encl. (as stated)
AN EQUAL EMPLOYMENT OPPORTUNITY-AFFIRMATIVE ACTION EMPLOYER
ThirdWave
Corporate Qualifications 6.16.99
Part 4
Project Profiles
c Consulting
Software Development
Systems Integration
Networking / Communications ( LAN/WAN)
Internet / lntranet Development
Electronic Document Management / Workflow
Geographic Information Systems & AM / FM
Graphic Design Services
Computer Aided Design Systems
5 ThirdWave 11400 W. Olympic Blvd. Suiie650 Los An~eles CA 90064 310 914 1480 FAX 310 914 1490
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Professional Consulting Services
City of Corona: Information Systems Master Plan, Corona, CA. ThirdWave was retained to develop a comprehensive Information Systems Master Plan (&MP) to act as
management’s principal working document for the next three to five years. ThirdWave addressed the City’s desire to provide IT services to all operating departments, enabling them to achieve their strategies
and goals in the most proficient, productive and cost-effective manner. This four month project
addressed the following information technology issues:
Needs assessment, identifying departmental/user application needs, existing databases,
software/hardware standards, data communication options, and associated priorities. Implementation costs, determining onetime and recurring costs for hardware, software, training,
installation, communications, maintenance and support necessary to proceed with findings of the study. An emphasis was placed on identifying opportunities for a financial return on investment.
Master plan, developed 3 - 5 year MIS Strategy and Implementation Plan, establishing the overall vision
and direction for the City’s Information Systems. The Master Implementation Plan provides a logical,
phased and manageable schedule of implementation activities.
The Scope of work included the following:
1. Conduct Orientation & Planning Sessions
l Orientation Meeting
0 Planning Sessions
2. Perform City Wide Needs Assessment
l Management Interviews
l Rapid Workflow Process Modeling Sessions
l City Wide Needs Assessment Findings
3. Prioritize Systems Needs and Requirements 4. Provide Project Progress/Status Reports
5. Identify Alternate Information Systems Solutions
6. Review Staffing and Educational Needs
l MIS Staffing
l Training Requirements
7. Develop Detailed Master Plan
l Develop Detailed Cost Estimate
l Prepare Cost/Benefit Analysis
l Prepare Detailed Master Plan & Schedule 8. Plan & Administer the Execution of Project Activities
9. Conduct Presentation of Final Master Plan to Steering Committee and City Council
l Prepare Executive Level Presentation
l Provide Presentation to Steering Committee and City Council
City of Las Vegas: Development of the City’s Information Technology Strategic Plan,
Las Vegas, Nevada
ThirdWave was retained to carry out a comprehensive systems analysis to develop a Strategic Vision and
Implementation Plan. This four month project addressed the following information technology issues:
1. Establishing a enterprise-wide systems inventory of where the city stood with regards to their
information technology. 2. Evaluating networking and communication issues for interlintra-departmental communications, including the implementation of a standard enterprise-wide e-mail system.
3. Assessing hardware, software, and peripheral standards, and identifying systems integration issues and opportunities. 4. Examining methods for upgrading customer services.
5. Investigating methods for establishing one-stop centers.
6. Assessing the use and support of several key applications, such as document imaging and
retrieval systems and GIS.
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ThirdWave
Corporate Qualifications 6.16.99 -
7. Identify global opportunities for increasing efficiencies, by eliminating redundant work, and/or by
providing methods of leveraging existing databases.
8. Systems Analysis Evaluated systems used, the degree of standardization and non-standardization and associated _
inefficiencies, and opportunities for leveraging the use of current and future information technologies.
Produced the following deliverables:
l Enterprise-wide Information Systems Inventory
l Systems Analysis Document addressing enterprise-wide standards and integration issues
9. Requirements Analysis Carried out a formal assessment of the City’s existing information systems environment. The _
requirements analysis was done in two parts.
l Workflow sessions with Innerlook Teams consisting of the following:
- Map out existing function/operational and user workflows
- Identify existing technical and operational bottlenecks within the existing environment, where the -
introduction of technology would have a positive impact
10. End-user Needs Analysis
ThirdWave worked closely with the five Innerlook Teams made of City staff and all of the City’s - Departments Managers to identify clear functional and operational requirements. The workflow analysis
translated the end-user needs into strategic IT requirements. Prepared interview forms were used to identify key issues and concerns. The deliverable was a Needs Analysis Document, addressing workflow -
processes and areas for improvement.
II. Produce Systems Solutions
Identified viable information systems solutions for hardware, software, peripherals, networking and - communications technologies for each of the departments in the City of Las Vegas. Departments that
were deemed to be critical, in the development and implementation of information systems solutions, were identified as part of a logical and strategic implementation program. The deliverable was -
Information Technology Recommendations, including systems hardware, software and peripherals
standards, systems integration, networking, and communications.
12. Articulate Strategic Information Technology Vision and Implementation Plan -
Working with City Staff, ThirdWave documented a fully responsive enterprise-wide information technology
strategy. This vision and strategy articulated where the city stood, and what the direction should be, including priorities. The strategy provided an IT path allowing the City of Las Vegas to meet its demands -
as the fastest growing city in the country. The ITSP incorporated and addressed management,
operational and technical issues. The deliverable was a Strategic Information Systems Plan, presented in
a logical and phased approach. The plan included a detailed cost estimate for implementation.
18. Developed a Request for Proposal
Worked with staff to produce and RFP document to use in the procurement of 10 million dollars worth of ’
new Information Technology.
City of Las Vegas Water Pollution Control Facility (WPCF) Information Technology Strategic Plan,
Las Vegas, NV ThirdWave was retained as a subconsultant to HDR Engineering Inc., Folsom, CA, to develop an - integrated enterprise-wide IT Strategic Plan. The goal consisted of updating and integrating the entire
plantsite’s information systems, networking/communications, and instrumentation/operations systems. It was the intent of WPCF to develop and implement systems supporting the real-time operation of the
plantsite -- as a whole enterprise and integrated unit. -
1. Information Systems Inventory
Conduct a plant-wide systems inventory and deliver an enterprise-wide information systems inventory. -
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Corporate Qualifications 6.16.99
2. information Technology (IT) Systems Analysis
Conduct an information technology systems analysis and deliver a systems analysis document.
3. End-User Requirements Interviews Perform end-user requirements interviews and provide the end-users document.
4. Work Flow Process Modeling (WFPM TM)
Perform a Power Monitoring & Control System Process Model, WPCF Management Information
System Process Model, and a Customer information System Process Model.
5. ’ Recommendations & Technical Specifications
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Systems Evaluation, developing a functional specifications, evaluating commercial off-the-shelf products
versus new product development and recommendations for most appropriate IT strategy. Power Monitoring & Control System Recommendations, WPCF Management Information System
Recommendations and Customer Information System Recommendations were delivered
6. Information Technology Implementation Plan
P Created a plan for implementing a power monitoring and control system, WPCF management information
system and customer information system.
7. Cost Estimate and Cost Benefit Analysis
Develop a cost estimate for implementation, and a cost benefit analysis for each information system.
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8. Subsequent phases included the implementation of the following enterprise-wide information
technologies:
l Power Monitoring & Control System
l WPCF Management Information System
0 Custom Information System
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Southern California Association of Governments: “Office of the Future”
ThirdWave was retained by Julien J. Studley, a leading commercial real estate leasing company, to assist
in the development of a plan to merge two regional transportation companies in Southern California: The Southern California Association of Governments (SCAG) and Commuter Transportation Services Inc.
(CTSI). SCAG is a regional government organization representing 184 cities in southern California, with
the mission of forging consensus for regional transportation and air quality standards. CTSI is
responsible for operating a rideshare program for Los Angeles, Orange, San Bernardino, Ventura, and
Riverside counties including autos, buses, the new metro system, and the regional rail systems.
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ThirdWave was responsible for addressing information technology issues deemed critical to the success
of the SCAGKTSI merger. Our scope of work included the following:
1. Information Systems Analysis
l Generated a comprehensive information systems inventory for SCAG and CTSI. This included a
computer systems for 140 person 135,000 square feet SCAG facility and 100 person 20,000 square
feet CTSI facility. This also included all information systems for both organizations: approximately 200 286/386/486 PCs running assorted office automation software
l 32 Macintosh computers, running mostly graphic design applications
l 25 RS 6000 workstations running ARC/INFO GIS software and TranPlan transportation modeling
applications
l Several DEC VAXes used as servers with “dumb” terminals attached
l DEClMacintosh pathworks, Novell Token Ring and Ethernet topologies 2. Developed a high level analysis on integration and connectivity issues for the merger, with the
assistance of end-user and management interviews. 3. Systems Integration Issues and Recommendations
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ThirdWave
Corporate Qualifications 6.16.99
4. Identified opportunities to increase the cost effectiveness of the newly merged organization
through the use of information systems.
5. Developed SCAGlCTSl systems integration recommendations. 6. Developed recommendations on alternative scenarios, leveraging information systems as a
communications tool, for instance:
l Expanding the use of regional satellite sites, with lower lease costs
a Telecommuting Sites, such as staff working from home
l Implementing video conferencing tools to eliminate or minimize staff travel
l LAN/WAN communications solutions, tying remote offices to the central SCAG facility
7. Develop associated budget considerations for the technology recommendations.
City of Los kngeles: CADD RFP, Evaluation, Selection and Implementation Developed and carried out the following for the Bureau of Engineering, Department of Public Works:
1. Requirements study for CADD and office systems, addressing the design process and the City’s
MIS requirements.
2. CADD RFP written for application software, systems hardware, peripherals, communications and networking, and data exchange. Developed bureau and city-wide CADD and information system
strategy.
3. Evaluation and Selection, short listed process, generated engineering application specific
benchmark, coordinated vendor demos and final systems evaluation and selection for $6.6 million CADD
system purchase which included software, engineering workstations, plotters, and optical scanners.
4. Implementation and Training Plan developed for addressing key implementation issues which were
training, methods and procedures, graphic standards, data conversion, database management,
operations management and system support for the Auto-Trol / Optigraphics, AutoCAD, and ComputerVision Systems.
Architectural-Division: Facilities management and architectural design Central District: Street and storm drain design
City Administrative Officer: Financial and budgeting issues
Design Research and Standards Division: Construction technology standards
Hyperion Engineering Division: Wastewater systems design Information Services Department: Citywide MIS integration issues
Land Development and Mapping Division: AM/FM, cadastral mapping design and drafting Project Management Division: Planned capital Improvements
Survey Division: Civil and survey function, design and drafting Structural Division: Structural and bridge design and analysis
Valley District: Street and storm drain design and drafting Wastewater Engineering Systems Division: Wastewater systems design and drafting
Wastewater Program Management Division: Program management cleanwater program
West Los Angeles District: Mapping, street, storm drain and sewer design and drafting Harbor District: Mapping, street, storm drain and sewer design and drafting
Hyperion Construction Division: Wastewater construction management Tillman Construction Division: Wastewater construction management
Assessment Division: Real estate assessment Real Estate Division: Real estate acquisition
Construction Division: Cost estimating and change order processing for public works projects
Survey District Offices: Valley, West LA, Pipertech and Harbor district engineering and design
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Software Development
City of Las Vegas: ITSP Implementation (CLV 3), Las Vegas, NV ThirdWave was awarded a third contract to develop enterprise-wide applications for the City. This
enterprise-wide automation program entails providing expert on-site programming staff to t-e-engineer and
develop all of the City’s major legacy systems. The following briefly describes the scope of work:
1. Provide on-site Senior Consultants, responsible for the following:
Develop and Manage Application Deployment Plan. Develop Project Plans for all Business Application
Development. Develop Integrated Development/Implementation Schedule.
l I Mentor Technical Professional Staff
l Consulting Roles
l Structured Systems Analysis
a Strategic Planning
l Project Management Techniques
2. Provide on-site Senior Software Developers:
Manage Application Development and Deployment
l Provide Mentoring, direction, guidance to City IT Development Staff in Structured Development Life
Cycle techniques
l Assist in developing and implementing Software Design Standards
l Manage Deployment of Commercial off-the-Shelf Products
l Manage analysis and evaluation process
l Manage implementation and customization of commercial products
l Participate in the database design and integration activities
l Re-engineering existing databases
l Develop database designs for new applications
l Assist in data mapping and conversion
l Ensure the applications developed integrate with other existing or new applications in the City
3. Provide On-site Delphi/Oracle Developers:
l Action Workflow Trained Developers for, Business Services Applications
l Delphi/Oracle Programmers, to Re-engineered 15 Legacy Applications
l Commercial Application Consultants
r Department Water and Power: On-line Organization Chart Application
Application development and systems integration for the Power Systems Services Division. Developed
and implemented a working prototype application to access personnel databases on two distinct IBM 3090 mainframes from personal computers. Used Intergraph MicroStation on an IBM PS2 as the graphic
interface, in conjunction with dBase IV, creating an on-line relational organization chart for management
review.
Department Water and Power: Convert DWP Financial Model from Excel Calls to C Routines
ThirdWave was retained by Decision Focus Inc., Portland, Oregon to provide programming services in converting a financial model developed for the Department of Water and Power, City of Los Angeles. Originally developed as an EXCEL spreadsheet, the program ran too slow (90 minutes) to make it user
friendly. We converted the EXCEL calls into C language based routines which significantly enhanced the
processing speed of the queries down to 13 seconds. The large and complex database modeled various
power generating business strategies, options, and related cost for the DWP, including the following 12
management reports:
l Labor compliance records Timing Factors: operations adjustment coefficients
l Market Prices: operations field prices, thermal energy, by-products, start-up fuel prices
l Capital Investment: land, plant construction, operating fuel inventory
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Value of Plant Production: thermal energy, value, product value, and electric energy value
Fuel Expense: operating fuel, start-up fuel expense, total energy expense
Operating Expenses: property taxes, insurance, fixed operations and maintenance
Emissions: social costs, emissions allowances
DWP Cost of Electricity: production costs, bi-product credits, net cost of electricity
Cogenerator Costs of Thermal: production costs, bi-products credits, net costs of thermal
IPP Costs of Electricity: production, bi-product credits, net costs IPP Profitability: operations expense/revenue, profit before interests/taxes, before/after tax profit
IPP Return on Equity: equity cashflow, present value, equity cash flow, cumulative cash flow
DepartmentWater and Power: Customer Information System
ThirdWave was awarded a three year $500,000 contract to facilitate the improvement and maintenance of
the Department’s Customer Information System. The objective is to enhance and extend the usefulness
of its on-line and batch module capabilities. The following were key objectives of the project:
1. Highly skilled and professional programmers capable of performing assigned tasks with minimum
direction from Department Staff. 2. Programmer/Analysts skilled, knowledgeable and experienced in the analysis, design,
development, and implementation of Customer Information Systems, particularly those constructed with Generalized Architecture, COBOL, Assembler H, CICS, VSAM, and DB2 on a ES9000 mainframe MVS
environment. 3. Application architecture and ClCSlDB2 language technical support to resolve performance an/or
technical difficulties incurred by the assigned programmers. 4. Documentation of all work performed to ensure rapid assimilation and understanding of
computerized processes and programs by future work teams.
LA County Metropolitan Transportation Authority: Labor Compliance and Equal Employment
Opportunity/ Affirmative Action Monitoring and Administration Program (EEOIAA
Originally developed by Coopers and Lybrand, ThirdWave was retained to provide software migration and
development of a Labor Compliance Management Information System (LCMIS). This three year
software development/support project was to examine and proceed with one of two options:
1. Migrate the existing application into a relational database client/server environment.
2. Develop a new relational database client/server LCMIS application from scratch.
The LCMIS is used to evaluate, monitor, and enforce the labor/wage and associated compliance and the EEO/AA on an assigned basis of companies having rail related design and construction projects with the
MTA, for example, the Metro Red and Blue Lines, and possible future rail projects and expenditures. The
LCMIS is used to monitor projects comprising $ 1,055,700,000. (One billion, fifty-five million dollars) in construction activity. The LCMIS is used to record and manage data on the following:
l Labor compliance records
l Provide technical assistance reports to construction management personnel
l Conduct investigations of labor compliance violations
l Prepare appropriate notices following the investigation
l Perform duties in accordance with the laws, regulations and provisions which govern public works
contracts in California
Specific Application features and functions which ThirdWave will develop include:
l Enforcement utilization and EEOlAA compliance reviews
0 Payroll reviews 0 On-site inspections
l Employee interviews
l Distribution, dissemination and posting of requirements
l Prompt initiation of corrective action when required
l Reports: quarterly, monthly summary reports, and special reports as requested
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LA County Metropolitan Transportation Authority
1. Freeway Incident Response Services Tracking: F.I.R.S.T. is a multi-agency, multi-jurisdictional
MTA funded project over two years, totaling $2,000,000. The primary agencies consist of the California Highway Patrol, and the MTA. F.I.R.S.T, is an information system that will compliment the CHP’s
Computer Aided Dispatch system by freeway incident information to allied agencies, first responders, the media and other intereste Benefits will include incident tracking, incident
information dissemination, incident and data analysis. ThirdWave provided
senior programmers to meet Highway Patrol (CHP). The
project was implemented at the
2. On-site Senior Systems Programmer/Analysts were provided with the responsibility for major
ap’plication programming developments, including specification, design, programming, integration, testing,
documentation, and training:
l Programming Languages: Visual Basic
l ARC/INFO and ArcView: GUI to GIS Transportation data
l Relational Databases: Oracle
l Computer Platform: IBM RS 6000
3. Service Authority Freeway Emergencies (SAFE): Analysis, design and implementation of a
system to collect and analyze data from over 4,000 freeway call boxes. The purpose of the system is to
provide management information and detection of fraudulent phone calls. The systems software is
Paradox for Windows 5.0 and is it planned to move the database to Oracle 7.
4. Long Range Transportation Plan (LRP): Analysis, design and implementation of a system to model the financial capacity of the MTA over a twenty year period. The system is to provide the Board of
Directors with the information needed to make high level policy decisions and funding levels for the agency. System software is Paradox for Windows 5.0, Excel 5.0 and Oracle 7. This system will make
appropriate use of OLE 2.0 and DDE programming.
5. Conference Room Scheduling System (CRSS): Analysis, design and implementation of a system
to schedule all conference rooms throughout the building. The system software is Paradox 4.5 for DOS
installations and Paradox 5.0 for Windows installations.
The Software Works1 Glendale, CA
The project consisted of programming, in Delphi, a graphical user interfaces (GUI’s) or entry forms, and
menus for a chain of convenience stores. The system is driven by the menus and allows for data entry by
store attendants to track gas prices, fuel amounts, fuel measurements, competitor prices, and store vendors. The description of work included GUI design, data analysis, database definitions, creation of
Interbase tables, populating tables, technical documentation, and the ability to produce 12 different
reports.
Southern California Association of Governments (SCAG): Coordinated Emergency Response
System Developed a stand-alone document delivery system, to distribute an emergency policy and planning document for Southern California Government Agencies and the Federal Transportation Administration. The project was took a 250 page document, and put it into a digital format that could be modified to meet
the organizational needs of each agency receiving the document.
I, Disaster Preparedness Policies: Developed by SCAG to help state and federal agencies prepare
for large scale emergency situations such as earthquakes, fires, and floods. Guiding policies, planning, and responsibilities of all individuals in an organization were detailed in the document. The Disaster Planning and Management Policies were provided at no cost to agencies throughout the
United States. The policies addressed:
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l Facility Operations: operational tasks, administrative responsibilities, communications, command
post, and training requirements.
l Service Resumption: operational requirements, first aid and crisis management, training, and on-
board guidelines.
l Regional Coordination: service policies, authority, media relationships, and administration.
This development effort posed a number of technical challenges to meet the objectives of SCAG. Namely
it would have to:
l Ship as a stand-alone application.
l Allow for customizationby each agency, while protecting the integrity of the source document.
l Provide robust data management capability to make global changes in the database.
l ’ Provide report capabilities, by person, responsibility, or facility location.
l Work on a variety of personal computers, from XT to PS2 class PCs, with migration options to
Windows, UNIX, XENIX, VMS, and the MAC environment.
l Ship as a commercial grade application with a complete, professionally produced User Reference
Guide.
l The entire application programming/development and documentation was carried out over a very
short timeline of 70 weeks.
Southern California Association of Governments (SCAG): Rideshare Software Development
Programming Services Provided senior programmers to assist in the development of transportation/computer software for
SCAG’s DEC VAX computer system. Developed on-line interactive software using VMS FORTRAN and COBOL, RMS indexed files, and PC Windows data maintenance/transfer software. This was a six month
project working within SCAG’s office and their staff to carry out the following two tasks:
I. Develop an Rideshare Automated Tracking Program
Track SCAG’s Rideshare survey from initial processing on the DEC VAX computer system, to provide on-
demand status reporting of work in progress for local and remote, non-networked users. This task
included:
l Identifying and tracking points of interest
l Modifying existing DEC VAX FORTRAN processing/scheduling software to record the tracked events
l Programming the inquiry and reporting programs
l Implementing the application
2. Design, develop and implement CarNanpool Candidates with Vanpool Providers Design, develop and implement the integration of carpool candidates, vanpool providers, and Park-N-
Ride lot information between the SCAG system and other rideshare systems operated by transportation management agencies and employers. This task included:
l Collecting data specifications for foreign rideshare systems
l Defining common data specifications which could be supported by all systems.
a Defining data conversion formats, protocols and procedures
l Developing data export and import routines for the regional rideshare database computer system
l Implementing the data exchange process
Worldport Los Angeles: Concrete Wharf Inspection and Repair Program
ThirdWave was retained by Han-Padron and Associates of New York City, to assist in the development
and implementation of procedures for a concrete wharf structure inspection and repair program. Worldport LA is one of the busiest container ports in the US. In 1995, the Port moved over 2.6 million
TEUs (twenty-foot equivalent units) and generated employment for more than 1 million people
nationwide. Encompassing more than 7,500 acres of land and water, the Port provides 29 cargo- handling terminals on 28 miles of waterfront. The port-wide comprehensive operations/maintenance
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program to maintain 100 berths consisted of approximately 41,000 lineal feet, or 8 miles of wharf
frontage. The objectives of the program were to:
l Establish a routine, continuous inspection program of all concrete wharves.
l Establish a computerized database providing on-line information to several engineering groups on
wharf inventory, maintenance and repair status of all wharves and their load rating.
l Establish a program for the repair of environmentally and accidentally caused wharf damage, thus
extending the useful life of waterfront structures.
ThirdWave’s role was to design, develop and implement a PC based relational database to manage the
inventory, inspection and maintenance of the new program. Specific tasks included the following:
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1. ’ Used Paradox I PAL engine to develop a database meeting the following requirements:
l Start small and easily grow in size.
l Be extremely flexible, with the ability to be modified and expanded over time.
l Integrate the PC based program with other management information systems, such as, IBM
mainframe applications, CADAM and AutoCAD systems, and a GIS, ARC/INFO, running on SUN
engineering workstations. 2. Produced documentation, reference and user manuals, for the new automated system.
3. Train Worldport Inspection and Engineering staff in the inspection procedures and database usage. The POLAIRIS training provided was an overwhelming success. Of the POLA staff trained, 95%
rated the overall class/training experience as “Excellent.” In the evaluation form, under the category of “Ability to use the knowledge gained for doing your work.” 100% of the students rated the class as
“Excellent.” 4. Provide technical advisory support for one year after the completion of the project.
Worldport Los Angeles: Automated Inspection/Repair Information Systems (AIRIS) This was the second phase development project to enhance and convert the first phase POLAIRIS
application into a Windows relational database, client server application called AIRIS. ThirdWave also ported and integrated the application with hand-held computers facilitating automated data collection.
1. AIRIS for Windows Client Sewer Development
l Develop AIRIS for Windows Prototype
Develop a Windows Prototype of the AIRIS screens and user interface flow. Preliminary screen
design was carried out for major screens of each of the modules. The user interface and flow were
reviewed internally and tested for visual ergonomics and user friendliness.
l AIRIS for Windows Programming This task entailed AIRIS programming in a client server application, using Delphi as the front end with
Microsoft SQL Server as the backend.
Worldport Los Angeles: Microcomputer Enterprise Budget System
Designed and developed a microcomputer budget system in association with ASST, Inc. ThirdWave used custom Paradox programming to upgrade the process of compiling and consolidating detailed financial information for the $227,000,000 annual business plan and budget cycle. The program provided
the entry of detailed budget cost information, computation of costs by account element, and the consolidation and reporting of budget totals by division and port-wide. ThirdWave addressed two major
components. First, the compilation of a $125 million Operating Budget constructed from detailed
information by 26 operating divisions and then the $102 million Capital Expenditure Budget. ThirdWave’s specific tasks included:
l Evaluation of current systems & methods l System design & development
0 System installation &testing l Preparation of operating & technical manuals
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Software Development - Oracle
California Public Employees Retirement System (CalPERS),-Gabriel, Roeder, Smith & Company,
Southfield, Michigan
Retained as a subconsultant to provide Oracle programming services. Responsible for prototyping
screens, and coding procedures/triggers for the Participant Maintenance Module using Developer/2000
Forms 4.5 tools. Developed master/detail forms for the Participant Data Maintenance Database, which
provided the user with edit, querying, insert, and deletion functionality. Documentation of the completed
program, and technical assistance for Developer12000 and Oracle database administration were also
provided. _
City of Costa Mesa: Evaluation Report & Oracle Database Optimization,- Costa Mesa, CA
ThirdWave was retained to assist the City, and HP to implement an enterprise set of applications, such as
Human Resources, in a multimillion dollar automation program. The scope of the work included the
following tasks:
I, Performance and Tuning Evaluation Report
EvaluateD a technical report on the sizing of the City’s servers, which was written by another consultant.
ThirdWave was asked to verify the findings of the report, which the City had some reservations on. In
addition, this document satisfied the City’s request for a list of tables to assist in determining database
capacity. The Performance and Tuning Evaluation Report addressed the following issues:
l Increasing Number of Hard Drives
l Database Fragmentation
l Tuning Oracle Redo Logs and Rollback Segments
l Allocating Additional Space for the Production Environment
l Recommendation for a Detailed Usage Analysis
l Recommendation for Reducing Fragmentation of Database
l Disk Mirroring
City of Glendale: Upgrade/Expand the Power Scheduling/Accounting Computer System,_Glendale,
CA
ThirdWave was retained to assist the City upgrade and expand the Power Scheduling and Accounting
Computer System. The scope of the work included the following tasks:
1.
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Upgrade Existing Sewer
Determine platform for upgrade
Upgrade Oracle 7.1 server at Power Plant to ~7.3, possibly convert to WinNT
Migrate PSA Data
Database Analysis to determine size
Develop import/export procedures Migrate PSA data from Oracle ~6.0 dbs to ~7.3 server at the Power Plant
Data Backup Procedure Develop automated data backup using existing Cheyenne ArcServe backup software.& HP
tapedrive located in PS-POWER Novell ~4.1 file server
Improve File Security Review and analyze existing security Improve existing file security using Manager Level/User Level password coding in Oracle
TCPllP Protocol
Setup and test TCP/IP protocol
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l Develop TCPllP protocol client connections from the workstations to Oracle Server
6. Workstation Migration to Win95
l Carry out Workstation migration to Win95
Riverside County District Attorneys Office: Database Optimization, Riverside, CA ThirdWave was retained by the Riverside County District Attorneys Office to assist with the optimization of
the RDB4 database for the future migration of the Criminal Information Management System (CRIMES). The scope of the work included the following tasks:
1. ’ Systems Analysis: Inventory of Current VAX System Configuration and Applications
ThirdWave worked with County Staff in systematically compiling information on current VAX hardware
and software configurations, networking infrastructure, and existing applications, addressing the following:
0 VAX processors
0 System memory
l Disk and Tape Storage
l Networking HW and SW
l VAX/VMS Operating System version and patches
l VAXIVMS SysGen Parameters
l Layered SW and Versions
l Applications and Work Load
2. Monitor and Collect System Performance Statistics: Using VAXNMS utilities, ThirdWave worked
with County Staff to collect system performance statistics, such as:
l CPU and memory utilization
l System and User processes
l Paging and swapping file size and utilization
l I/O subsystem utilization
3. Analyze System Reports: Based on the information collected in the previous tasks, ThirdWave
identified and documented strategies and recommendations to enhance system performance.
4. Database Analysis: Inventory of Current DB Configuration
Gathered information on the current database configuration and investigated current problems.
ThirdWave met with the Database Administrator to walk to identify such issues as:
l Types of current transactions
l Number of concurrent users
l Type of reporting
l Number of reports
l Heavily used tables for insert and update
l Table capacity and retention
l Index capacity and retention
5. Monitor and Collect Database Performance Statistics
Using Database performance monitoring tools; gathered information on the current working environment
to define systems problems. Activated System Monitoring to assist in identifying the cause of any
deficiencies or problems with the database such as:
l Application tuning 0 Connection issues
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l Memory
l Resource
l Table and Index Fragmentation
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6. Analyze Database Reports
Reviewed reports or output generated from the performance monitoring tools. Documented the findings from the performance monitoring and made recommendations to resolve the problems.
7. System/Database Review Session with County Staff
a Inventory of Current VAX System Configuration and Applications Reviewed -the performance monitoring findings and recommendations with the County. County
Database and System -Administrators met with ThirdWave to discuss the problems encountered and
implementation of possible solutions.
8., Database and System Performance Tuning
Implement the performance tuning recommendations on the database. The I/O contention, excessive paging or swapping was addressed and measures were taken to resolve the problem.
l VAX System Performance Tuning
ThirdWave worked with County Staff to plan and implement the strategies and recommendations
drawn up in previous tasks. Using VAIWMS SYSGEN and AUTOGEN utilities, system parameters
were modified as required to enhance performance. Size allocation and physical disk location of
system pagefiles and swapfiles were also addressed. System performance statistics were collected
to analyze the effectiveness of system performance tuning.
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Systems Integration
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City of Las Vegas: ITSP Implementation ( CLV Phase 21, Las Vegas, NV
ThirdWave was awarded a second contract to revamp all of the information systems throughout the City. The goal of the City was to streamline internal business practices and enhance external service &livery
to citizens. This enterprise-wide automation program entailed the implementation of $10 million of
Information Technology over a 4-year period. The following describes the scope of work for the comprehensive automation program for the fastest growing city in the country.
1. Implementation Plan
Develop a co’mprehensive technical work plan, and detailed network design, including: 0 On-site surveys of all city facilities (approximately 100 sites)
l Network design / architecture and validation
l Quality functional deployment project plan and a refined schedule
2. Enterprise-wide LAN/WAN Infrastructure
Build an Enterprise-wide technology infrastructure required to support the City’s new client/server
environment. The four major components are:
3. Network and Communication Installation
Implement a new Enterprise-wide LAN/WAN network infrastructure based on Fiber Optic technology and utilizing high-speed routers and switches along with intelligent hubs.
l Fiberoptic cabling infrastructure design, implementation and testing
l Communication hardware installation and configuration
l ISDN communication
l Category 3 cabling upgrade to Category 5
l WAN testing and troubleshooting
l Network tuning and optimizing
l Create final network configuration documentation
4. Microcomputer Installation
Replace or upgrade 750 desktop computers to conform to the new city-wide standards (Microsoft Office,
E-mail, Microsoft NT Workstation, Pentium 100, 16Mb RAM, 1.2 GB hard drive) as well as install an
additional 500 new computers.
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5. Sewer Installation and Configuration
Install and configure one 8400 and two 2100 DEC Alpha servers running Digital UNIX, to be used as core
business application servers replacing the mainframe computers.
6. Implement Oracle as city-wide Database Standard
Develop an Enterprise-wide database design, standards and documentation to convert from an existing mainframe database environment to a client/server relational database environment. Install and
configure Oracle throughout the enterprise. Formal database modeling, analysis and sizing processes
were undertaken. Steps were taken to analyze the databases by defining unique fields, primary keys,
possible foreign keys, default values, required fields and list of values. The databases were normalized to- remove data redundancy and repeating groups, ensuring data consistency. Inconsistencies in data type formats and field names for the same data were also standardized across all City departments..
7. Training
Educate approximate 1,000 city MIS staff and end-users on the new technology. Educate the users to
effectively utilize the new tools and applications implemented and provide ongoing training through a new
training center.
l Develop Training Plan: for MIS staff and end-users, including timelines and curriculum outlines.
l Provide MIS Training: on new Alpha servers and associated systems, and make recommendations on operating system, network and database training.
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l Programming and Application Development Training: MIS support staff on new programming and
application development tools for a client/server environment.
- Delphi and Visual Basic
- Client Server Application Programming
- Mainframe Migration Tools
- Microfocus COBOL and C++
l End-User Training: assist in training City staff on the new PC technologies and applications covering
fundamentals and office automation.
l ARC/INFO Geographical Information System Training: assist in training GIS technical support staff
on new GIS technologies and selected city staff on GIS end-user applications developed.
a , Imaging 1 Document Management Application Training: trained MIS technical staff and city end-users
on the new imaging and EDM application.
l New Application Training: trained end-users on the in-house developed applications and commercial applications.
l Build New Training Center: act in an advisory role to build a new training facility for in-house training
of city staff. Assisted in setting up new training facility, upgrading, networking and configuration of
training facility systems
8. Mainframe Migration (Rightsizing)
Migrate all programs and applications from the mainframe computer to the new DEC Alpha servers while
continuing to provide ongoing support to end-users.
l Mainframe Program Conversion: convert mainframe COBOL programs/applications, that have been deemed valuable and usable, to the UNIX /Oracle environment, as initial phase of migration. Convert
and enhance program code utilizing Delphi and/or Developer 2000 to take advantage of the benefits associated with Client/Server.
l Mainframe Program Maintenance: act in an advisory role and provide temporary programming
support for city staff while migration is being conducted.
9. Commercial Applications Replace existing Mainframe COBOL applications, that do not meet user requirements, with new
Commercial Off the Shelf (COTS) UNIX applications.
l Selection and Acquisition: utilize and institute a formal method of selecting and acquiring commercial
applications. Responsible for conducting the selection and acquisition process the first time. Act in an advisory role and provide assistance in subsequent efforts.
l Application Implementation: utilize and institute a formal method of implementing commercial
client/server applications. Participate in the implementation process.
10. Electronic Document Management and Automated Workflow
Implement a city-wide Electronic Document Management (EDM) System to create a near paperless environment by the year 2000; automate business practices by implementing workflow automation
technology city-wide. EDM tools, integrated with the workflow products, will assist in automating business
processes in all 13 departments across the city. The EDM was piloted with the Land Development process spanning over a dozen departments. The purpose was to select the most complex business
process in the city and test enterprise-wide architectural design assumptions, including the following:
l Product Selection: institute a formal method for selecting and acquiring an enterprise document management/workflow application and tools.
- Develop an end-user requirements document
- Develop a functional requirement specification document
- Extensive research and evaluation of document management and workflow solutions
throughout the industry - Provide product selection and acquisition recommendation
l Pilot Preparation: Identify test environment, including users, scanning, and training. Install database
and configure enterprise document managementlworkflow systems, including workstations, scanners,
plotters and an optical jukebox.
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l Business Process Analysis: review existing Land Development Tracking business workflow processes. Conducted in depth working sessions and process analysis with end users and
management.
l Business Workflow Process Redesign: created an electronic workflow model. Developed redesigned
business process alternative scenarios for review with management. Finalized the new and
enhanced business process workflow.
l Conceptual Design: developed the application definition specification, database design specification and requirements. Created screen prototypes and held design reviews with users and management.
l Application Development: utilized James Martin and ThirdWave’s Rapid Application Development methodology to develop the Land Development Paperless Workflow Automation application,
, conducted alpha testing, implemented user revisions and enhancements, conducted beta testing, and final pre-installation testing.
l Application Implementation and Recommendation: implemented the Land Development Paperless
Workflow Automation application in the production environment. Provided final technology review,
assessment and recommendations, as well as a city-wide implementation and roll-out plan.
11. Geographical Information System Provide the GIS group with the means and tools to allow for enhanced system performance and service
levels, and the implementation of an enterprise GIS system.
l -Develop GIS Marketing Program: developed and carried out a marketing program to inform city departments and local citizens about GIS. Developed a recommendations document and a
marketing plan.
l Spatial Database Engine Pilot Program: conducted a pilot to determine the feasibility of providing
‘geographic information to city user groups and outside entities, via a high speed enterprise network utilizing ArcView. Specifications, requirements, installation and configuration of Spatial Database
Engine were provided. Pilot testing and pilot evaluation was documented in a final report.
l GIS Enterprise-wide Implementation: developed a plan for a city-wide implementation of the Spatial
Database Engine and assisted with the SDE Implementation.
12. Internet Services and Applications
Develop new applications that focus on service delivery to the citizen as well as internal city business
practices, such as community centers running networked computers to city hall for business license applications.
l Client Server Application Development: developed and utilized a formal methodology in new
application development.
Created a formal application development methodology and documentation
Assisted in producing a functional requirements document and developing a new application
l Citizen Applications: developed new applications utilizing client server methodologies that are
focused on the citizens of Las Vegas.
Assisted in the development of an on-line application processing program - Assisted in development of an automated ticketing program
Assisted in development of interactive help centers
l City Internet Access: implemented secure Internet access for city use, (using firewalls) as well as provide the capabilities for outside entities to communicate with the city. Also explore Internet multimedia and interactive on-line services.
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City of Las Vegas: ITSP Implementation (CLV Phase 3 ), Las Vegas, NV
ThirdWave was awarded a third contract to develop enterprise-wide applications for the City. This enterprise-wide automation program. Provided expert on-site programming staff to reengineer and
develop all of the City’s major legacy systems. The following briefly describes the scope of work:
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f. Provide on-site Senior Pro]ect Management, responsible for developing and managing the
Application Deployment Plan including the following:
l Develop Project Plans for all Business Application Development
l Develop Integrated Developmenfflmplementation Schedule
l Mentor Technical Development Staff
l Consulting Roles
l Structured Systems Analysis
0 Strategic Planning
l Project Management Techniques
2., ProvjcG on-site Senior Software Developers to manage the Application Development and
Deployment
l Provide Mentoring, direction, guidance to City IT Development staff in Structured Development Life
Cycle techniques
l Assist in developing and implementing Software Design Standards
l Manage Deployment of Commercial off-the-Shelf Products
l Manage analysis and evaluation process
l Manage implementation and customization of commercial products
l Participate in the Database Design and Integration Activities
l Re-engineering existing databases
l Develop database designs for new applications
l Assist in Data mapping and conversion
l Ensure the.applications developed integrate with other existing or new applications in the city
3: ‘Provide Delphi/Oracle Developers to Lead Development Teams:
l Action Workflow Trained Developers, Business Services Applications
l Delphi/Oracle Programmers, Re-engineered Applications including the following applications:
- Fire Services - Parking & Hearing
- Court (ASED, S&E) - Business License
- Detention - Misc. Business Acct.
- Animal Control - RoomTax
- Parking Permit - Senior Law
- Central Permits - Woodlawn Cemetery
- Planning - Check Reconciliation
- Special Imp. Dist. - CARS
- Housing & Urban Dev. - MicroFilm
- Neighborhood Services - City Project Tracking
l Commercial Application Consultants, 3 Commercial Applications
4. Optional Technical Services:
l One temporary Delphi/Oracle developer for Financials development
l User Needs Analysis task for business services
City of Los Angeles, Bureau of Engineering: Systems Integration & Networking Program DMJM/Black and Veatch retained ThirdWave to provide systems integration services to the Hyperion Construction Division (HCD). ThirdWave was responsible for the following:
7. Develop information Systems Strategy for the division, addressing the implementation and
integration of the network, optical disk storage subsystems, Sun Spare Station fileservers, imaging technologies, and project management applications.
2. Systems procurement and integration for all of the above systems.
3. Methods and procedures development and training for AutoCAD, Auto-trol and Optigraphics Scanning System.
4. Network systems management procedures and training for HCD systems support staff.
5. Data transfer methodologies for data exchange between CAD and office automation systems.
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Corporate Qualifications 6.16.99
6. Provided a full time, on-site, Systems Programmer/Analysts and ongoing imaging, network, and
systems support for all systems.
7. Computer systems /easing of workstations.
8. Autolisp programming, customization, and training of HCD staff utilizing AutoCAD menus and
tablets for the substructure mapping of the treatment plant.
9, Imaging/Records Management Requirements Study and technical assessment of various imaging
and document retrieval technologies available on the market.
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City of Los Angeles Police Department: Emergency Command, Control and Communications System (ECCCS) Upgrade and Enhancement Program
This is a 7 year, $220 million multi-phased project to upgrade, enhance and extend the ECCCS of the Los
Angeles Police Department. The ECCCS will operate in a new decentralized dual dispatching center
when complete. The project includes a systems and facilities needs analysis study, identifying functional requirements, preparing conceptual and final design documents and preparation of bid ready
specifications.
ThirdWave was retained by TRW to assist with Software development, LAN/WAN Implementation and
Geographic Information Systems, (GIS) services, constituting approximately a $6 million level of effort. The ECCCS will utilize high end DEC Alpha Servers, opticallfiber communications, Oracle databases and
ARC/INFO Spatial Database Engine GIS solutions. The computer support program consists of designing and developing a plan to-migrate the existing and fully functional ECCCS from its current location to a
new facility that is under construction.
A second dispatch center will also be built and the project involves integrating the two systems. The
: systems integration. effort is required to ..produce baseline system design documents. This includes a
functional requirements and detailed design specifications, which.will define the integration of all major
existing .and planned system segments including: voice radio, data radio, computer support and
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City of Los Angeles, Bureau of Sanitation: Laboratory Information Management System (LIMS)
ThirdWave was retained by Automated Compliance Systems, Bridgewater, New Jersey, to provide LIMS LAN/WAN implementation services at four treatment plants operated by the City of Los Angeles which
are located throughout Los Angeles County.
l Hyperion Treatment Plant, the largest treatment facility in the United States
l Tillman Water Reclamation Plant
l L.A Glendale Water Reclamation Plant
l Terminal Island Treatment Plant
r
Installed the LIMS application in the Environmental Monitoring Division (EMD), offering enterprise-wide
environmental data sampling and data management tools. Use ACS’s proprietary software to achieve
efficient operation, improve data reliability, and provide compliance with the Federal EPA’s Good
Automated Laboratory Practices. ThirdWave’s responsibilities included the following:
1. To provide LIMS hardware systems:
l Hyperion Plant: DEC 3000 M800S Alpha Server running OSF/l using Oracle, with 128MB RAM, 6
l
GB HDD, 600 MB CD-ROM and a 2.8.GB tape backup.
Tillman, LA Glendale, and Terminal Island Plants each have: DEC 3000 M600S, run&g OSF/l using Oracle, with 96MB RAM, 3 GB HDD, 600MB CD-ROM and a 2.6 GB tape backup.
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2. Site Preparation Study
The study consisted of a comprehensive on-site systems’analysis of each EMD laboratory. This included all hardware, operating systems, software, peripherals, and networking/ telecommunications issues.
Produced a formal specification and system configuration.
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ThirdWave 11400 W. Olympic Blvd. Suite650 Los Angeles CA 90064 310914 1480 FAX 310914 1490
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Corporate Qualifications
3. Master Implementation and Integration Plan
l Inspection noting equipment type, location, and distances of existing and proposed runs.
l Identify all physical work needed to prepare facilities for new systems.
l Work closely with DEC in developing systems integration plan.
l Interviewed EMD users to develop a coordination plan, and to minimize work disruptions.
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4. LIMS Implementation
l Networked hardware and software and peripherals.
l Performed system, LAN network, WAN configuration and testing across the four plants.
5. System Documentation and Training
l Developed custom systems documentation on applications installed at each EMD site.
l ’ Provided customized end-user training and systems management training to MIS staff.
6. Ongoing Technical Support Provide on-site and telephone LAN/WAN support on an as-needed basis.
Chevron U.S.A.: Management Information Systems Outsourcing, El Segundo, CA
ThirdWave was retained by this petrochemical leader to provide comprehensive MIS support services for an environment consisting of 300 Macintosh, 300 IBM DOS, and 100 UNIX workstations. Specific
--activities include systems research, planning and design, systems and application development, systems
integration, managing a refinery-wide Help Desk, and LAN/WAN design, implementation, and
management. The following outlines work ThirdWave completed.
1. The 300 Macintosh Systems
l Established new policies and procedures to enhance Help Desk efficiency providing technical support
for over 750 Users.
l Completed a plant-wide roll out of Macintosh llci and Centris computers on a very tight schedule. This included 10 refinery divisions, with 7 to 27 workstations within each division.
l Completed Macintosh operating system and hardware upgrades consisting of Quadra 800’s, Centris 610, 650, SE30, II, Ilcx, and llci systems. Assessed the use of file synchronization products, network
zoning and server access. Developed flat file database for tracking computer systems and users, and consolidate all existing databases into one relational database management system.
l Developed installation procedures for several software packages and systems configurations
standards.
l Carried out hardware testing for all systems, monitors, and configurations.
2. The 300 PC Systems
Completed operating and hardware upgrades for 300 workstations. Also installed and setup 24
486DX2/66 Compaqs with memory and video card upgrades. ThirdWave installed and setup Windows 3.1 on those same 24 workstations.
3. AutoCAD and Imaging Systems PClSunlDEC Installed Chevron’s Refining Document Management System software on 24 workstations. This imaging
application pulls raster files into AutoCAD for vectorization, making them available at terminals for viewing
and plotting.
l . Installed and configured AutoCAD Rl.2 ProPipe and QEMM software on 24 workstations.
l Set up Versatec 8510 Plotter to work with AutoCAD R12 network.
l Set up network print que, wrote batch programs for Versatec plotter
l Installed Optigraphics and ScanGraphics imaging hardware, configured scanning and editing
software for use with an Optigraphics large document scanner (E size). Installed and configured Wollangong TCP-IP software for networking the imaging Sun SPARCII UNIX workstations and DEC
VAX 4500s.
l Installed, configured, and debugged ScanGraphics scanning software on a PS2 OS/2 PCs.
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Corporate Qualifications 6.16.99
CRSS for the City of Los Angeles Hypeion Construction Division
1. Customized PageMaker Training
ThirdWave was retained by CRS Sirrine to develop a PageMaker, desktop publishing, training for staff in
the Hyperion Construction Division. The customized class was designed so that the students could use
PageMaker to generate an internal newsletter.
2. Management Information Systems Department Staffing, Los Angeles, CA
ThirdWave staffed the Management Information Systems Department for the Hyperion Construction Division. This 5 year contract was to provide information technology expertise to support the construction of a $1.2 billion dollar, 40 million gallon per day waste treatment facility. The following on-site professional
and technica! personnel were provided.
3. Systems ProgrammerlAnalyst:
Responsible for major application programming developments, including specification, design,
programming, integration, testing, documentation, and end-user training:
8 Programming Languages: C/C++, Access, Visual Basic
l RDBMS Development: Dbase, Paradox/PAL/Paradox Engine, Oracle
l Computer Systems: IBM PS2s, ALR, Compaq, SUN, VAX/I/M.
l Operating Systems: Xenix, Unix, 092, MS DOS, SUN OS
A key application developed under this multiple year contract was the Project Engineers Networked
System (PENS). This was a networked windows-based workflow application developed initially in
Paradox by another firm, which failed to perform. This was reprogrammed by ThirdWave in MS Access. PENS tracked the construction management process flow for several construction projects exceeding $25
million each. It tracked all information received and transmitted ,at the construction division, including correspondence, construction change orders, correspondence and the required sign-offs for each.
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4. Novell-CNE Network Administration on Ethernet Token Ring
To ensure daily operational functionality and performance standards of four computer networks (300
PC’s), including WAN connection to City Hall in downtown Los Angeles.
l Existing Systems Analysis: Inventoried and evaluated existing conditions and systems. ltemized and proposed available options for: organizing software and data files, data storage management,
locating and upgrading components of workstations, and network and systems design.
l Developed Integration Plans: Developed implementation plans and implemented approved changes.
l Network Administration: Ongoing management of the LAN including: set-up of user IDS and passwords, organization of application software and data files, ensuring the security of data, ensuring
reliable access to data, performing data backup routines, administering E-mail, and the production of network status reports. Network Programs included: AutoPlot 3, PC-Tools, Norton Utilities, WPS-PC,
Software Bridge, and QEMM.
r 5. Applications Development Recommended hardware and software supporting the development of custom application software.
l MIS Log Database: Developed and designed the MISLOG database application on the network for
the Management Information Systems group to track PC inventory, system problems and solutions,
and to generate computer hardware / software reports for the IS Department.
l Existing Production Application Modifications: Ongoing modification of existing applications, present all applicabie information on the correct screens, create databases of only pertinent information,
present fields in a logical and ordered manner, calculate totals and sub-totals where appropriate, size
and structure screens in a clear and presentable manner.
6. Installation & Support of Hardware and Software
Ongoing installation of commercial-off-the-shelf and custom software, such as database, spreadsheet, word processing, engineering/AutoCAD, imaging, estimating/scheduling applications as well as
networking components. Components include workstations, printers, modems, disk drives, cabling, tape drives, plotters, and related peripherals.
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Corporate Qualifications 6.16.99
7. Help Desk Responsible for the development of training courseware, on going user training, and support for the
division’s 300 engineers and administrative staff. Supported standard/nonstandard application software
packages. On-going training of end-users on network administration such as Novell 3.1, 4.1 and application, e.g. Paradox, Delphi, Access, MS Word/Excel, Window 95/NT and others.
City of Los Angeles, Bureau of Engineering, Systems Programming and Systems Support
ThirdWave was retained by DMJMlBlack and Veatch to provide full time systems programming expertise
on-site at the City of Los Angeles Hyperion Construction Division. Application programs included:
1. Computer Inventory System: Developed computer inventory system in Paradox to track 110 personal computers, engineering
workstations, file servers, optical scanning workstations and peripheral devices. Designed customized
report forms for each computer system.
2. Project Management Applications Conversion: Imported all VAX Datatrieve data from the Bureau of Sanitation and converted it to dBase IV, and then to
Paradox 3.5 format. The VAX system had eight databases to manage the construction of the Hyperion Treatment plant, a $1.2 billion dollar construction project:
l Project Correspondence l Noncompliance Data l Contract Data 0 Payment Information l Construction Change Orders l Specifications Data
l Construction Plan Data l Shop Drawing Submittals
3. Estimating Application:
Helped estimators design dBase IV application to input and update contractors’ time, materials and labor databases for approximately 25 major construction projects in the $100 million range.
4. CADD Database Management Application:
Relational CADD file -management system, used a single GUI on DOS/UNIX workstations to access
thousands of AutoCAD, Auto-trol and Optigraphics files generated as change orders and modifications to
construction plans. Developed on IBM PS2 platform, the program was ported to a Sun Spare II file server
in a networked Ethernet Token ring environment.
5. Contract Administration Application:
dBase IV application for the Bureau of Contract Administration, used to manage Contract Administration
personnel, all contractors, the work, and the project status.
6. Change Order Costing Application: Paradox based change order system that computed the cost of approximately 1000 change orders (tens
of millions of dollars in construction) by date, revision number and company.
7. Contract Submittal/Completion Tracking Application:
Database application which compiled and graphed the rate at which submittals, RFls, and change orders were initiated and finalized. The program used dBase IV and QuattroPro to consolidate construction data
over a three year period.
8.
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Onsite Applications and Systems Support Staff: Supported Novell network, added users, changed group privileges, added new network applications,
and changed various network configurations on the estimator’s Novell system.
Installed all software packages including WordPerfect, QuattroPro, Paradox, Software Bridge, Primavera, AutoCAD, AutoShade, ASG, AutoPlot 3, PCTools, Norton Utilities, and WPS-PC.
Addressed questions on city’s standard office applications: WordPerfect, QuattroPro, and Paradox. Developed, documented and instructed HCD staff on converting DECmate files into WordPerfect.
Laplinked computers, reformat and repartition hard disks.
Installed Token Ring boards, 3270 emulation cards, 387 math coprocessors chips, external drives. Moved PCs, connect and disconnected peripheral devices.
Coordinated repairs for all PCs and peripherals with the city’s downtown offices.
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Corporate Qualifications 6.16.99
County of Los Angeles, Department of Health Services, Public Health Programs
This project implemented the first automated immunization registry at the County of Los Angeles.
ThirdWave provided Project Management services, as well as technical support, while implementing this
Client/Server system. The system included the Automated Data Integration Operating System (ADIOS) software, an Oracle ~7.3.2 database Digital UNIX v3.2c, the existing county internetwork, the pilot site
(Hubert H. Humphrey Health Clinic), and it’s Novell NetWare ~3.12 based Local Area Network.
1. Coordinate Activities Coordinate activities between the immunization software vendor and various County departments
including lmmunization program staff, Information Systems Branch, Management Information Systems
Division, Community Health Services, and Personal Health Services. /
2. Implementation Requirements This task was performed at various County Health Clinics and entailed:
l Identifying key personnel
a Interviewing key personnel to evaluated clinic work flow
l Evaluating physical space requirements and limitations
l Identifying network requirements, hardware, equipment, wiring and furniture requirements
l Identifying clinic location best suited to pilot the immunization technologies
l Identifying training requirements and personnel to be trained
3. Installation of the Central Site Oracle Database (Central Registry)
Oracle ~7.3.2 was installed over Digital UNIX ~3.2~ on a SUN Spare 20.
4. Implementation Plan and Remote Clinic Implementation
This task was performed at the program pilot site, the Hubert H. Humphrey Health Clinic and included the
following sub-tasks:
l Supervise the installation of hardware, software, wiring, and furniture
l Training personnel
l Pilot the implementation
l Analyze results from the pilot
l Reassess the overall resource requirements for the project
l Finalize the implementation plan and schedule activities by location
l Coordinate the installation and training at each location
P 5. Develop and implement processes, procedures, tools and methodologies for monitoring,
controlling, and coordinating planned activities.
6. Project Management
7. Set up and schedule periodic project team meetings
8. Identify and recommend personnel and resources, for ongoing registry support and maintenance. 9. Identify potential risks and implement risk mitigation plans, including a disaster recovery plan.
10. Develop Status reports and reporting procedures
Housing Authority for the City of Los Angeles: LAN/WAN Project ThirdWave was retained to provide LAN/WAN implementation services between 30 remote sites, located throughout LA County, and the Housing Authority’s Central Headquarters site in Mid-Wilshire. The
implementation, which was carried out in 4 months, included the following information systems: 1. Configured and installed 367 new AST PC (4861586) into 31 Housing Authority departments/sites.
2. Configured and installed 30 new file servers, and implemented local area networks at each site
using Novel 4.1 on an Ethernet topology. 3. Configured and installed 10 distributed cabletron intelligent hubs
4. Configured, installed and tested the communications of 30 remote intelligent hubs.
5. Integrated the new LAN/WAN to the existing ADS minicomputer enterprise-wide payroll system.
6. Installed six new e-mail servers.
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7. Installed 30 new print servers, and connected 66 existing printers to the new LANs at all sites. 8. Upgraded the central site building to an FDDI LAN utilizing a T-l communication configuration for I
remote site access. 9. Provided hardware and software systems training which included:
l Novel 4.1 Netware Management: System/Network administration training to MIS staff
l Cheyenne ARCserve
l Centralized Diagnostic Software
l Management Software
10. Ongoing on-site and dial-up support services, including WAN fine tuning and trouble- shooting. _
City of Las,Vegas Water Pollution Control Facility (WPCF 2) Information Technology Strategic
Plan Implementation, Las Vegas, NV
ThirdWave was retained as a subconsultant to HDR Engineering Inc., Folsom, CA to complete the implementation of the following phases.
1. Provide and install LAN/WAN Server & Database. 7
2. Complete a detailed LAN/WAN design to satisfy the connectivity requirements of the plantsite and to City Hall. Developed a detailed configuration specification for future LAN/WAN environments.
3. Provide Development Platform:
l DEC Alpha Server
l Router, UPS
l NT Operating System
l Oracle Database
l Potential Rows Software
l Bachman Computer Aided System Engineering Software
4. Install and configure LAN/WAN Hardware, DEC server and Oracle database
5. Develop Enterprise Data Model
Existing databases were examined and reviewed in detail in their native state with WPCF
Technical/Systems Support Staff. Data Dictionaries were created for applications that do not have them. _
Issues of standardization were addressed, documented and resolved. This task has developed an
enterprise database model of the existing applications at WPCF, such as:
l Maintenance Management System Design
l Purchasing Control System Design
l Supply Inventory System Design
0 Personnel System
l Training Systems Design
City of Las Vegas Water Pollution Control Facility (WPCF 3) Information Technology Strategic *
Plan Implementation, Las Vegas, NV
ThirdWave was retained as a subconsultant to HDR Engineering Inc., Folsom, CA to provide
development and systems integration services on the following:
.- Online Operations Manual lntranet Application 1
l On-going Technical Support
l Project Management / Coordination
l Other Professional Services as Required
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Corporate Qualifications 6.16.99
Internet / lntranet Development
Ben Franklin Technology Center, Philadelphia, PA
ThirdWave is developing a CalAccess module for BFTC’s U.S. Business Information Center (BIG), an
electronic database library and international market research tool which integrates into the Business
Partnering and Resource Matching section of CalAccess.
1. Add hyperline on Business Assistance page of CalAccess for ‘Market Research’ (short paragraph
description was provided by LARTA or BFTC) 2. Create one page for description of services, key selling points etc. with link to request form
(content was provided by LARTA or BFTC). Links to BFTC web site may also be provided on this page. 3., Create services request form (form fields was provided by BFTC). Submitted form data was e-
mailed to BFTC for immediate notification. In addition, all requests were stored in the CalAccess
database.
4. Report screen. One report screen was created on CalAccess for use by system administrators.
Report showed requests and request summary for a given time period.
Breslow, Loeb, Baumohl &Wall (BLBW)
ThirdWave developed a custom web page for BLBW. This entailed the following tasks:
1. Conceptual Design, addressing the look and feel, color scheme, interface, navigation, and ergonomics of the site.
2. Design, consisting of screen and graphic design.
l Screen Design, including the following screen designs: Welcome Home Page, Services Provided,
People behind the Logo, How to find us, Technology Advisory Group, Payroll News, Tax Law News, and Quickbooks, Quicken, and Peachtree Tips
l Graphics Design, designed graphics for use on the web site.
3. Web Site Development. ‘. :
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City of Las Vegas Web Site Redesign a Enhancements, Las Vegas, NV 1. Redesign and Enhance Existing City Web Site
As part of a larger automation project for the City, ThirdWave has been retained to design and develop a
new web site to replace the City’s initial site. The work included the following tasks:
l Evaluate Existing Web Site, which includes reviewing the existing content and technical requirements
of the City. A Summary of the Evaluation is submitted.
l Conceptual Design, which includes developing GUI Standards, and Page Layout Concept.
l Reformat Existing Web Data, which includes GUI graphics production, GUI HTMUJavaScript production, QA Testing and an Acceptance Document.
l Setup of Site at ISP, which includes installing and configuring the Web Site at ISP, QA Testing, and
an Acceptance Document.
l Web Site Installation and Configuration, which includes server hardware installation, Web Server installation and configuration, configuration for firewall, configuration of protocols, Moving web page
to new City Web Site and testing and Web Server Database installation and configuration.
2. On-line Business License Application Development
This application allows future new business owners to get Business Licenses without ever going to City
Hall. The work includes reviewing the business license process, user working sessions, business process workflow modeling, business process redesign, functional requirements development and an application specification is submitted.
l Application Analysis, which entails the development of an Internet enabled Business License
Application. This on-line application is the first in a series of applications to be developed that will
take traditional City Hall functions to the citizens of Las Vegas. This is part of the “Virtual Las Vegas”
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6.16.99 -
IT strategy, which will ultimately allow citizens to access City services conveniently from their homes
and/or places of business.
l Conceptual System Design, which includes prototyping screens and submitting an application
specification.
l Graphic User Interface Development, which includes graphics production and HTML/JavaScript production.
l Application Development, which includes Metro development, Database connectivity, quality assurance Alpha testing, installing and configuring application at CLV Web Server and final live
testing and bug fixes.
City of Las Vegas: Parks and Recreation Internet Application, Las Vegas, NV
ThirdWave was retained by the City of Las Vegas to develop an Internet Application for the Department of
Parks and Leisure Activities. The application provides the following functionality to the Citizens of Las
Vegas:
I. Select a Park by City/Council District Location
Provide a spatial graphic user interface through the use of City Maps, Council Area Maps, and individual
recreational Facility Maps. Citizens can see an overview of Parks & Recreation areas and click on an item to show availability and schedule of activities, events, or facilities.
2. View Calendar of Activities and Events
Interactive calendar filterable by event criteria. Citizens can click on an event to see an extended
description and register for an event or activity online.
3. Register and Purchase Tickets Online
Allows citizens to purchase tickets online through secure transactions.
4. Check availability of Facilities and Reserve Facilities
Displays availability schedules and allows citizens to reserve facilities online. Payment is made through
secure electronic commerce transactions.
5. Customer Profile This function allows citizens to enter their address and other information into the system for the purpose
of mailing list generation and client tracking. The citizens may also specify their particular interests so they may be notified when events come up via e-mail or through the home page.
6. Complete User Survey
People who have used the site to purchase tickets or reserve facilities may rate the system on
effectiveness, ease or use, etc.
7. View Survey Results
Anyone visiting the site can see how others have rated their experience.
Los Angeles County Economic Development Corporation (EDC) - CalAccess ThirdWave was retained to design and develop a web site, to act as a shared project management tool for the economic development community of the Los Angeles region, and as a central point of information
dissemination for the business community. The web site consists of three main components:
l Shared Client Tracking system, allowing economic development on group projects.
l Interactive Calendar, allowing users to selectively filter events by certain criteria, provide on-line
registration to business development events (seminars, conferences, etc.)
l Resource Matching, facilitating the pairing of private sector businesses for the purpose of creating
strategic alliances, joint ventures, distribution channels, and finding suppliers and customers.
The scope of the work included the following tasks:
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1. Evaluate Interviews & Focus Groups
Scheduled and conducted 10 formal end-user interviews and two focus groups to identify key functionality, and provide the basis for the development. The information collected was compiled, synthesized, and formed the basis of the design criteria and performance parameters.
2. Conceptual System Design
Produced a conceptual system design of the three main modules: the Shared Client Tracking, Interactive
Calendar, the Resource Matching modules, and corresponding reports. Used a structured system design
methodology, including code (logic) flow charts, process flow charts, drawings of interface screens,
database table structures and data dictionary.
3. Graphic;User Interface & Prototype Development
Developed attractive, interactive, intuitive and easy to use graphic user interface, designed by a team of
professional graphic designers and software developers. Developed prototypes of three main modules
with enough features and functions to allow the EDC to review the application for acceptability.
4. System Development
l Application / Database Programming
Developed relational database supporting lnternetlintranet applications to accurately capture the
movement of information between business and service providers. The database provided
automated functionality, such as tickler files, automatic referrals, and the automatic generation of
reports. Additional key features will included the following:
- Provide a separation between public and private information, using appropriate firewalls, Internet
software and password techniques to accomplish 3 levels of security.
- Provide the ability to attach documents created outside the web site environment, such as
photos, scanned contracts, sound/AVI files, video and technical drawings (vector files).
- End User Connectivity, requiring no special hardware/software except a modem/browser. - System Safeguards, providing three levels of security and automatic weekly backups.
l Quality Assurance Alpha Testing I -ThirdWave tested the system, utilizing a structured formal quality assurance methodology.
5. Reports Development
Several pre-formatted scheduled reports and user-defined on-demand reports were programmed,
including the following:
Site-Traffic Reports, reporting the number of hits per days/month, distinguishing between economic
development professionals and general users. The report will track the pages visited, whether
graphics were downloaded, and what actions were taken. GIS Industry Tracking and Analysis, enabling users to graphically depict the results of cluster
analyses, industry tracking, and migration/growth tracking using maps. In addition, the system will include map based display and query of the database.
Cluster Analysis, will be used to visualize the location(s) of similar or related business types, producing a graphic representation of the location and density of certain industries, using SIC codes,
postal zip codes and other GlSlDatabase coverages.
Industry Tracking by key indicators, including average annual employment, peak employment, percentage changes in employment, average annual sales, percentage change in sales, and
percentage of sales exported will be displayed utilizing maps for the industry tracking.
Migration and Growth Tracking, as a mechanisms for the collection and maintenance of historical
information, enabling the EDC community to see various migration patterns within a given
industry/business sector, graphically represent which industries relocate most frequently, and which
have the most turnover.
Project Management, to manage ongoing collaborative development projects, including: Summary of Project Status, providing several filters on the database according to the project status,
and select from a range of pre-formatted reports: by service provider, region, supervisorial district,
city, industry, and company size.
Correlation and Frequency Reports, pre-formatted reports to automatically perform basic statistical
correlation between frequency analysis of certain pairs of factors. The following minimum reports will
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Corporate Qualifications 6.16.99
be programmed: industry and assistance requested, company size vs. assistance requested, service
provided vs. success rate, industry vs. migration.
7. User Manual i% Training
l User Manual: Provided four professionally designed and produced camera ready user manuals for
use by the economic development community. The manual included a detail of the user interface,
tables, charts, graphic images, and diagrams, to describe how to effectively use the web site
functionality.
l User Training: Prepared user training materials such as transparencies, handouts, demonstrations for
the web site system. Provide end-user training over two days.
8., The system had to be entirely portable and fully functional, independent of a specific ISP’s
hardware, system, or software. There was also a need to incorporate the new system into the existing
California-ACCESS site developed by SAIC. The performance requirements were to provide the
following:
l Internetllntranet functionality, allowing the system to function as a web site for the public and an
intranet site for the economic development community.
l Site security, protecting the integrity of proprietary/confidential information
l System expandability
l Platform independence
0 Ongoing maintenance
l System reliability
Los Angeles County Economic Development Corporation (EDC): Internal Client Management
System lntranet Application
After the successful development and implementation of the CalAccess Website, ThirdWave was again
retained by the EDC to develop an additional internet application. The application, an Internal Client
Management System, allows EDC Professional to better track and manage their clients.
The scope of the work includes the following tasks:
1. Needs Analysis
Schedule and conduct functional level interviews with 5 key EDC staff to determine overall goals of the
intranet applications, and the specific design criteria that must be met.
2. Functional Specification
Use the information gathered in the interviews to develop a functional specification for the application, including user interface, features, and standard reports, if applicable.
3. Application Design
l Screen Design: Develop the graphical look and feel of the application, including issues as page layout
template, color scheme, typical graphics, etc.
l Interface Prototype: Develop a graphic user interface, designed by a team of professional graphic
designers and software developers. Special attention will be paid to the development so that the
interface is attractive, interactive, intuitive and easy to use.
4. Database Design Carry out the database programming for the intranet site by following a structured system development
methodology, adhering to the database table structures and data dictionary.
5. Database Conversion
Convert and transfer EDC’s existing records to the new database.
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l ColdFusion Coding (Server Side Script) was used to carry out the server side application
programming.
l HTML and Java Script Coding (Client Side): The client side application were developed utilizing the
most current HTML and Java Scripting programming techniques. Frames were used to divide up the
screen, as appropriate, to effectively utilize the screen real estate and to facilitate the user interface.
(Java scripting was to take some of the processing burden off the server, and place it on the client
side. This enhanced the performance of the site.)
l 7.Application Testing
The system was tested utilizing a structured formal quality assurance methodology.
8. Installation and Testing
l Install intranet site at EDC Server and Q/A Test: The intranet application was up at the EDC’s server.
This includes installing necessary software, initializing the database, and thoroughly testing the
application.
l Set up Clients: All necessary client software was installed on the EDC’s workstations and ensure that
the lntranet connection is functioning and reliable. This includes up to 28 systems, PC’s, Laptops or
Mats.
9. Training
l End User Documentation: A User Manual was developed for the EDC application, as well as any
other materials (handouts, PowerPoint Presentation) which was used to provide instruction to EDC
personnel on the usage of the EDC’s lntranet application.
l End User Training: A half-day instruction seminar was held for the EDC staff.
Los Angeles Regional Technology Alliance, Home Page
1. Application Design
l Screen Design: Develop the graphical look and feel of the web site, including issues as page layout
template, color scheme, typical graphics, etc.
l Interface Prototype: Develop a graphic user interface, designed by a team of professional graphic
designers and software developers. Special attention will be paid to the development so that the
interface is attractive, interactive, intuitive and easy to use.
2. HTML and Java Script Coding
The client web site was developed using current HTMUJava Scripting programming techniques.
3. Site Testing
The system was tested utilizing a structured formal quality assurance methodology.
4. Installation and Testing
Install internet site at LARTA Server & Q/A test. This includes installing necessary software, and
thoroughly testing the application.
Los Angeles Regional Technology Alliance, Global Technology Partners Web Site
This site included a direct link to CalAccess, logos of all GTP title sponsors, corporate partners and
economic development organizations, and much more. ThirdWave worked together with the technical
people representing GTP sponsors and/or partners for several months.
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Electronic Document Management I Workflow
City of Las Vegas: Strategic Information Systems Implementation, Electronic Document
Management (EDM) I Workflow, Las Vegas, Nevada
ThirdWave was retained to revamp all of the information systems throughout the City of Las Vegas, in
order to streamline and enhance local government internal business practices and external service
delivery to the citizen. The following describes the scope of work for the Document Management
Workfiow automation program for the fastest growing cities in the country.
1. Document Management and Workflow Implement a city-wide Electronic Document Management System to automate business practices by
implementing workflow automation technology city-wide. The document management tools is integrated with the workflow tools/products and will assist tin automating business processes in all 13 departments
within the City.
Carried out pilot project with the “Land Development” process spanning over a dozen divisions and two departments. The purpose was to test enterprise-wide EDM architectural design and assumptions.
Utilized a formal method for selecting and acquiring the enterprise EDMMIorkflow applications.
l Developed and end-user requirements document
l Developed a functional requirement specification document
l Researched and evaluated EDMMrorkflow solutions throughout the industry
l Provided product selection and acquisition recommendations.
3. Pilot Preparation Identified test environment including project users, scanning, and training. Installed database and
configured enterprise document managementiorkflow systems, including workstations, scanners, plotters and an optical jukebox.
4. Business Process Analysis
Reviewed existing Land Development Tracking business workflow processes. Conducted in-depth
working sessions and process analysis with end users and management,
5. Business Workflow Process Redesign
Created an electronic workflow model. Developed redesigned business process alternative scenarios for
review with management. Finalized the new and enhanced business process workflow.
6. Conceptual Design
Developed the application definition and specifications, database design specification and requirements. Created screen prototypes and held design reviews with users and management.
7. Application Development
Utilizing James Martin and ThirdWave’s Rapid Application Development methodologies, developed the “Land Development Paperless Workflow Automation” application, conducted alpha testing, implemented user revisions and enhancements, conducted beta testing, and final pre-installation testing.
8. Application Implementation and Recommendation
Implemented the Land Development Paperless Workflow Automation application in the production
environment. Provided final technology review, assessment and recommendations, as well as, a city- wide implementation and roll-out plan.
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Hawaiian Electric Company: Joint Pole Document Management System, Honolulu, HI
ThidWave was retained to provide and implement a document management system that would meet the -
imaging and information processing requirements for managing Joint Pole documents, in addition to
providing support services and training resources.
1. Key HECO issues to be addressed included the following:
l Automation of storage and retrieval of Joint Pole Engineering/Maintenance records and drawings
l Integration with an existing Joint Pole System database
l Efficient means for imaging, managing, and accessing Joint Pole files and data
a Compliment and/or integrate with existing Intergraph system
l View capability of (.DGN) files from within the document management system
l ’ Workfloti capabilities for future process automation of Joint Pole and business documents
South Coast Air Quality Management District: Workflow Automation
SCAQMD retained ThirdWave and our subcontractor Action Technologies to design and develop a -
workflow automation. The productivity improvements derived from those technologies will be utilized to
support efforts to reengineer district-wide internal processes. This will allow the SCAQMD to accomplish the Regulatory Reform Initiatives adopted on January 12, 1996.
1. Key SCAQMD goals and objectives that were addressed:
l The design and development of workflow automation, involving multiple levels of approval and critical data that cut across organizational lines.
l The design and development of the following initial applications: - Time Cards
- Purchase Requisitions
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2. The implementation of the automation system provided AQMD with the following:
0 Support of AQMD’s strategic initiative with respect to Information Management.
a Best meet AQMD’s overall needs, current and anticipated needs.
l Integrate AQMD’s current operating environment, while providing flexibility for technological evolution.
l Deploy a process and database centric solution that is not reliant on electronic mail to route workflow.
l An enterprise-wide system that supports data sharing among all divisions.
0 A high speed system that operates with a high degree of reliability and consistency.
a A high degree of uptime, the ability to recover and restart after hardware failure.
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Geographic Information Systems
Apollo Computers: GIS Executive Presentation, Chelmsford, MA Geographic lnformafion Systems: A Paradigm for Synthesis and Success, (Copyright ThirdWave 1999)
Developed an executive level slide set addressing the prerequisites for building a successful GlS
program. This presentation was commissioned by the AECIGIS Market Development Division of Apollo
Computers and was based on a presentation produced for GIS in Local Government Seminar hosted by
Hewlett Packard, in which ThirdWave was the keynote speaker.
i City of Culver City: GIS Implementation Strategy, Culver City, CA Retained to ;identify GIS requirements and addressed the keys to a strategic and successful GlS implementation. The requirements study encompassed the Planning Division, Engineering Division,
Housing Department, and MIS. The strategy examined the following:
I. End-user, organizational, data and user interrelationships
2. Application requirements, for each organization
3. Networking requirements, hardware, software, communications
4. Corresponding project cost of the GIS Program
City of Los Angeles, Department of Transportation (LADOT): Traffic Accident Information System ThirdWave is creating a Traffic Accident Information System for use in collecting and analyzing accident
data. The system will utilizes Arc/Info, ArcView, and Oracle RDBMS technology. This project development of an enterprise-wide multi-agency system that enables data sharing between LA DOT, Los Angeles Police Department and other agencies such as California Highway Patrol, Bureau of Street
Maintenance, and Bureau of Engineering. In addition, this system will be the foundation of a new
information infrastructure that will provide a universal method for referencing a variety of transportation
related data.
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1. Development of a Linear Referencing System and Street Route System for the Transportation
Automated Records System (TARS) framework and TAIS application
l Design and implement TARS framework
l Develop route systems
l Develop ArcView interface for TAIS
l Convert accident data from Paradox to Oracle
2. Interface Development to LA Police Departments Associated Systems
Develop an interface to work with the associated systems of other agencies such as City Attorney,
Bureau of Street Maintenance, Street Lighting and Engineering and the California Highway Patrol. There
is a direct interface between the TAIS and the systems used by these agencies.
3. Convert Mainframe Accident Data ThirdWave decompacked and translated approximately 1.5 million accident records in VSAM format. We
translated other files to establish or update the street network.
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City of Los Angeles: GIS Wye Map Program Mapping / GIS Systems integration for a five year, $8.7 million program, for conversion of 6,480 Sewer
Wye Maps, 109 Sewer Maps, and 7 Major Sewer Maps for the Wastewater Systems Engineering Division. Working as a subcontractor to Psomas, ThirdWave’s role consisted of three major tasks: I. GIS Requirements Phase
l Perform GIS Needs Assessment for Bureau of Sanitation
l Evaluate 12 leading GIS systems, produce feature/function comparison matrix and narrative
l Address integration of existing ComputerVision land base
l Develop demonstration/benchmark document
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2. Development I Integration Phase
Generate a systems interface to ARC/ INFO, using the ORACLE relational database management
application on IBM RISC Powerstations and servers. Designed interface for building an on-line, bi- - directional GIS Sewer Wye Map System.
3. Pilot Phase --T Worked with ESRI to collect and review data, design sewer database, convert land base and Wye Maps
into ARC/INFO coverages. Developed requirements for implementation and conversion phase.
City of Los Angeles: 1992 Property Tax Allocation Audit and Information Services
ThirdWave was retained by Hinderliter, de Llamas and Associates to assist in this secured audit for the recovery of misallocation of property taxes. Our work included two tasks:
- 1. Compare property parcels by verifying county assessor maps against the specialized HdL parcel
database. ThirdWave reviewed LA City property tax data, city maps, and county parcel maps.
2. Conducted an analysis to identify and verify the parcels that were misassigned by Tax Rate Area
(TRA) and provide the correct TRA.
3. Typical errors included parcels assigned to the incorrect tax rate area with the City of Los Angeles, or adjacent city and tax rate areas allocated to the wrong taxing agencies. This contract was ’ completed 30% ahead of schedule and under budget. T
Community Redevelopment Agency of the City of Los Angeles: Geographic Information System
Mapping Services -
ThirdWave was retained to provide ongoing GIS staffing services for a five year contract. The GIS
consists of HP workstations and servers utilizing ESRl’s suite of products. Project responsibilities include: I. Integrating the creation of standardized map displays of field data, supplied and specified by
CRA, into an application used by staff to generate map products. -
2. Editing and adjusting various sources of data
3. Providing systems administration and support services. 4. Design and implementation of a desktop system to allow staff access to GIS data on the server - and to perform various queries and analyses on that data.
5. Development and implementation of web enabled GIS Applications.
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LA County Metropolitan Transportation Authority: ARC/INFO GIS Operation and Management
ThirdWave was retained as a subconsultant by b.d. Systems, Inc. for this four year, multimillion dollar
contract. Project responsibilities consisted of managing and operating the geographic information system,
including systems development and maintenance. The GIS consists of IBM RS16000 workstations and
ARC/INFO software running on a Token Ring network topology. ThirdWave provided on-site technical
staff to act as MTA’s GIS department, which at $183 billion dollars, is the largest design and construction
program of a public transit agency in the country. Specific tasks include:
1. Plan, design, develop, implement, and maintain GIS which is consistent with MTA’s business objectives, and the commission’s information systems.
2. Operate an effective application development environment, including strategic systems planning,
software and hardware procurement and installation. 3. Provide continuous internal education and training, as well as advise and support staff. 4. Develop GIS Map Output showing demographic information support alignment .studies, transit
station locations, land use studies, transportation improvement program analysis, transportation demand
management analysis, and population density analysis. 5. A sampling of GIS transportation projects include:
l Benefit Assessment District Parcel Layer
This task involved the conversion of the City of Los Angeles Engineering Department ARC/INFO
formatted lot-block-tract coverage’s into Los Angeles County assessor parcels. This process is well
documented and is considered in production converting 20,000 lots into less than 5,000 parcels.
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Transportation Model Improvement Plan
Supporting MTA’s modeling group and covering three categories of work designed to bring GIS
technology to aid the Transportation Model Improvement Plan. This work included statistical analysis
of census travel related files via SAS, the conversion of highway and transit modeling networks into ARC/INFO compatible formats and the development of software to support the maintenance of transit :
networks.
Thomas Bros. Derivatives/Application Support
Supported Thomas Bros. digital map file users and the development of new software applications. Tasks included survey of requirements, data dictionary creation, developing a methodology for
derivations, AML programming, QAIQC, user documentation, training and ongoing support.
Requesffor Map and Tabular Products
Production, revision, quality control and delivery to MTA clients. Products range from simple maps
depicting multiple features to complex spatial and demographic analysis.
Internal Systems Development
This task covered activities to improve the tracking and reporting of Request for Service jobs. It
addressed the overall needs for system and data administration. A Job Administration and Tracking System, System Administration Disk Backup and Retrieval’ System, a Data Manager and an
Automated Mapping System were developed.
Functional Highway Classification
ThirdWave GIS programmers created a module within ArcView, using Avenue script to prepare street
attribute inventories. The street attributes are CALTRANS road classifications added to Thomas Bras.
basemaps. The Avenue script enabled the user to find intersections of every street in the requested
municipality. The MTA distributed this inventory to municipalities to obtain additional data such as parking restrictions and traffic flow inhibitors. The completed inventory was then used to update MTA
transportation models. The pilot area encompassed all of Los Angeles County. This project was fundamental in the CALTRANS decision to incorporate this procedure statewide.
Bus Passenger Load Visualization Pilot Project
ThirdWave GIS programmers created a pilot application utilizing ArcView, Visual Basic, and Map
Objects. This project was created as an example of desktop PC analysis of the MTA transit system using spatial and temporal data that could be distributed via the ITS network to all MTA units. The
pilot had three primary objectives. To observe the efficiency of the ArcView PC Windows interface. Secondly, explore the flexibility of the Avenue programming language. Lastly, determine a bus route
pattern and stop location data structure. The prime audience was the non-technical GIS user. The load of the bus, time of day, streets, and bus route are all displayed at once and the user can scroll
through the time periods to identify the highest occupancy rates on any bus.
Pierce County/Pierce Transit: Pierce County GlSlCRlS Data integration Project, Pierce County,
Washington This project was carried out by ThirdWave and our business partner, Baymont Technologies, Clearwater
Florida. The goal of this project was to design a database for Pierce Transit, enabling the sharing and direct transfer or translation of GIS information between participating jurisdictions for the regional Automated Trip Planning Project. There_were several participating jurisdictions: Pierce Transit, Pierce
County, City of Tacoma, Seattle Community Transit, Seattle Metro, and Snohomish County. To accomplish this, an inventory and analysis of each jurisdiction’s databases, trip planning applications, and technologies was carried out. The results of this analysis were used to develop a conceptual database
model and physical database design for Pierce County. Specific tasks included: 1. Conducted workshops with the Pierce Transit Project team to establish content for the final report.
2. Performed interviews with the participating jurisdictions. 3. Inventory and document results on interviews, specifically addressing:
l Database software used
l Conceptual data model
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l Physical data model
l Description of linear referencing system or data management
l Technology used for application development
0 Implementation plan
4. Carried out analysis and synthesis of data to develop a recommended conceptual database design i
for the Transits Regional Automated Trip Planning Application.
5. Prepared report summarizing the interview results and present to the Project Team.
6. Developed physical database design.
7. Prepared a final report documenting the analysis process, the design process, and methodology
for recommending the database design.
San Diego Data Processing Corporation, City of San Diego: Pavement Management System for _
General Services Department, Street Division, San Diego, CA
ThirdWave was retained as a subconsultant by Pavement Management Systems, Inc. to develop a fully
integrated Pavement Management System/Geographic Information System, by integrating Pavement
Management Inc.?, proprietary software with ARC/INFO, and the City’s existing IBM Mainframe street -
databases. The purpose of the development was to manage and plan maintenance, repair and
rehabilitation and/or replacement of San Diego’s entire 2500 mile street network. The Pavement Management System included the following features
1. Maintain and analyze street condition data: street inventory, contract, subcontract, street - condition, traffic volumes, utility holds9reatment history, and remarks, in providing the most cost effective
maintenance program.
2. Provide analysis of street maintenance strategies based on various criteria.
3. Database management system to easily provide ad-hoc queries and reporting, security, backup and
recovery of pavement management data. 4. Easily provide information to allow the City Council, city management and community groups, to
understand and approve recommended strategies.
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5. Interface with the Regional Urban Information System (RUIS) ARC/INFO GIS on IBM
RISC/6000s, containing the basemap for the entire 4,200 square mile San Diego County, and its
associated street center lines and intersection data.
6. Provided LAN/WAN compatibility (Novell Netware on Token Ring/Ethernet), and access to several
existing IBM mainframe databases, such as, Street Inventory Mainframe System and Traffic Volume Data
with 20,000 records over a ten year history period.
San Diego Data Processing Corporation, City of San Diego: Regional Urban Information Systems,
San Diego, CA - A substructure conversion program used Intergraph and ARC/INFO systems to automate the sewer
mains, laterals and fixture locations and associated attribute information for approximately 1300 Sewer
Maps at l”=lOO’. ThirdWave was retained as a subcontractor to Baymont Engineering, Clearwater,
Florida, on this regional GIS project.
Southern California Association of Governments (SCAG): Analysis of Economic Impact of _
Intermodal Goods Movement in the SCAG Region
ThirdWave was retained as a subconsultant by Mercer Management Consulting, for a , Transportation/Economic Consulting Research Project. The analysjs addressed intermodal goods movement between carriers, their facilities, the routes connecting them and their customers, and the -
traffic flow being carried. The geographic area involves three ports, five airports, three line-haul railroads,
and a large number of local and regional carriers. The purpose of the study is to better understand the
intermodal goods movement system, and its related economic and environmental linkages. The analysis included developing a description and model of the following:
l Physical intermodal system, its characteristics and capacity
l Current intermodal traffic flows -
l Linkages between the intermodal goods movement system and the regional economy
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l Impact of policy decisions, regulatory changes, or infrastructure investments in the system
l Implications of economic growth, air quality, and congestion
Our tasks consisted of using ARC/INFO GIS software, on IBM RISC 6000 workstations for the analysis of
geographically based data. This included communicating the dependence of intermodal goods systems : to the underlying geography and infrastructure of the SCAG Region. Extensive graphics and GIS output
were used to depict intermodal modes, links, and traffic flows. Separate model overlays were prepared to show various modal combination (air/truck, rail/truck, marine/truck, marine/truck/rail) and the cumulative
traffic flows for all. r
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and Transportation Modeling Technologies
ThirdWave was retained by the president of SCAG to examine a high level evaluation on the use of
GIS/modeling technologies. A special emphasis was placed on the effective use of technology, staff, and
financial resources. The scope of work consisted of the following:
l. Analysis of Management Issues
l Conduct management issues interviews
l Assess existing GIS hardware, software, regional transportation and demographic databases
l Review CTS’s databases relative to SCAG’s
l -Review TransCAD transportation mapping software
l Interview other regional transportation agencies such as SANDAG
l Validated and compile interview findings
2. Summary of Findings
l Generated summary of findings and provided presentation of interim findings to SCAG executives
3. Management Recommendations
l Generate management recommendations presentation
l Conduct final presentation to SCAG executives such as the president, CEO, and all directors
Southern California Association of Governments (SCAG): Network Development, Model
Integration and Application Development
Developed a GIS for Transportation (GIST) system as a subconsultant to GIS/Trans, Cambridge, MA.
Provided systems development and integration of ARC/INFO, ArcView2, TRANPLAN and Thomas Bros.
Bas Map systems, running on IBM RS/6000 workstations. ThirdWave teamed with GlSfirans Ltd. to
conflate SCAG’s TRANPLAN network to Thomas Bros. ARC/INFO coverage’s. SCAG is a regional
transportation planning agency that encompasses Los Angeles, Orange, Riverside, San Bernardino, and Ventura counties. TRANPLAN is a transportation model software used by transportation planners. By
conflating the TRANPLAN network, SCAG was able to take advantage of the Thomas Bros. basemap
accuracy. The end product is spatially accurate modeling data.
1. Relational Database Management System Assisted in the full development of the relational database management system and integration with
INFO, SAS and TRANPLAN. Implement ORACLE as the central data repository, storing and managing data through various protocols, standards, catalogues and libraries. Includes the design, development and integration of the following components:
l GIS Databases
l ARC/INFO (V7.0) GIS, including interfaces and applications
l Transportation and forecasting models, using TRANPlAN, SAS
2. Thomas Bros. Map Database Network (TMBDB)
Checked and corrected the TMBDB network topology on the specified network of interest.
l Completion of the TBMDB street centerline file topology, making it compatible with the GIS transportation networked applications to be developed.
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l Implementation of a linear referencing system to manage the network attribute data.
l Develop single network model for use with the GIS and TRANPLAN
3. Linear Referencing System (LRS)
Established LRS conventions and maintenance procedures. This task included:
l Determined appropriate network system of route entities.
l Set up base roadway centerline file to manage network attribute data, and establish links across
network features between GIS and transportation modeling tools.
l Use input data from various sources, for example, Caltrans Post Mile, LRS, including AADT data.
l Relate TMBDB street segments to the link features in SCAG’s regional and sub-regional modeling -
networks.
4.’ Graphical User Interfaces/Training Provided technical programming support associated with the software interfaces and training of non-GIS 7
staff in ArcView 2. This included the following activities:
l Provided ArcView 2lAvenue programming to develop user friendly interfaces providing access to GIS and associated databases
l Developed custom tailored courseware and training for SCAG Staff
5. AML Programming
- Provided automated mapping programs, which define the standardized legends, shade sets, and fonts for
use with ARC/INFO and ArcView 2. This task included:
l Developed an interface allowing users to produce maps they display on the screen in a simple
fashion
l Provided ability to perform simple overlays and spatial distributions
l Utilized other programming tools to develop additional functionality, as in ARC/INFO AML and C/C++
6. Network Data 1
Developed the LRS application to link the TRANPLAN network, the GIS network and other networks to ,
the Thomas Bros. map base.
l Application programming and pilot of LRS, demonstrating the transfer of spatial and attribute data - between network files with separate geometry’s and data model structures such as, TBMDB street
centerline file and the TRANPLAN network
l Application identification and development, expanding GIST applications for transportation modelers _
and planners
l Integrate datasets and develop more sophisticated applications such as: - Displaying TRANPLAN Model results
- Comparing data, before and after, from scenario tests, identifying impact differences
- Editing networks and displaying RTIP projects - Origin and destination data analysis, for example using Census Transportation Planning Package
Southern California Association of Governments (SCAG): Conflation of SCAG’s Tranplan network
to Thomas Bros. Basemaps ThirdWave teamed with GlS/Trans Ltd. to conflate SCAG’s TRANPLAN network to 1995 Thomas Bros. _
ARC/INFO coverages. SCAG is a regional transportation planning agency that encompasses Los
Angeles, Orange, Riverside, San Bernardino, and Ventura counties. Tranplan is a transportation model
software used by transportation planners, By conflating the Tranplan network, SCAG will be able to take advantage of the Thomas Bros basemap accuracy. The end product is spatially accurate modeling data. -
US West: GIS Mapping Services to Produce Outside Facilities Maps, Clear-water, FL - ThirdWave was retained as a subconsultant by Baymont Technologies to provide comprehensive GIS mapping services. ThirdWave’s portion of the project included providing 126 GIS technicians on-site at
the Baymont office in Florida. ?
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This massive GIS project entailed the development of a fully integrated GIS of all outside facilities owned
by U.S. West in 14 states, representing a major geographic portion of the United States! The GIS
conversion work covered the following nine service areas:
l Arizona l Idaho, Montana, Utah l Idaho/ N. Dakota u
l Colorado / Wyoming l Minnesota l Oregon/SW Washington
l New Mexico l Nebraska / South Dakota l Washington
Our involvement included the following responsibilities: 1. Data entry of all alphanumeric facilities data associated with all sites, equipment and cabling.
2. GIS conversion of all outside telecommunication sites, facilities and cabling. Included mapping and electrical/mechanical engineering documents. Utilizing Intergraph MGE/MGA GIS and ESRI
ARC/INFO. ; 3. Significant amounts of records and document management of hardcopy and electronic dataused
and produced by the project such as alphanumeric, engineering, mapping document.
4. Quality Control/Quality Assurance on all products.
Automated Mapping / Facilities Management Projects
Advance Micro Devices: Automated Mapping Conversion Program, Santa Clara, CA
Automated mapping data conversion services of manufacturing facilities and plant site. The electronic data, generated in AutoCAD, was used to generate site plan, substructure, and facility as-builts for Plant
Engineering and Facilities Management.
Bullock’s Department Store: Automated Facilities Management Program
Facilities management CAD requirements study and systems configuration for implementing a corporate
retail space planning and asset management program.
Carter Hawley Hale: Automated Facilities Management Program
Automated facilities management, corporate automation analysis, and CAD cost benefit analysis for
implementing a retail space planning and asset management application.
Hewlett-Packard: Automated Mapping Conversion Program, Sunnyvale, CA
Automated mapping data conversion services of office and manufacturing facilities on Holguin CAD
system. The project included four buildings, approximately 250,000 square feet each, and the
manufacturing and marketing plant site. Delivered Holguin Mountain Top and AutoCAD DXF file formats
for the facilities management organization.
Lockheed Missiles and Space: Automated Mapping Conversion Program, Sunnyvale, CA
Automated mapping data conversion services of corporate facilities and plantsite, to generate as-builts
and substructure mapping. Assessed the best data conversion methodology utilizing a combination of
Optigraphics optical scanning system and CADAM computer aided design system -- to capture 6.5 million
square feet of facilities design and construction documents for facilities management.
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AutoCAD Projects
City of San Diego: Clean Water Program CAD Guidelines, JMM, San Diego, CA Produced CAD Guidelines as a subconsultant to James Montgomery for San Diego Clean Water
Program, a multimillion dollar program. The guidelines, developed for an Intergraph CAD system, were
used by city engineers and consultants to the city. The CAD Guidelines provided a framework for consistency by those performing design work on CAD for the Clean Water Program facilities, and to
facilitate the management of electronic construction documents generated by the Clean Water Program.
City of Los Angeles, Public Works: CADD Implementation Planning CADD Implementation Program for 22 Engineering Divisions in the Department of Public Works.
Implemented 90 Auto-Trol and Optigraphics workstations, addressing the following areas:
1. Site preparation, installation planning, installation and testing systems
2. Pilot programs in the Civil, Substructure, Structural, Architectural, and Engineering Divisions
3. Develop graphic standards for all engineering disciplines 4. Produce methods and procedures for all engineering disciplines 5. Create training program for 500 engineers, designers, and draftsmen 6. Implement data capture and conversion methodologies using AutoCAD, ComputerVision, Intergraph
7. Provide systems support and operations management services
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City of Los Angeles, Public Works: Application Development and Support Program ThirdWave was retained by Bechtel to assist with the execution of the Application Development and
Support Program for 22 Engineering / Mapping Divisions in the Department of Public Works. Developed
customized applications, methods and procedures for the successful implementation of 90 workstations:
Auto-Trol / Optigraphics. Addressed the following technical areas:
1. Pilot Programs
l Develop pilot program scope and implementation plan
l Execute of pilot programs for architectural, mapping, civil, and engineering functions
l Evaluate pilot programs results
r- 2. Methods and Procedures Development
l Develop division engineering workflows and database management procedures
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/
3. Systems Integration and Operations Plan
l Systems integration development
System support structure and task force coordination
r City of Los Angeles, Hyperion Wastewater Treatment Plant: AutoCAD System Integration
Retained by CRS Sirrine to provide systems integration and networking services. ThirdWave was
responsible for the following AutoCAD and VersaCAD systems:
1. Systems integration and hardware/software support
2. Developed AEC specific AutoCAD methods and procedures, and customized training 3. Installed, provided training and support on the following systems:
l NEC 19” MultiSync Displays for AutoCAD application
l Suma Sketch tablets
l JDL 850 GL+ Printer/Plotter
l Mountain Top tape backup system and Interface Cards
l Orchid Graphics cards and upgraded disk drives
l Lightning Zoom graphics accelerator software
Hirsh Bedner and Associates: AutoCAD and Network Services, Santa Monica, CA
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ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310 914 1480 FAX 310 914 1490
ThirdWave
Corporate Qualifications 6.16.99
ThirdWave was retained by Hirsh Bedner and Assoc., the largest interior design firm for the hospitality
industry, to conduct a Novell network evaluation. This included a topology assessment, and systems configuration for implementing networked services for interior design and administrative services.
ThirdWave implemented a network strategy and application enhancements of Novell Netware, memory management, AutoCAD R12, Excel, AMI pro, and Word Perfect for Windows, to boost productivity with
work flow management tools. The network included 17 stations comprising CAD and financial
applications.
Valley Presbyterian Hospital: AutoCAD and Network Services, Van Nuys, CA ThirdWave was retained to produce system specifications for providing nine Pentium workstations and
networking them to three existing workstations. We provided systems implementation, installation of Windows for Workgroups network for a 10 person hospital engineering group. Another responsibility was
providing application software and integration of the following information technology for an integrated hospital facilities management system:
I. AutoCAD RIP CAD with Automanager software for redlining design drawings
2. Ketiv software for automating architectural drawings with intelligence data
3. Access database for facilities tracking
4. Microsoft Excel for planning and reporting
5. Installation of Hewlett Packard Scanner, Hewlett Packard Plotter and AutoCAD RI 2 stations
6. Custom tailored AutoCAD training to facilities engineering staff
1
Widom, Wein and Cohen: AutoCADlNetwork and Application Services, Santa Monica, CA 1
Evaluated and implemented CAD systems, AutoCAD RI2 with Automanager and network services for 30
AutoCAD workstation architectural firm. ThirdWave is providing ongoing technical and network support, and production recommendations designed to optimize network resources.
Wolfgang Puck Food Services: AutoCADlNetwork and Application Services, Santa Monica, CA
ThirdWave was retained to provide Novell networking services and system’s implementation of AutoCAD -
for architectural and interior design and production. ThirdWave is also providing ongoing training and AutoCAD customization services for the architectural production group. Implemented and integrated
AutoCAD and 3D Studio visualization cycle to review design elements and presentation materials for _
client approval.
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Graphic Design & Multimedia Services
Access!: Advertising Design, Playa del Rey, CA
ThirdWave was retained to design a full page color advertisement for this telecommunications company.
We designed and produced the ad using PC based graphics tools. 3D Studio and Adobe Photoshop
were used to create a 3D model and to produce the final artwork. ThirdWave also provided account
management services and coordinated the printing process. The advertisement appeared in the October
issue of TeleProfessional Magazine. ThirdWave was subsequently retained to design an extensive
corporate identification program for Access! which included a new logo and all accompanying materials:
Business Cards, Letterhead, Envelopes, Labels, and Folders.
City of Las Vegas: Geographic Information Systems Division Flyer,_ Las Vegas, NV
Provided graphic design and production services to create a flyer outlining the GIS Division’s special
services. The flyer featured events and services being offered to the citizens of Las Vegas and City staff.
The flyer is one of the first steps in an overall GIS marketing program that ThirdWave developed.
Digital Equipment Corporation: Rightsizing for Success Brochure Design
ThirdWave and Digital Equipment Corporation participated in a team effort to create the Rightsizing for
Success brochure, which featured a major systems integration project for the City of Las Vegas. ThirdWave provided all graphic design services from concept to production. The brochure outlines the
challenges faced by Las Vegas and how the city developed a five year information technology strategy
with the help of ThirdWave and Digital.
NALEO: Typesetting/Production Publications: Diversifying the Los Angeles Area Latin0 Mosaic: Salvadoran and Guatemalan
Leaders’ Assessments of Community Public Policy Needs
Constructing the Los Angeles Area Latin0 Mosaic: A Demographic Portrait of Guatemalans and
Salvadorans in Los Angeles
ThirdWave provided typesetting and desktop publishing services to help produce two separate books
published by the National Association of Latin0 Elected & Appointed Officials, a non-profit organization
serving the nation’s Latin0 community.
Nature’s Secret: Design & Production
We design and produce various marketing materials and flyers for promotional events on a regular basis
for this Nutritional Supplement and Vitamin Company.
Padilla & Associates: Corporate Identity, City of Commerce, CA
ThirdWave designed and produced a complete corporate identity program for Padilla & Associates, which included a new logo and all accompanying materials such as business cards, letterhead and envelopes.
A second identity program was designed for their on-site staff at the Los Angeles Metropolitan Transit
Authority (MTA).
SunSign Fragrances: Product Advertisement
ThirdWave provided design services for production of an advertisement for SunSign Fragrances. 3D
Studio and Adobe Photoshop were employed to create a 3D rendering of the product being featured in
the ad.
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ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310914 1480 FAX 310 914 1490
ThirdWave
Corporate Qualifications 6.16.99
Vesper Alley/Pirate Records: Flyer Design, Malibu, CA 7
ThirdWave helped produce marketing flyers to advertise for various artist’s upcoming engagements
across the country.
7
Xtreme Scene: Logo Design, Encino, CA ThirdWave designed two separate logos for Xtreme Scene, which would be used for T-shirts, baseball
caps, stickers, watches, etc.
Sony Imagesoft: Software/Technical Support Multimedia, Santa Monica, CA
Sqny ImageSoft is a state of the art production group, developing next generation high-technology video
game software. ThirdWave is providing ongoing technical support for Sony’s in-house video game -
development teams on multimedia production issues. We are providing various software support
applications for 3D Studio, such as the following cross platform animation tools for IBM to MAC:
l Debabelizer, Adobe Photoshop, Painter
l Pharlap advanced Memory Management
Toshiba Information Systems: Corporate Multimedia Production, Irvine, CA ThirdWave was retained to provide multimedia/animation software (AutoDesk Animator Pro), design and -
production services to produce a corporate marketing multimedia presentation announcing a new product. The presentation produce by Toshiba and ThirdWave staff was used to announce the Toshiba
T44OOSXC, the first color active matrix notebook in the industry, at COMDEX in Chicago. -
/ Vicware: Multimedia Design/Video and CD-ROM
Provided 3D Studio and animation products for the development of CD-ROM based products.
Recommendation and support for production of animation and related output to broadcast quality video, -
audio and CD-ROM sources.
Wolfgang Puck Food Services: Architectural Rendering, Santa Monica, CA - ThirdWave was retained to provide architectural rendering services for the proposed Wolfgang Puck Cafe
on Montana Avenue in Brentwood, California. Architectural elevation studies were carried out using AutoDesk 3D Studio and Adobe Photoshop. The product consisted of presentation boards used before
the Santa Monica Architectural Review Board. -
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ThirdWave 11400 W. Olympic Blvd. Suite 650 Los Angeles CA 90064 310 914 1480 FAX 310 914 1490 -
r
As a full service, systems integra-
‘7ion firm, ThirdWave is involved
with complex enterprise-wide
automation projects. We offer a
-rare and comprehensive mix of
expertise in delivering Electronic
Document Management (EDM)
-and Workflow automation solu-
tions, including business process
analysis, systems evaluation,
selection, implementation, inte-
‘-gration and management.
ThirdWave has earned a reputa-
tion for extraordinary perfor-
-mance in delivering appropriate
solutions for both public and pri-
vate sectors.
-As the world enters a new millen-
. nium, corporate America is faced
with the challenge of redefining
-itself to meet the demands of a
technology biased competitive
marketplace, while government
-strives for enhanced service
delivery to it’s citizens with less
resources.
--ThirdWave is uniquely poised to
assist you in this evolutionary
transition. Implementing powerful
-yet appropriate EDM and
Workflow automation solutions,
with the assistance of an accom-
plished multi-disciplinary systems
-integration firm, equates to a for-
mula for success.
-Benefits to redesigning, automating and streamlining Private/Public Sector through the use of EDM and Workflow
strategies are substantial, and can be realized in every facet of business:
-0 Enhanced service delivery to citizens l Lower operating cost of business
l Manage and optimize growth and demands with existing staff . Empowerment of the Knowledge worker
. l Enhanced quality of products and/or services l Reliable access and tracking of information
7
11400 West Olympic Blvd. Suite 650 LOS Angeles CA 90064 310 914 1480
fax 310 914 1490
e-mail twc@thirdwav.com www.thirdwav.com
DOCUMENT ?
MANAG$“$~T IENCE & EXPERTISE:
TYPICAL PROJECTS
City of Las Vegas Document Management & Workflow Automation Project
Develop and implement enterprise-wide EDM I Workflow Automation strategies and solutions to achieve a near paperless government envi- ronment and automation enhanced business practices by the year 2000. The objectives for the effort consisted of automation solution develop- ment for all 13 departments of city government, including Engineering, City Clerk and City Attorney.
City of Los Angeltw, Sureau of Ebgiruwhg
Automated the Engineering Document Management and Change Control
Process for the Hyperion Construction Division (HCD). Implemented a
Divisionwide Imaging system to capture millions of Engineering
Documents and supporting information for a 1.2 billion dollar public works
project.
SERVICES
Business Process Analysis
Workflow Process Redesign
Enterprise Architecture & Design Database Design
Project Management
Engineering & Busirwss Document Management
EDMANorkflow Application DevelopmentKustomization,
Integration & Implementation
LAN/WAN Impact Planning/Integration
Systems Integration
STRATEGIC BUSINESS PARTNERSHIP Fil&U+
Selecting the correct solution is one of the most critical points in a successful EDM or Workflow sys- tern implementation. This was the case for the City of Las Vegas. ThirdWave assisted the City of Las Vegas in carrying out in an exhaustive evaluation of leaders in EDM and Workflow solutions. FileNet Corporation emerged as the premier leader in Document
Imaging and Electronic Document Management tools and applications. As a result, the City decided to imple- ment FileNet Corporation’s Mezzanine, @Mezzanine, and Watermark products city-wide, in addition to the GPS Edge integrated product suite.
ThirdWave’s expertise and commitment, coupled with the strength of our Strategic Partnership with FileNet Corporation, allows us to provide results and guaran- teed success-regardless of scale or complexity.
Supfted Solutions inckide:
l Saros Me;gta;nina
l Saroe @Mezzanine
l Saros SDM for Back Office tYbcovery Suite
l Watermerk
l Ensemble WATE RMARKs
l Visual WorkFlo
, f n ormation Sysfems lnfelligently Applied
MANAGEMENT
PANAGON
INTEGRATED DOCUMENT
Ii,, FileNET
(IDM) SOFTWARE
YOU know that immediate and easy
-‘,.,:. .;j.~‘M$oss toinformation is critical to -‘,.,:. .;j.~‘M$oss toinformation is critical to * ‘Zi L. *-)L :. * ‘Zi L. *-)L :. : _ : _
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you recogniro the time employees you recogniro the time employees Our vision at FileNET is to harness the power of infor-
mation. With the Panagon family of IDM software, we
have created an industry-standard software
infrastructure that allows you to capture any type of doc-
ument electronically, then quickly and easily access,
manage, and integrate the information with your existing
critical business applications throughout the enterprise.
The result is improved productivity, streamlined opera-
tions, reduced operating expenses, enhanced customer
service, and ultimately-increased revenue.
spend searching for documents and
retrieving information directly
affects your bottom line. And you
realire your organization could
probably reach its next level of
profitability faster by better linking
One thing driving the need for IDM is the fact that 80
percent of the information in an organization is
“unstructured” according to industry experts. That is, it
cannot be easily stored and managed in a hierarchical or
relational database.
information - in ail its forms - to Documents enter your organization, or are created
by your business, as paper, faxes, electronic files, email,
Your daily business processes. HT,ML pages from web servers, recorded audio notes,
and photos or video clips. Most of this information
either requires some action or is essential to a business
decision and is converted into other formats as it
progresses through the enterprise. For example-
using FileNET Panagon software-documents can
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be entered into the system, saved as a shared electronic
file, automatically routed with workflow software,
published electronically to the Web, printed, imported
into a database, accessed through a document library
combined with other files to form a “compound”
document, attached to an email message, faxed, or
a copy sent through the mail.
The ability to manage all this information and seamlessly
integrate it with your other software applications drama-
tically affects the quality of your work, the effectiveness
of your customer service, and your organization’s ability
to battle the competition. For example, a service repre-
sentative needs immediate access to account statements,
correspondence, and previous call notes when talking
to a customer. A sales professional wants the ability to
reference or change a proposal during a client call, and
a purchasing agent needs to quickly match a vendor’s
product description with a bill of materials.
The Technological Challenges
Add to this complex mix of documents, the information
explosion created by the World Wide Web-there are
200 million Web sites in the world today From an
organization’s viewpoint, the Web represents volumes of
new information to be integrated and managed as part
of its intellectual capital. To users, it looks like a single
place to file and find information. While the Web has
popularized access to information, it also has promoted
the concept of using a simple, intuitive browser inter-
face to retrieve documents, independent of the format.
More than 7.5 percent of U.S. and European companies
expect to take advantage of this technology by creating
a corporate Intranet by the end of 1998, with document
management cited as one of the most popular applica-
tions, according to International Data Corporation.
Even with the Internet and Intranets, turning structured
and unstructured corporate information into a secure, - --. controlled knowledge base that is accessible from every
desktop has been a serious technological challenge. For
this reason, information technology over the last decade
has focused on capturing and distributing distinct types
of information, rather than developing a scalable and
secure repository of integrated documents.
Document-imaging, electronic document-management,
and workflow software have advanced information
processing, but in the process have also created new
islands of automation with incompatible document
formats. Developing an integrated library capable of
storing multiple formats, compatible with different line-
of-business applications and with products from different
vendors, has proven to be a difficult task for most in-
house IT departments. The need for global access in
Interneflntranet and client/server environments has
also added to the complexity and development costs
of such a system.
Consequently, until today, information technology has
provided only piecemeal answers to the information
distribution and management problems facing an
organization. Yet, more than ever, businesses must now
“step back” and look at information from the overall
perspective of the organization’s need to manage
corporate knowledge. Success often depends on the
ability to rapidly move information between different
computer systems, business processes, organizational
structures and geographies-which is why IDM is
emerging as an important, new imperative for business
information and knowledge management.
IDM Empowers Users, Developers
“Convergence is now a fact of life,” The Gilbane
Report declared in March 1997. IDM is the fulfillment
of the new convergence paradigm. It integrates disparate
document types in a software solution with a single user
interface that makes corporate information accessible
anywhere. It is a comprehensive solution to managing
all documents for both enterprise and line-of-business
applications that unleashes the power of information
throughout the organization. The Garmer Group
predicts there will be 25 million IDM users by the
year 2001.
Companies today need to go beyond the concept of an
on-line filing cabinet to streamline services and cut
costs. IDM addresses these issues from the$&s and
application developer’s viewpoints with syst
can be customized more efficiently These syste
Panagon Delivers
Information Effortlessly
Panagon is a family of state-of-the-art IDM software
products that delivers the right information to the right
person at the right time. Using Windows Explorer or
Web browser-familiar to most businesses professionals
today-you can search the entire enterprise for informa-
tion, retrieve multiple documents of all types, easily
work with the information, and then route it as needed
for further review, processing, or decision making.
e Paragon solution is built around a component
are architecture configured to your specific needs
require less maintenance and are intuitive, putting
information into the hands of those who need it, in a 3
format they can use immediately.
A key element of the IDM solution is the ability to
query enterprise documents in real time within your
department or across continents. This “out-of-the-box”
integration allows you to seamlessly view and work
with more than 200 data types without the native
applications present, eliminating training time and
costs on proprietary software. And, the same IDM
applications can be deployed in Web and client/server
environments, saving development resources and allow-
ing universal access of information from any desktop.
In short, information handling is no longer a time-
consuming issue, and you have more time to concentrate
on using the corporate knowledge base to improve your
business. Built on an open platform with an indusay-
standard user interface, Panagon IDM meets all of
these criteria and delivers best-of-breed technologies
with a rapid application development environment and
improved end user productivity
that allows applications to be quickly and easily devel-
oped and tailored for your organization. Panagon
reduces ongoing cost-of-ownership through the ability
to write an application once and then deploy it on the
Web and in a client/server environment. Cost of owner-
ship is also reduced through the use of rapid application
development (RAD) techniques and compatibility with
industry-standard programming tools such as Visual
Basic, PowerBuilder, and more. As a result, it takes
less time to develop customized IDM applications,
less time to integrate the software components into
your enterprise, and less time to train users. You are
up and running quickly-increasing productivity and
accelerating the return on your investment.
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Ensures Integration
The Panagon family includes a complete suite of IDM
software components that are built to work together,
eliminating integration issues when combining products
from different vendors. Panagon products include:
Panagon” IDM Desktop
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Panagon IDM Desktop is the only intuitive client soft-
ware package with best-of-class integrated document
management for ad hoc query or mission critical applica-
tions. You can effortlessly access all documents stored in
enterprise libraries from within a Microsoft Windows
Explorer or Internet browser interface. IDM Desktop
delivers “out-of-the-box” integration with Microsoft
Windows environments and productivity applications
such as Microsoft Office or Lotus Notes, seamlessly
managing and viewing more than 200 document for-
mats. Once located, you can create work processes to
include others who need to share, distribute, or approve
with the built-in workflow and integrated email features.
Panagon’” Visual WorkFlo*
Panagon Visual WorkFlo is an enterprise-wide, scalable
business process automation solution that can be used
to easily create applications that reflect the way work
processes are performed. It allows managers to control
and modify work processes to meet the needs of a
dynamic business environment, and integrates infor-
mation flow between software applications within
your business processes. Panagon Visual WorkFlo
supports multiple client, server, and application
development environments and integrates with leading
business process reengineering products for reduced
implementation time. The product features object-
oriented technology for reusability and a wide
variety of vertical and horizontal solutions for
out-of-the-box functionality
Panagon” Report Manager
Panagon Report Manager is a high-performance,
client/server COLD (computer output to laser disk)
product that eliminates printing and distributing
computer-generated reports and statements. It signifi-
cantly lowers costs and inefficiencies by allowing you
to index, store, retrieve view, print, fax, and distribute
computer-generated output on magnetic or optical disk.
Report Manager is built around industry standards and
has an intuitive, easy-to-use graphical interface with
report mining capabilities.
Panagon” Capture
Panagon Capture is an enterprise document capture
application for your Panagon solution. It has a complete
set of highly configurable components for capturing vir-
tually all document types-scanned paper documents,
fax, email, word processing, spreadsheets, HTML forms,
audio and video clips, computer-generated reports, and
electronic data interchange (EDI) information-and
making them immediately available to users. Its modular
components can be configured to meet simple capture
requirements in distributed environments or enterprise-
wide capture requirements for production operations.
Panagon” IDM Services
Panagon IDM Services is the first server based integrat-
ed document management solution incorporating imag-
ing and document services for medium to large business.
The power of a high-volume imaging product is com-
bined with powerful document management services to
deliver a total document management solution. IDM
Services is the high performance repository system that
integrates with Panagon IDM Desktop for managing all
types of documents with one software platform. IDM
Services can be used as both an imaging and document
system together or as separate applications.
Reduced Cost-of-Ownership
The ease of using Panagon, its low cost of ownership,
and the reusability of software components allow
businesses to deploy a cost-effective IDM solution acre
the organization for the first time. With Panagon, the
same application developed in a client/server environ-
ment for traditional Microsoft Windows workstation
users can also be used in a Web server environment for
remote Microsoft Internet Explorer or Netscape Web
browser users. These Internet/intranet Web application
allow subsidiaries, business partners, customers, and
vendors with proper security clearance to access corpo-
rate document libraries and to participate in business
processes workflows. This open access to information
and easy integration with other software applications
has been purposely designed into Panagon at every
level: Panagon provides an open platform for the
quick development of mission-critical, line-of-business
applications as well as for occasional ad hoc query use.
Built around Microsoft’s common object model
(COM) and ActiveX object-oriented programming
technology, Panagon offers a higher degree of flexibiliq
and leverages your current software infrastructure
investments. Panagon is scalable and easily expanded
to meet all your future IDM needs.
Panagon software is based on industry standards
including the Open Document Management API
(ODIMA), the Document Management Alliance (DMA)
technical specification, and the Workflow Management
Coalition (W~YVIC) interface specifications. This protec
your technology investment. Panagon is also tightly
integrated into common corporate computing standard
such as Microsoft BackOffice, SAP and Lotus INotes.
In the past, implementing document-imaging and
electronic document-management systems has been
complex, costly, and time-consuming projects that often
required months of high-level, expert programming wit
proprietary languages to customize and implement. Th
open architecture and industry-standard programming
software components in Panagon are vital to a successfi
IDhI strategy. These tools simplify integration so your
system can be designed to your precise business needs
and c3n be operational in a shorter period of time.
An Industry Invented by FileNET
It is significant that this new stage in information
management has been brought to the market by
FileNET FileNET has more experience with
capturing, storing, and managing documents than any
other vendor in the world.
A pioneer in document management and workflow
software, FileNET introduced and marketed the first
document-imaging system in 1985. Today FileNET
is the proven leader in delivering IDM software for
managing information and enhancing productivity to
corporate and government organizations. According
to Software Magazine, FileNET is among the 60 largest
independent software vendors in the world. FileNET
clients around the globe, such as Bank of America
(Credit Operation), DWS Deutsche Gesellschaft
fur Wertpapiersparen GmbH (WBS), St. Vincent
Hospital, and Westinghouse Electric Company
(Energy Systems Business Unit), have been honored
for their role in advancing the state of the document
management industry
Our Customers’ Success Illuminate
the Bottom Line
FileNET customers are leading-edge companies who
use technology as a competitive advantage. Document-
intensive organizations moving to FileNET IDM solu-
tions often report productivity increases as high as 50 to
100 percent, along with other significant operational cost
savings, Just as important, these companies have access to
information-when they need it, where they need it.
Some examples include:
l A bank whose sole business is the issuance of credit
cards was able to improve its application processing,
increasing capacity from 425,000 applications per year to
that many applications each month. The bank tripled in
size, from 1.5 to 5 million customers. [First USA]
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l An insurance company used FileNET solutions to
- create a common, electronic command center when
it reengineered its corporate structure. It improved
operating productivity throughout the organization
r from 20 to 60 percent. Customer service also improved.
For example, the beneficiary change process is now
r routinely completed in seconds compared to the days.
[Connecticut Mutual]
l An aviation equipment manufacturer installed a r-. FileNET system to manage its technical documentation,
providing document retrieval in 30 seconds or less. Over
time, it added new document types to accommodate
engineering standards, specifications, and change-in-
design notices. Electronic access to documents at the
r- desktop and electronic routing cut change order process-
ing time in half. [GE Aircraft]
l One of the largest 25 pension funds providers in the
U.S. improved customer service by installing a FileNET
system that reduced response time from hours or days
to just a few seconds. It increased membership by 25
percent with a staff increase of less than 10 percent,
and improved quality control with a streamlined audit
process. [PERA of Colorado]
l Using FileNET IDM solutions, a principal subsidiary
of a large banking company increased client service pro-
ductivity by 2 5 percent at its Sydney Australia retire-
ment account maintenance and mutual funds processing
operations. It decreased processing time from weeks to
days for its Letter of Credit processing operations in
London; improved productivity by 35 percent at its New
York mortgage custody processing center; and reduced
the cost of invoice processing at its Nashville and London
accounts payable facilities. [Bankers Trust Company]
l One of the top 20 diversified financial corporations
and a major national property and casualty insurer
implemented FileNET IDM to allow its agents to
retrieve all the information pertinent to a claim elec-
tronically, from wherever they happened to be-in
their offices, investigating a catastrophe, or on the road.
The IDM solution reduced the time it took adjusters
to do their work and saved the company money by
eliminating the need to store paper documents (the
company estimated that for every five cents they
spent on printing a paper document,
another 95 cents in paper manageme
and warehousing). [SAFECO]
IDM - The Time Has Co
FileNET has been on the leading edg
management software development
We introduced the first production
systems, we defined the industry for
and we are the only company to offer
family of document management pro
from the Workgroup to the enterprise.
Now with the use of component software, the
tion of industry-standard programming e
and integrated workflow software, we are
bring our customers the powerful benefi
With the Panagon suite of IDM software,
simplify and streamline your business, empower users,
and dramatically improve processes. Look closely The
future is here today with Panagon.
FileNET’
Panagon IDM Document
Service5 information
repository provides a
powerful foundation for
FileNET IDM and work-
flow solutions. It gives
you access to a wealth
of information with
which you can create,
communicate, and
control.
PANAGON IDM DOCUMENT SERVICES
Managing Unstructured Data
Create, Communicate, and
Control
Every day, you create and use structured
and unstructured information. Structured
data - for example, sales statistics or cus-
tomer lists - can be managed efficiently
by databases, but the majority of your data
is comprised of unstructured information
such as faxes, email, spreadsheets, images,
engineering diagrams, or multi-media
objects. Unstructured information is diffi-
cult to capture and control. The high cost
in time and energy required to manually
manage and exchange this valuable corpo-
rate information - and the critical busi-
ness decisions that accurate information
potentially influences - requires an orga-
nization to examine information control
and distribution objectives and establish a
sustainable business solution.
Panagon”’ IDM Document Services infor-
mation repository provides a foundation
for FileNET integrated document man-
agement (IDM) solutions. Incorporating
document imaging, workflow, and docu-
ment management functionality, FileNET
IDM provides your organization with an
effective way to manage unstructured
information. IDM simplifies access and
management of all document types and
serves the needs of high volume, line of
business and ad-hoc users.
Making Information Easily
Accessible, and Secure
In many organizations, individuals take
responsibility for maintaining and storing
the electronic documents they create and
use. As a result, key business information
resides in either local storage on the desk-
top, or across a collection of unsecured
network file servers. As the network grows,
the cost of providing consistent desktop
access to information increases. More and
more workers inadvertently misplace docu-
ments, overwrite files, and duplicate exist-
ing work. The cost of doing business climbs while indi-
vidual productivity drops. As network traffic multiplies,
your organization needs to carefully assess how to keep
information readily available, easily accessible, and
secure.
Panagon IDM Document Services manages and safe-
guards your valuable information objects - or docu-
ments - on a client/server network. Building an IDM
infrastructure on an IDM Document Services enter-
prise library foundation allows system administrators
to freely add hardware, new applications, and next gen-
eration technologies as business needs dictate.
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Panagon IDM Document Services keeps all informa-
tion safe, up-to-date, and easy-to-find, without regard
to the originating application, file type, or storage
location. IDM Document Services ensures data integri-
ty, reliability, and security while providing all autho-
rized users immediate and reliable access to current
information whenever and wherever needed.
Improvi’nQ Productivity
J\‘ith Panagon IDM Document Services, you don’t
need to know anything about file storage to get work
done. No one in your organization will have to navi-
gate a series of servers and directories to find informa-
tion. Instead, your business-related document informa-
tion is available through a configurable search interface
that fits the way you work and the needs of each indi-
vidual organization and business application.
FileNET client options include FileNET Panagon
IDM Desktop, FileNET Discovery Suite, and
FileNET @mezzanine. You can choose from this vari-
ety of out-of-the-box IDM Document Services client
interfaces, develop a custom front-end, or purchase
specific functionality from FileNET’s many
ValueNET partners to deliver the performance that
best meets your business needs.
True Scalability Providing System
Growth to Match Business Needs
Panagon IDM Document Services’ client/server archi-
tecture provides a foundation for growth and expan-
sion. An IDM Document Services system can run on a
single server in a department servicing a few users, or
smoothly scale to a distributed global information
infrastructure with hundreds of servers managing user
communities of tens of thousands.
IDM Document Services’ three-tier client/server appli-
cation is designed for large scale, information-intensive
environments. It performs the buik of its processing
within the network servers, thus minimizing the load
on client machines and on network bandwidth.
New services, custom functionality, storage media, and
processors can be installed and configured without
affecting access methods or interrupting service.
FileNET’s IDM Document Services solution can
seamlessly grow as the number of users increases or
requirements change.
Uniform Performance Across Your
Organization
IDM Document Services is a true enterprise solution. In
a disnibuted system with multiple IDM Document
Services, all requests pass through an efficient multi-
threaded service, which allows IDM Document Services
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to process multiple requests simultaneously. If a server
reaches its limit for processing requests, IDM Document
Services will automatically send the next request to
another server. This load-balancing complements the
automated network functionality inherent in FileNET
IDM Document Services systems. For the administrator,
this means uniform performance from anywhere on the
network. The result is a high performance and a trans-
parent, reliable, and consistent way to get the informa-
tion you need from your desk, from a remote site, or
from your laptop day or night.
Easy to Learn and Use
IDM Document Services streamlines the administration
of today’s large networks. System maintenance tasks
that were once aggravating late-night processes are per-
formed while you remain online. IDM Document
Services automatically synchronizes property informa-
tion, document storage, and content search indexes for
backup and restore. The IDM Document Services back-
up and replication services coordinate data across mul-
tiple servers, creating a globally consistent system. IDM
Document Services administrative tools optimize disk
storage, allow online installation of additional disk
space, resolve network bottlenecks, facilitate backups,
and centralize users and groups - all within an easy-to-
use graphical administrative interface.
Adaptable, Extensible IDM Solutions
IDM Document Services presents all of its services
through an object-oriented API, which means system
administrators can easily alter or adapt IDM Document
Services-based solutions to meet changing conditions.
And since the API is platform-independent, applica-
tions can be easily ported to new environments.
The number of plug-and-play complementary partner
and service specific solutions built using Panagon IDM
Desktop increases daily. Examples include enhanced
retention management, engineering drawing manage-
ment, product data management (PDM), and advanced
rendition services.
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Core IDM Document Services Functions
. IDM Document Services’ version control feature
automatically creates an audit trail of all updates to a
document. You can easily see who updated the infor-
mation, when it was updated, why it was updated,
and other site-specific/user-initiated information.
9 IDM Document Services security uses sophisticated
access controls at the document level. And since secu-
rity needs vary from organization to organization, the
system administrator decides how security will be con-
figured within the enterprise. The system can be set
up so knowledge workers assign access rights to indi-
vidual documents. Or it can be configured to create
access profiles that are automatically applied to docu-
ments based on their purpose and file type.
. IDM Document Services provides efficient, intuitive
ways to find the exact information needed, using a
unique mix of descriptive document properties and
content. Searches automatically span multiple IDM
Document Services, providing complete and accurate
results. Search requests can be stored for future use
and then referenced in different contexts. For exam-
ple, all documents related to a given customer can be
accessible from a Web site or a project management
application.
n IDM Document Services’ replication automatically
makes documents available across a global enterprise,
without compromising document integrity residing in
a specific IDiM Document Services library system. A
document is automatically copied (replicated) to any
IDM Document Services library system worldwide.
When a document is replicated, the content and prop-
erties of the document are copied giving faster docu-
ment search and access times. -All instances of replicat-
ed documents or folders (replicas) in any library are
automatically and globally synchronized with any
alterations in the source document or folder. ,4 repli-
cated document’s current status is reflected on all the
participating library systems, for example, if checked
out, it will be marked as checked out on all of these
library systems. This provides universal document
integrity throughout an enterprise.
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FileNET-
Worldwide Headquarters
FileNET Corporation
3565 Harbor Boulevard
Costa Mesa, CA 92626
U.S.A.
1.714.966.3400
System requirements
Sewer Operating .$stem
m Alicrosoft Il’indows NT -
. HP/I_TX
. IBM AIX
. Sun Solaris
Relational Databases
n Microsoft SQL Server
m Oracle
fl Sybase
FileNET Clients SuppoTted
n Panagon IDM Desktop
n FileNET Discovery Suite
m FileNET @mezzanine
m FileNET SDM
For more information about
FileNET products call
800,FileNET (345.3638)
in the U.S. and Canada.
All oths call
512.4345935
7Lamfiknet.rmn
--.
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Australia 61
Austria 43.1
Canada 416.223.8400
France 33.1.46.23.7676
Germany 49.6172.963.0
Grearer China 852.2563.5822
Ireland 353.1.819.0100
Italy 39.2.7733.051
Japan 81.3.3436.8781
Korea 82.2.555.1810
FileNET is a registered trademark and Panagon is a trademark of FileNET
Corporaion. Other brands and product names are trademarks or reginered trade-
mark of their reqxctive companies. 81998 FileNET Corpcratxm. AI1 rights
Netherlands 3 1.20.543.1345
Southern Asia 65.538.0966
Spain 34.91.72 1.4980
Sweden 46.8.655.3662
United Kingdom 44.181.867.6363*i
FileNET’
Customer service
operations, insurance
policy underwriting,
loan origination,
product design, contract
negotiations, regulatory
r
compliance management
- whatever your
,. application or industry -
integrated document
, management (IDM) can
help you put documents
to work and improve
. your business process.
L
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PANAGON IDM DESKTOP
A New Era in Integrated Document Management
Fast access to information is critical to an
organizationb success and its bottom line
profitability. A customer service represen-
tative needs to review a client’s account
statement and latest correspondence; a
machinist needs up-to-date operation and
equipment safety instructions; a sales
professional needs fast access to the sales
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proposal written last month for a new
client; a mortgage loan officer needs to
review an applicant’s current credit report,
salary information, and property appraisal.
Integrated document management (IDM)
simplifies access, management, and control
of all document types throughout the
enterprise. Having quick access to current
and accurate information can mean the
difference between success and failure
and affects customer service quality, deci-
sion-making ability, and organizational
effectiveness.
As a complement to IDM, integrated
workflow software automates and improves
business processes and corporate opera-
tions. It allows you to streamline approval
processes, prevent important details and
deadlines from being missed, and track the
progress of time-critical action items.
Using workflow and IDM, information is
distributed intelligently and automatically,
and processed more efficiently - so you
can be more productive.
Product Overview
FileNET Panagon’” IDM Desktop software is the first
to deliver sophisticated, but easy-to-use integrated doc-
ument management that is fully functional in both
Internet and client/server environments. It is the right
choice for mission critical, line-of-business applications
as well as immediate, ad hoc use.
With Panagon IDM Desktop you can electronically
view, manage, revise, share, and distribute any docu-
ment across the enterprise - no matter where it is
stored. You no longer need to think about what server
information is stored on or what application is used for
access. All of the powerful functionality of Panagon
IDM Desktop is seamlessly integrated into applications
that you already have today, such as Microsoft Office or
Lotus Notes.
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And, no matter what your work environment -
Internet or client/server - the information you need
to run your business is always up-to-date and available
quickly, easily, and intuitively to employees, customers,
suppliers, and business partners. It gets the right infor-
mation to the right people to make the right decisions
for your organization.
With Panagon IDM Desktop, a manufacturer can man-
age and distribute up-to-date, product safety informa-
tion to its shop floor; a securities trading company can
quickly publish new policy and procedures documents
to all employees that affect regulatory compliance; an
insurance company can easily inform its independent
agents of new policy underwriting details; a bank can
offer superior service with on-line banking and access
to current customer account information. Your organi-
zation can intelligently maintain and distribute timely,
accurate information - turning information into
knowledge.
Making Information Work For You
Any document, my desktop - Panagon IDM Desktop
simplifies access and management of virtually all docu-
ment types, including scanned paper documents, fax,
word processing, spreadsheets, HTML forms, audio
and video clips, computer-generated reports, and elec-
tronic document interchange (EDI) information. You
can view more than 200 different document types with-
out the native applications present. IDM Desktop
serves the needs of both high volume, line of business
users and ad hoc query, casual users. Its dual deploy-
ment capability is suited for “thin” clients connected via
the Internet and traditional “thick,” client/server envi-
ronments. This means that no matter where you are,
you will always be able to get to your information, con-
fident that it is accurate, up-to-date, and working for
you.
Intuitive irztelface - You have immediate access to all of
the documents you need to get your work done through
the standard Microsoft Windows Explorer interface.
The seamless Windows integration in the form of a
“FileNET Neighborhood” on your desktop makes you
productive quickly with minimal training time. Once
located, you can route information to others who need
to share, distribute, or approve it with the built-in ad-
hoc workflow feature. And, you can work easily with
other Windows productivity applications such as
rMicrosoft Office and Lotus Notes. For web clients,
IDM Desktop uses your favorite web browser
P
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with document access through standard HTML web
pages that can be customized for your application.
Errol to cnstomize - Panagon IDM Desktop also allows
you to customize your IDA4 solution quickly and effi-
ciently using rapid application development tools. The
product uses industry standard COM (common object
model) Objects and ActiveX Controls, that speed appii-
cation development, streamline integration with other
FileNET and third-party products, and simplify
deployment across thick and thin clients.
Use Rapid Application Development
Tools for Fast Customization
Panagon IDM Desktop has impressive out-of-box capa-
bility. But many document-enabled business solutions
require customization and application development.
With IDM Desktop you have a flexible and comprehen-
sive tool kit that dramatically reduces the development
time and simplifies the effort needed to build a cus-
tomized IDM solution.
IDM Desktop includes a multi-threaded, 32-bit pro-
gramming environment that supports industry standard
object-oriented application development using popular
web and client/server programming languages. IDM
Desktop uses the same objects for both thick and thin
client development environments. Your IT professionals
can focus on producing scalable, easy-to-use applica-
tions, not learning multiple development products and
environments. To speed development, IDM Desktop
augments its tools for client/server applications with
web components including Internet pages, sample code,
and design-time controls.
Reduce Cost of Ownership
Web and ClientlServel; same jiuactionality - Whether
connected by traditional client/server networks or by
the Web, all of Panagon IDM Desktop’s functions are
available. This dual deployment provides remote offices,
mobile employees, customers, and business partners
with fast, secure, low-cost access to the
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same information as internal users and allows them
to create work within any type of information-centric
workflow process.
Ensy to deploy and administer- - For thin clients, new
applications can be distributed in a fraction of the time
- since you only update the web server and the new
software is immediately available to all web users.
The viewer component for web clients is downloaded
and installed automatically only when needed. This
eliminates the administration costs associated with
installing a viewer or application software on each web
client. IDM Desktop also includes remote diagnostics
and event logging for easier administration.
Deploy your Applications Globally
Panagon IDM Desktop simplifies large-scale global
deployment of applications. It conforms to Microsoft
globalization and localization standards, speeding and
simplifying the rollout of IDM applications in diverse
global regions. This not only reduces training and sup-
port costs, but also improves product reliability for all
users, regardless of their locale.
Product Features
DOCUMEYT IMANAGEMEXT
.
.
.
.
.
.
.
.
.
.
.
.
Easy, intuitive search
and query capabilities
using Windows
Explorer or web search
Save and print searches
or create search tem-
plates for faster retrieval
Choice of organizing
documents in user-
definable, dynamic, or
static folders
Version control
Flexible security for users, groups, folders,
documents, and searches
Check-in/check-out
of documents
Full-text indexing
Document publishing
Compound documents
(one document can con-
tain a mix of data types)
Folders, smart folders
for flexible organization
of documents
Replication and rendi-
tion support available as
add-on modules
Integration with
virtually any Windows
desktop application
DOCUMEFJT VIEWING
. Browse for documents
you need, just like
you do in Windows
Explorer
+
Fil eNET‘
View documents of
more than 200 types
without the native
applications resident
Rotate, stretch, magnify,
zoom, and scale images
for easy viewing
Annotate, stamp, and
highlight images using
freehand, color, arrows,
or sticky notes
Print/fax/email inte-
gration for increased
productivity
Tool tips for toolbars
and on-line help
and documentation
Graphical workflow
author for fast process
map creation
Parallel, sequential,
and conditional routing
of work for process
improvement
Status tracking and
report generation
Ability to define
agents that automate
workflow tasks
Share and reuse
workflows
APPLICATION
DEVELOPMENT AI-CD
A~IMINISTRATIOK
. A&vex Controls and
COM Objects for rapid
application development
Worldwide Headquarters
FileNET Coqwrauon
3565 Harbor Bouhrd
Corm ,Mera, CA 92626
U.S.A.
1.714.966.3400
Comprehensive suite of
ActiveX Controls for:
- Catalog navigation
- Document v:ewing
- Versioning - Searching
Set of COM Objects
provides interface to:
- Document properties
including versions,
view/edit, file, print,
add/delete
- Folder access and
modification
- Class and property
descriptions
- Security
Support for Internet
application building on
thin and thick clients
Web server-based
administration tools
Configurable trace and
audit event logging
Remote diagnostics
Compliance with
Microsoft globalization
guidelines
Year 2 000 compliance
On-line, context-
sensitive help for users
and developers
APPLICATION INTEGRATION
. Integration with other
FileNET products
n Integration with
popular Windows
desktop applications
including Office 97
and Lotus Notes
For more information about
FileNET producrs call
800.FileNET (345.3638)
In the U.S. and Canada
All orbers cdl
512.434.5935
www.filener.com
KIPI mail support for
email integration
including Microsoft
Outlook
S-P/R3 integration
Integrated COLD
capability
Desktop
Requirements
Hardware
. Pentium Processor
n High resolution display
. 50 MB disk space
. 32 MB RAM (64 MB
RAM recommended for
development)
Sojiware
. Microsoft Windows 95
or Windows NT 4.0
. Supported Web
--
c..
Information Server
or greater
Ausualia 61.2.8224.9900
Austia43.1.531.95.408
Canada 416.223.8400
France 33.1.46.23.7676
Germany 49.6172.963.0 -1
Greater China 852.2563.5822
Ireland 353.1.819.0100 ! Italy 39.2.7733.051
Japan 81.3.3436.8781
Korea 82.2.555.1810 -1
Netherlands 31.20.543.1345 .., ‘. Sourhem hia 65.538.0966 y :p-y*, < :...A... I Spain 34.91.721.4980
Sweden 46.8.655.3662
Umted Kmgdom 44.181.867.636
FileNET and Visual WorkFlo are registered trademarlts and Pawagon is a tnde-
mark of F&NET Corporation. All other products and brand names are trademarks
or registered ademarks of their respecrive companies. Due to continuing product
development, product specifications and capabilities are subiect to change without t r- .,. _. 1.. h’“C)C r 1 \-r-r r’ _ I,! ,r I P ,_ 1
FileNET’
Capturing information is
the most labopintensive
process in an IDM solu-
tion and one of the
system’s most expensive
on-going applications.
Panagon Capture can
lower the cost of owner-
ship 15 to 30 percent
by automating manual
tasks, using system
resources more efficient-
ly, and eliminating
., bottlenecks.
PANAGON CAPTURE
Integrated Document Capture for the Enterprise
It’s not just a paper world any more. Infor-
mation reaches the enterprise today from
any number of sources and in a varieq of
formats including faxes, email, documents
from the Web, even as digitized audio or
video clips. Whatever the document type,
information is a vital asset and distributing
this resource quickly and efficiently
throughout the enterprise is essential to the
success of your business.
Product Overview
Panagon”’ Capture has the power and flexi-
bility to effectively harness and direct this
complex mix of information. As the front
end of FileNET’s Panagon suite of inte-
grated document management (IDM) soft-
ware, it captures, indexes, and stores multi-
ple document types into FileNET reposito-
ries. Now all the information pertinent to
any given business transaction can be cap-
tured and stored in a single electronic fold-
er - providing tremendous business
process automation productivitv gains.
Capturing information is the most labor-
intensive process in an IDM system and
one of the system’s most expensive on-
going applications. Panagon Capture can
lower the cost of ownership 15 to 30 per-
cent by automating manual tasks, using
system resources more efficiently, and elim-
inating bottlenecks.
A component-based approach to the docu-
ment capture process, Panagon Capture is
suitable for high- and low-volume scanning
environments. It provides direct out-of-
the-box functionality or can be easily cus-
tomized. Its modular architecture allows
you to tailor a capture application to the
specific needs of your enterprise, and you
can combine Panagon Capture components
with capture-specific, third-party software
components.
Panagon Capture integrates into the exist-
ing business automation environment and
is designed to comply with Microsoft stan-
dards and with industry-standard software
development tools and interfaces. Rapid application
development (RAD) controls expedite and simplify pro-
gramming, shortening the gap between system devel-
opment and productive activity And the user interface
is based on the popular Windows Explorer model,
reducing user training and support time.
Capturing Multiple Document
Types in a Single Solution
Business runs on information. To support this need, an
effective enterprise document capture application must
accommodate the variety of capture environments and
document types flowing through the organization
today. Panagon Capture supports more than 120
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simples and duplex scanner conti_gurations, ranging
from desktop to production. Incoming faxed docu-
ments can be captured directly into the system and
Panagon Capture can accept image and non-image data
including HT,\IL pages or forms from the lVeb and
Electronic Data Interchange (EDI) documents.
With Panagon Capture, you can accept more informa-
tion from more sources, then efficiently and accurately
process the documents as required - saving valuable
time and ensuring data integrity
Modular Architecture
Improves Productivity
Panagon Capture provides a complete set of document
capture process components fully integrated into the
FileNET system environment. Each of the components
provides an element of capture functionality such as
scan, assembly, barcode, and index. You can select sev-
eral advanced components to create an effective enter-
prise-wide, high-volume operation or choose the com-
ponents for basic functionality in a distributed, low-
volume capture environment.
Unlike monolithic capture applications, each Panagon
Capture component operates independent+ improving
performance in high-volume applications. For example;
multiple image enhancement or barcode components
can be configured in the same environment, effectively
doubling the processing speed. The result is a more effi-
cient system that is closely configured to the needs of
the enterprise. With Panagon Capture you can:
. Streamline document entry processing, reduce long-
term operational costs, and improve productivity
with barcode, patchcode, forms ID, and image
enhancement components.
l Automate indexing and improve indexing accuracy
of incoming data with index, index verify, image
verie, and assembly and commit components.
l Capture inbound faxed documents directly into the
system, taking advantage of the automated process-
ing features available with other capture components.
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Lowering Capture
Development Costs
Customizing a capture system can be a costly and
time-consuming design project. Panagon Capture
resolves these issues with the use of RAD tools. This
significantly curtails software development time and
reduces the cost of ownership since customized RAD
objects can be recycled in other projects. In Panagon
Capture, components and custom applications can be
created in industry-standard.programming environ-
ments including C++, Visual Basic, PowerBuilder,
and others.
The software framework around Panagon Capture is
based on Microsoft OLE Automation. This technology
makes it easy to plug in third-party OLE components
- such as OCRJICR - that interact seamlessly with
the capture application. The Panagon Capture reposi-
tory interface is based on Microsoft’s component object
model (COM) to ensure interoperability of all reposi-
tory software objects.
And Panagon Capture is designed with the flexibility to
integrate into the workflow automation environment of
the enterprise. It offers dynamic object routing with
FileNET V7isual WorkFlo@ software that leverages a
single workflow environment throughout the enter-
prise. An embedded Routing Wizard can be used to
develop capture paths for simple, sequential processing
of batches. The Routing Wizard automatically creates
a simple capture path to each component, saving you
programming time and resources and allowing you to
add new applications quickly and easily
Reducing Cost of Ownership
Eliminating bottlenecks and maximizing resources
can streamline the capture process and significantly
decrease long-term operational expenses. Panagon
Capture can further reduce document capture costs
with image enhancement, automated indexing via
barcodes and patchcodes, and tight system integration
into the enterprise. Each department can customize the
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document capture process to their specific needs,
eliminating wasted effort and the cost of purchasing
unnecessary applications.
To assist in designing the most efficient configuration,
Panagon Capture also provides detailed productivity
reports. System metrics track the progress and status of
any unit of work at any point in the process path. This
information is vital in determining capture throughput,
improving operator productivity and enhancing the
data capture process.
Specifications
Sojiwa7-e
l FileNET Panagon IDM Image Services
3.4UWindows
NT 4.0 (scan station)
. Supports W7in 95 and Win NT (on non-scanning
components)
Hardwal-e
. Pentium 133 MHz PC or higher (minimum)
. 32 MB Memory (64 MB recommended for
color scanning)
m 1 GB hard disk (minimum)
IKON AND CSC DELIVER IMAGING
SOLUTION FOR GENERAL DYNAMICS
SAN DIEGO, CA - The Pension
Program Services (PPS) department
move to Charlottesville, Virginia in
the last quarter of 2000. Improving
this document stor-
age situation was
critical to improv-
ing the business
processes of the
department.
of Computer Sciences
Corporation (CSC)
had nearly 2 million
paper documents
belonging to their
client, General
Dynamics, stored in
50 file cabinets in
various locations at
their San Diego,
California facility.
These documents
represented the criti-
cal benefits information
for over 70,000 active and retired
General Dynamics employees.
Besides the inherent workflow,
access, and retrieval problems that
come with storing information in this
manner, Ken Hill, Corporate Vice
President of Information Technology
for General Dynamics, knew these
documents were vulnerable to natural
disasters, and that many of the docu-
ments were original legal documents
that could not be replaced. In addi-
tion, this location is scheduled to
Computer Sciences
Corporation began
suggesting ways to
improve benefits
administration for
General Dynamics
.n November of 1997.
Tim Buege, CSC Facilities Manager,
estimated that the removal of the file
cabinets would free 1100 square feet
of badly needed floor space. Nancy
Mumford, who supervises a group of
20 human resources specialists want-
ed to see paper eliminated as much
as possible and needed easier access to
documents to speed up the commu-
nication of benefits information. In
March of 1998, General Dynamics
purchased the hardware and software
Continued on page 2
IN TIM ISSUL
President’s Message .2
2 Million Pager
converted in 4
weekends , . . . . . . . .4
Why IKON for Your
PDF Conversion . . . .5
IKON Speakers
Bureau . . . . ,. . . . . .6
Technical
Notes ..,,,...,.,.7
LLJlJ 1 A R i E A 1 U R E-j
PRESIDENT’S MESSAGE
The Power of IKON Office
Solutions
TECHNICAL NOTES
Managing the Quaky Process,
Equipment, and PeopIe
IKON & CSC, continued om pafe I
necessary to create a document man-
agement system that would allow the
PPS department to view retirement,
beneficiary, medical, and payment data
on-line. The new optical technology
not only protected the documents,
but enhanced security and made the
files available electronically on the
desktops of 25 employees, including
the corporate human resources
department in Falls Church, Virginia,
thus dramatically improving work-
flow. The next important step was to
create a backfile conversion of these
documents to complete the entire
imaging solution.
il
3
I
I
“We selected
IKON because of
the sense of security
they provided based
on their years of
experience. ”
4
i
d
- Nancy Mumford,
Supervisor, CSC
Simmi Baum, CSC Project Manager,
selected Altris software for viewing
the converted documents and IKON
to perform the backfile conversion.
Baum, and Geoff Tischman, IKON’s
Project Manager, worked with a team
of people to create the backfile con-
version for General Dvnamics.
;i
Contimed on next page
Ij(OAr B CSC, rontinuedfion~ page 2
The next steps included analyz-
ing the work, evaluating the
resource requirements and tech-
nology selections, defining the
timeline, and establishing the
expectations of the project. All
of this was accomplished
through the development of a
Conversion Services Plan devel-
oped expressly for General
Dynamics. IKON selected and
trained a crew of 25 people to remove
documents from folders, categorize
them by type, remove staples, apply
bar code index labels, and perform
quality control checks, as outlined by
CSC and General Dynamics. This
was a labor intensive process and
required IKON’s conversion and pro-
ject management expertise to assure
accessibility while mitigating the risk
of misplaced documents during the
conversion. One Kodak 923 scanner
was used with two scanning shifts
over a 16-week period. After the
folders were optically scanned, they
were sent to IKON’s Northern
California Conversion Operations
Center where the images, their
indices, and other metadata were
written to CDs. After the backfile
conversion was complete, Jim
Lindsey, the CSC technical lead,
used the Altris software to load the
CDs onto a Windows NT
client/server database. Lindsey also
crafted the technical system solution
utilizing a combination of optical
and RAID storage.
CSC’s Mumford said, “We selected
IKON because of the sense of securi-
ty they provided based on their years
of experience. Their technical exper-
tise was easily demonstrated by the
Quality Control performed of General
Dynamics’ documents.
lack of any serious problems during
the entire conversion process.” She
also explained, “no company should
undertake this type of project without
professional help. New procedures,
auditors and day-forward issues were
also part of the process, and IKON
was there to help us every step of the
way. Lynn Noyce, the IKON Sales
Manager, and Geoff Tischman, made
me feel comfortable, and kept me ‘in
the loop’ during every phase of the
project, I would definitely recom-
mend their services.”
Before the project began, Ken Hill
of General Dynamics laid out a chal-
lenge: “According to recent studies,
the cost to retrieve, handle, and refile
a single paper document is on the
rise. We are expecting a big produc-
tivity improvement when the new
system is fully installed.” According
to Mumford, “Workflow and response
time has already started to increase.
The CDs are still being loaded, and
no problems have occurred. The
images are extremely clear.”
President j. .\lcs.q~~. rontirtrrcd
We deliver these services on-
site, near-site, or off-site.
IKON is the nation’s Ieadinq-
edge resource for advancing
the digital document across
the country and around the
qlobe. At IKON, we understand
that information and knowl-
edge is what makes up the
“corporate memory” - and it
usually ends up beinq stored
in various types of media for-
mats and/or systems as the
enterprise grows. IKON
Business lmaqinq is uniquely
positioned to leverage the
power of our Document
Services group, to meet the
document, information, con-
version, storaqe, and distrib-
ution needs of our customers.
In 1998, Information Week
ZOO ranked IKON Office
Solutions as 21 out of 500
companies for “,,,demon-
stratinq a pattern of techno-
logical process, and business
innovation!’ The bottom
line is that IKON provides a
superior mix of equipment,
outsourcing, technology,
and services to the business
world. With more than 1,000
locations in North America
and Europe, we are prepared
to continue our expansion
and quality deliverables into
the millennium.
SPRING 99 n 3
YOUR SALES MANAGERS
FOR CURRENT, FUTURE
OR ON-GOING BUSINESS
NEEDS...
Tim Borer
Mid-west Manager
612.495.8080
tborer@ikon.com
Glenn Cwwt
PDF Services
800.829.2459 ext 103
ggernert@ikon.com
Jim 6ibson
Southwest Manager
619.538.4311
jmgibron@ikon.com
Lori Wefner
Northwest Manager
925,930.7700
Ihefner@ikon.com
Lynn Noyce
Northern California
Metropolitan Manager
925.930.7700
Inoyce@ikon.com
David Smith
Southeast Manager
404.589.8002
davesmith@ikon.com
Crank Starnet
Northeast Manager
717.620.0430
fstarner@ikon.com
Or... call
800.664.4636
IKON CONVERTS OVER 2 MILLION
PAGES IN JUST FOUR WEEKENDS!
The California State Automobile
Association (CSAA) is the affiliate of the
American Automobile Association that
serves Northern California, Nevada, and
Utah. CSAA has been servicing their mem-
bers for nearly one hundred years. With 3.8
million members, exceeding customer expec-
tations and providing excellent and efficient
service is very important. During mid July of
1997, CSAA decided to make improvements
in their claims service - Claims Redesign is
what the project was named. In November
of 1997, CSAA began working with MCI
Systemhouse to develop the technical side
of the plan and set things in motion.
CSAA is providing claims adjusters with
equipment such as computers, fax machines,
digital cameras, cellular phones, portable
printers, and hand-held recorders enabling
them to work from home. CSAA, in their
Claims Redesign project, elected to go with
a paperless system to give them technologi-
cal capability for the future. CSAA decided
to have their current files scanned and
implemented with an imaging system being
built by MCI. As an added benefit, once all
the images are on the system, multiple people
can access the files easily and simultaneously,
greatly improving workflow.
The imaging portion of the Claims Redesign
would be done in two parts, backfile (current
unsettled claims) and day-forward (new
claims). The backtile had an estimated 4.5
million images between four geographical
areas and ninety district offices. Because the
insurance tiles have a short working life, and
could not be unavailable to the adjusters for
long periods, the scanning and conversion of
these files had to be done within a four-week
period and not be “out-of-pocket” for long
periods of time. XICI and CSAA realized
that thev would need a professional services
company experienced in this type of work
that could stand up to the demanding time
constraints. They chose IKON Business
Imaging Services for the project.
Together, IKON and MCI developed a sched-
ule and the details needed to accomplish the
conversion in the time frame required. They
realized that the best way to operate was to
have the files delivered to IKON, who was
working on-site at CSAA’s Fairfield, California
facility, on Thursday and have images delivered
and paper files returned by Sunday night.
IKON was prepared to scan 1 million images
per weekend. IKON project manager, Jeff
Mich and engineers, Dana Leong and Jeff
Kling, worked several weeks, including week-
ends, before the project began preparing six
Kodak scanners and scanner platforms, three
quality control platforms, and network interface
with CSAA’s imaging system for image delivery.
Production kicked off on Thursday, September
3, 1998. The original CSAA calculations had
overestimated the amount of pages that needed
to be scanned. IKON scanned 402,000 images
for CSAA in the first weekend. IKON, how-
ever, stayed on-site to scan what wgs available,
when other service companies would not have
stayed. In total, CSAA’s backfile was 2.1 mil-
lion images, and IKON scanned and delivered
all images within the time constraints. CSAA
was grateful to know that IKON was prepared
to scan twice as much! Assistant Vice
President of Claims Service Delivery, Mike
Akkerman said, “Converting paper files was
an essential piece of the Claims Redesign pro-
ject. IKON’s ability to analyze our need, work
with US closely, and meet our aggressive time-
line enabled us to meet our goals.”
I
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1 d
7 4
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1’
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A
4 g SPRING 99
---WHY IKON FOR
YOUR PDF CONVERSION? _ - Lori Hefner, Certified Records Manager,
and Certified Archivist
In a quandary about who should provide
your Portable Document Format (PDF)
conversion? Have you searched the Internet
and trade magazines and found that many
proclaim themselves to be PDF conversion
experts? This happens too often in today’s
marketplace.
However, look deeper and you will find that
IKON Business Imaging is the premiere
PDF conversion provider and we should be
your PDF Conversion Partner.
What distinguishes us from the others?
It is our:
*in-depth conversion process knowledge,
*broad technology understanding,
l prqject management expertise,
*superior engineering skills, and
*financial strength and market ranking
that stands behind our work.
IS-DEPTH COKVERSION
PROCESS KNO\~LEDCE
IKON Business Imaging, through the
acquisition of Emerge, has been extremely
involved with Adobe’s conversion product
from its inception - even before the soft-
ware was called Capture. Our technical
experts have sat along side Adobe engineers
communicating to them customer needs
and product frustrations as each version was
conceptualized, designed, tested, and de-
bugged. For the past seven years, we have
consulted with, designed solutions, and pro-
vided services for some of the most impres-
sive names in business, including Bank of
America, Shell Oil, Gateway 2000, and
Delta Airlines.
What does this mean for you, the customer?
IKON Business Imaging has in-depth con-
version process knowledge. You will not be
paying for our learning curve; you will be
the beneficiary
of our extensive
knowledge, keen
systems analysis,
detailed testing,
the prqject proof
of concept, and
proper applica-
tion of advanced
PDF tools and
features.
BROAD
TECHSOLOG~
UNDERSTASDINC
It is troubling to us at IKON Business
Imaging to see many market entrants “jump
on the PDF bandwagon” acting as if “any-
one can provide PDF services.” Many well
meaning vendors have sat across from our
desks anguishing about a supposed simple
conversion project that went awry, asking us
to help them. Please be aware that most play-
ers in the conversion market do not have the
necessary broad technology understanding.
IKON Business Imaging has been the leader
of document and electronic media conver-
sion for 13 years. IKON Business Imaging
converts over 15 million images a month!
We have loaded the information into over
200 different systems, and on all forms of
media. We have extraordinary broad tech-
nology understanding. Again, this additional
expertise is of tremendous benefit to you in
assuring that your PDF conversion exceeds
your expectations.
SUPERIOR ENGINEERING SKILLS
Our broad understanding of technology is
supported by a team of highly skilled engi-
neers who have vast conversion experience
supported by tested procedures and an array
of technology that includes operating systems,
Continued on next pa&
I
IKON for Your PDF Conversion, continued om page 5
3 hardware platforms, scanners, document
management software, image formats, and
databases. As technology changes and
expands, so do we. The engineers design
quality into the project.
Business Imaging from start to finish in a
well-orchestrated and coordinated manner.
Your project will be:
l delivered on time,
Again, what are the implications for you, the
customer? Your valuable documents are
imaged to the highest quality possible and
every source document processed is returned
to you with its matching electronic image.
‘PDFpreserves
the tangible quali-
ties of a document
in electronic form”
PROJECT AIAS.AGE>IEST ESPERTISE
For a conversion to be successful we have
learned that:
*each customer must be carefully
listened to,
*a thoughtful needs analysis must
take place,
*there must be a conversion test with a
sample of the documents, and
*the concept must be refined after the test.
IKON Business Imaging treats each customer
with the attention and rigor that comes with
professional prqject management. IKON
Business Imaging has a team of project man-
agers who are all members of the Prqject
RIanagement Institute and two have been
certified as Project Rlanagement Professionals.
What is the benefit to you, the customer?
Again, our project management expertise
assures that Lou, vour corporation, and your .
project receive all the benefits of IKON
l high quality,
l a trouble-free process, and
*managed within budget.
A FORTLINE 500 CO~IPASY TO ST,ANI)
I~EHIND THE WORK
When looking for a PDF conversion
provider, obtain a Dun and Bradstreet finan-
cial statement of the considered providers.
How strong is the company? Are they likely
to survive in the marketplace and be there to
see your project through and even assist you
with more advanced information needs in
one to two years? Complete this level of
“due diligence,” and you will be surprised -
the attractive Internet site melts, four-color
brochures fade, and very little may stand
behind the self-promotion of other providers.
Now consider IKON. We are a Fortune 500
company and one of the world’s leading spe-
cialists in document management solutions.
IKON has over 1,000 locations, 30,000
employees, and revenues in excess of $5.6
billion. IKON has operations in the U.S.,
Canada, Mexico, the United Kingdom,
France, Germany, and Denmark.
When you know you want the portability
and fidelity that PDF offers, call IKON
Business Imaging. You will enjoy the benefits
of our in-depth conversion process knowledge,
broad technology understanding, project
management expertise, superior engineering
skills, and the strength of our market posi-
tion - which tells you we will support your
document management needs with quality
for years to come.
r-
TE(UNI(AL NOTES:
pmpR,e.(m E 5 5, E Q U I
George DeBoever, Vice Pre
MANAGING TUE
PMENT, AND _____~
xident, Engineering &
In a continuation of the quality theme of ml
p articles, we examine two more items - the
management of people and equipment for a
qualitv document conversion.
I- - \f.\\ \c;I\(, l:clr.rEV~:\~r- ~~\1.1~1.~
Pick a qualiy scanner and the right scanner
r- for your documents. No one scanner is opti-
ma1 for all source documents. Test vour docu-
ments on a varietv of scanners. Learn the
~- options for image enhancement, which are
either built into the scanner or provided with
the scan software. Image quality is critical, but
, jams, double feeds, and bar code read accuracy
also affects the quality of your production.
When you buy a scanner for high volume
r production, you must verify that the vendor
can maintain your scanner. Get a service
agreement which matches your production
requirements. Preventative maintenance
must be performed. IKON keeps their scan-
ners under service agreement and tracks the
preVentJti\‘e maintenance performed by the
vendor to make sure it is on schedule.
It is essential that you learn your responsibili-
ties for maintaining the scanner. Regular
cleaning is required. High-volume operations
generate paper dust, which impacts image
quality as it collects within the scanner.
IKON cleans their paper scanners every shift.
3Iore often if the condition of the source
documents require it.
Test target scanning is an effective tool to track
the performance of a scanner. Only by looking
.[r the scanning of a high-quality target can you
ohser1.e a subtle degradation in equipment per-
formance. A good example is the light source,
\&cl1 may be slowl!~ dimming.
~l.\~.\c:rsc PEOPLE QALIT~-
The answer is people. The question is “What
is the primarv component for a high-quality
b~kfilc conversion?” Rlanv of the tasks
rcqllired for a backfile conversion are manual.
I)ocument preparation, indexing, and scan-
nin:: are labor intensive. It is crucial to plan
how vou will
manage the
quality perfor-
mance of vour
staff. Post con-
version users
become ver)
frustrated when
they bring up
the wrong
document on
an imaging
system due to
incorrect indexing
or a document missing a page or two.
How do you get quality performance from
this staffi An obvious hiring criterion is
aptitude, manual dexteriq tests can be
given to help with selection. But just as
critical is the attitude of the worker. The
skill to perform a task is not nearlv as
important as the desire to correctlv execute
the task. Standardized attitude tests are
available for applicant screening.
If you have new staff, you must perform
task training. You must check the success of
the training. For ever!’ task that requires
human performance, IKON does a 100%
quality check of all the worker’s output from
start. IKON verifies that the clerk can do
quality work and that the instructions for the
task are clearly understood. IKOn’ continues
qualic control of the worker during the
entire project. They reduce sampling per-
centage based on the type oftask and the
relative difficultv of the task.
After the document preparation stage,
IKON passes every box of prepared docu-
ments to a quality control clerk. A sampling
of the documents is reviewed and if the
documents are prepared correctly, the box is
forwarded for scanning. A document prepa-
ration quality control clerk must approve
Contimed on page 8
Mana@n,q Quality, continuedfrom paxe 7
every box. The approval or rejection is
logged. Rejected boxes are reworked and
reinspected. Most important is the assess
ment of why a box did not pass the quali
control check. Does the document prepa
tion clerk understand the requirements o
the task? Is it a training problem or an
attitude problem?
I am often asked, what percentage of the
product do you perform a quality control
check? At first, we perform quality contr
on 100% of a new clerk’s work to verify
that they understand the task and they
performing to expectation. We will the1
decrease the sampling from every box to
to 1.5 percent. This can vary depending c
the unique aspects of the task. Some con
sions require relatively complex documer
Fd+llds bqbeu/ SSdU!S/lg NOJ/jO IldU)lP,f UUP!//~ PUP SldWO)~) dl/J 10 j 1
i
- preparation or indexing and therefore require
intensive scrutiny. Tasks may include identify-
ing documents, index data encoding, sorting,
purging, bar coding, taping, and removing
of bindings. To produce the required quality,
100% quality control may be necessary for
the entire project. At times, we have taken
the document preparation task and broken it
into sub-stages to make the tasks and related
quality control easier to manage.
Carefully plan your backfile conversion.
Include plans for setting up a quality process
and plans for monitoring and maintaining
the quality of your product. You will save
money and you will improve the return on
your imaging system investment.
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IKON Business
Imaging Services
1600 South Main Street
Walnut (reek, (A 94596
Phone: 800.664.4636
Fax: 925.930.9316
www.ikon.com/idr
MANAGING EDITOR
Randolph Burns
rgburnr@ikon.com
EDITOR
Jennifer D. Martin
jdmartin@ikon.com
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OHIO PUBLIC SAFETY REPLACES
~-YEAR OLD IMAGING SYSTEM
Barry Cox, IBM Global Services
COLUMBUS, OH - The mission of The Bureau of Motor Vehicles has
the State of Ohio Department of been using an imaging system since
Public Safety (ODPS) is “to 1991 and has achieved signifi- , save lives, reduce injuries
and economic loss, to
administer Ohio’s
motor vehicle
laws and to
preserve the
safety and well
being of all
citizens with
the most cost
effective and
service oriented
methods availab
What does this have
to do with document
imaging? Plenty!
ODPS includes the Bureau of Motor
Vehicles, Ohio State Highway Patrol,
Division of Emergency Medical
Services, and Emergency Manage-
ment, as well as the Administration
department for all divisions. They
have recently moved into a wonder-
ful new 675,000 square foot facility
to house over 1,200 employees in the
central office.
5s of improved
:tivity and
omer service
during that time.
I Th e system was
r installed in the
Financial
Responsibility
Section and
r’ processed
about 5,000
images per day.
Financial Respon-
rr sibility handles the
reinstatement of drivers’
licenses that have been revoked
for financial reasons. For example, if
a driver is found to not have proper
insurance, their license is revoked
until they pay certain fees and provide
information verifying them to be
financially responsible. The imaging
system handles the mountains of
paperwork associated with these
types of transactions. During the
seven years this system has been in
Continued on page 2
IN THIS ISSUE
President’s
Message . . . . . 2
Ask Mr.
Conversion . . . .4
PDF and the
Document
Industry . . . . . . 5
Superior
Engineering
Skills . . . . . . . . 6
Technical
Notes . . . . . . . .7
REGULAR FEATURES
PRESIDENT’S MESSAGE
The Value Proposition
ASK MR. CONVERSION
Backfile, Day-forward or Both?
TECHNICAL NOTES
Managing the Quality of Your
Backfile Conversion Process ..m
ODPS, continued om page 1
use, over 8 million pages have been scanned 3 ’
and stored.
ODPS recently consolidated their IT func- I 1
tions for all divisions to create the Office of
Information Technology Services, under the
direction of Don Cort. The Office of 1
Information Technology Services for ODPS
saw that the benefits of imaging being real-
ized in Financial Responsibility could be 1
gained in other ODPS sections. However,
there were several obstacles to realizing this ?
vision. The current seven-year-old system .:
was out of maintenance, the software compa-
ny that produced it was no longer in the
imaging business and the system could not >
be expanded. In addition, no one knew if the
system was Y2K compatible. This clearly was 1
not the system to base the ODPS-wide ’
imaging infrastructure on. So ODPS issued a ,~
competitive RFP for a systems integrator to
provide an enterprise-wide imaging infra- A
structure for ODPS.
IBM Global Services was selected as the
Systems Integrator in April, 1998. IBM’s
VisualInfo Software was selected as the
imaging system to be implemented and IBM rl
selected IKON Business Imaging Services to
perform the electronic backfile conversion.
One critical aspect of the project was being
able to deliver an electronic conversion of 8
million images while the system was being
installed and customized to meet ODPS’s
needs. In order to meet OPDS’s deadlines,
the entire conversion had to be accomplished
in just 24 weeks. To accomplish this, IKON
engineers Jeff Kling and Bill Nitto analyzed
ODPS’s platters and developed algorithms to
allow ODPS’s 12” Sony 6SGB backup plat-
ters to be converted to 20GB 8mm tapes.
COLD documents were sent via the Internet .“d
to ODPS. The tapes and Internet files were
Continued on nextpage
ODPS, continued from paxe 2
then imported at ODPS into the IBM
VisualInfo imaging system where IBM 3995
jukeboxes and 5.25” 2.6GB WORM platters
were being used to store the images after
they were imported.
There were many challenges encountered
during the project that IKON was able to
handle using their vast experience in this
area. First, the platters were written over a
seven-year period, so they were not all exact-
ly the same as the sample platter used to
develop the initial conversion process. In
addition, the version of TIFF being used
had changed subtly over the years, which
provided additional challenges. As
anomalies were identified, IKON
engineers had to continually refine
the process to keep the conversion
working.
While these issues were worked out, valuable
time was ticking away. The conversion still
needed to be completed by September 28 in
order for the system to go live on October 5.
As the deadline approached and further delays
were discovered, IKON added additional pro-
duction lines and shifts to deliver on their
September 28 commitment.
Meeting the deadline required a true team
effort and a true partnership between ODPS,
IBM, and IKON. IBM project manager
Terry Mitchell, architect Steve Qinkert,
image specialists Bob Gawronski and Ly
Lim, and consultants Erol Eraybar and Kent
Another issue was that many of the
images on the platters were actually
COLD documents automatically cre-
ated from thousands of letters that
ODPS sends out daily. These letters
were not simple text though. They
contained logos, signatures, forms
with lines, shading, and multiple IKON engineer hord at work
Garrett were hard at work completing the
application programs and training users.
Meanwhile, ODPS project manager Dean
Gatton and image specialist John Seiler were
working to making sure ODPS was ready
for the new system. At the same time,
IKON project manager Geoff Tischman and
engineer Bill Nitto were busy doing whatev-
er it took to have the documents ready for
the users when they needed them on
October 5.
fonts. The complex documents were stored
in a format called DVI. DVI is a format
originally developed in academia to repre-
sent complex mathematical equations. It was
supported mostly in the UNIX world by
many shareware programs. At the time, DVI
seemed like a standard that would be here to
stay. However, things in the IT world
change rapidly, and finding a viewer to view
DVI format for Windows 95 was difficult.
To fix this problem, and to avoid it in the
future, the decision was made to convert the
DVI formatted files into TIFF images. The
same decision was made to store letters which
the new system creates in Word 97, in TIFF
IKON engineers worked with IBM and
ODPS to enable this conversion to proceed.
The system is in production today, is work-
ing well, and ODPS is currently planning
and implementing the system for additional
departments.
President: MessaTe. continued
and the integratian of their
knowledge base with their
EDMS system.
To prepare our customers for
the future, we see Portable
Document Services and PDF
technology as the next “wave”
in the electronic document
environment. Eventually, all
digitized information will need
to be stored as the “intelligent
document” for selected word
retrieval, and access via the
WEB, Internet, lntranet, or a
corporate-wide enterprise sys-
tem. This is an investment that
will bring real value and bene
fits to our customers today
while also preparing them for
the future.
IKON IN PRINT
Have you seen our recent
feature articles in Servicing
Mumgement, Document
Mmgement or Advance for
He&care? If you would like
a reprint of any of these
articles please feel free to call
Jennifer Martin at:
800.664.4636
3
YOUR SALES ASK MR. CONVERSION: BACKFILE, DAY-FORWARD OR BOTH?
MANAGERS Stuart Crepe, Director, New Business Development I
FOR CURRENT, FUTURE
OR ON-GOING BUSINESS
Question: We are preparing to implement
an imaging solution for several important
business processes. We’ve heard that conver-
NEEDS...
Lynn Noyce
Northwest Monoger
925930.7700
Inoyce@kon.com
Tim Boser
Mid-west Monager
612.4958080
tboser@ikon.com
Bob Penny
South Central Manager
281.265.4072
rbpenny@prodigy.net
Frank Starner
Northeast Manager
717.620.0430
fstarner@ikon.com
Patrick Fagan
Mid-Atlantic Manager
301.947.4671
pfogan@ikon.com
David Smith
Southeast Manager
404.589.8002
davesmith@ikon.com
Glenn Gernert
PDF Services
800.829.2459 ext 103
ggernert@ikon.com
Or... call
800.664.4636
comr zanies can service
help us with’ our scan-
ning needs. What
” are our options t’-
Rd
for using these
services?
Answer: Con-
version service
companies can
t
assist you with
any or all of your
document capture
:ds, helping you avoid
the cost, effort, and delays asso-
ciated with establishing an in-house scanning
operation. Whether the benefits of outsourced
conversion will outweigh the per-item costs
depends on the particular capture need you
are addressing.
In assessing your needs, the first cut is usually
between backfile and day-forward capture.
Backfile refers to the documents your organi-
zation already possesses as part of its know-
ledge base, while day-forward refers to the
documents that will enter your organization
after the imaging system becomes operational
(from that day forward, hence the term).
Question: Don’t backfile and day-forward
go hand-in-hand?
Answer: From the perspective of backfile
versus day-forward, different business appli-
cations have different capture needs. For
example, credit card charge processing relies
much more on day-forward capture than on
backfile: most of the activity centers on cap-
turing transactions as they come in, and most
references to past transactions are charge dis-
putes involving items less than 60 days old.
Thus, in the first 60 days of system operation,
the backfile will have become obsolete.
By contrast, a human resources application
relies heavily on the backfile. A complete his-
tory of each employee’s hiring and tenure is
crucial to management decisions and even
potential legal or regulatory liability. By con-
trast, a low rate of new hires and separations,
along with a low incidence of benefit changes
and management reviews, may result in light
volumes of day-forward capture.
Question: How do we decide if capture for a
particular application should be outsourced?
Answer: You need to consider the volume,
deadline or turnaround and complexity of the
capture requirement. For backfile capture, you
generally should outsource if:
l your backfile is large (500,000 images or
more), and
9 your deadline for completion is tight.
If these two conditions are present, then out-
sourcing the backfile conversion helps you
avoid buying or leasing a great deal of equip-
ment; reassigning or hiring large numbers of
personnel; conducting a crash course in docu-
ment image capture; and learning on your
own the painful lessons of quality control,
indexing precision, and the importance of
document preparation. A complex application
may require you to provide support in the
form of business process knowledge to the
outsourcing firm, but you would have to pro-
vide the same support to an in-house effort.
For day-forward capture, you should consider
outsourcing if:
q your incoming volume is high and subject to
tight turnaround times; or
. your incoming volume is high and the appli-
cation is complex; or
. your incoming volume is low but not subject
to tight turnaround times.
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In the first case, an outsourcing vendor can
help you avoid creating a new operation with
Continued on nextpage
PDF ANDTHE
DOCUMENT IND
Andy Young, Director of Marketin)
Portable Document Services
Today’s businesses have a multitude of choices
when considering the most efficient means
of delivering documents electronically. The
issues they face are not only technical, but
financial and cultural as well. Beyond imple-
menting hardware and software systems, lies
the selection of an electronic delivery format.
Of the electronic document technologies cur-
rently available, organizations are increasingly
looking to the Portable Document Format or
PDF as their solution. Let’s take a look at
why PDF is becoming a de-facto standard
for the electronic delivery of documents.
USTR
paper! Maintain
familiar look-an
of documents OI
screen or on paI
is critical to the
cultural accep-
tance of elec-
tronic document
formats. Many
organizations
invest a great de
in branding thei
uments, making
Y
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The paperless office has been touted for easily identifiable to the end
years, however the fact remains, we like Continued on page 6
Ask Mr. Conversion: Backfile, Day-forward or Both? continued from pa,qe 4
a large headcount and capital equipment
budget. In the second case, the outsourcing
vendor can help offload clerical functions
from the specialized knowledge workers who
must process your complex transactions. In
the third case, you may be able to send out
your scanning work on a weekly or bi-weekly
schedule and thereby avoid having to invest
in an in-house scanning capability.
Question: Can’t we accomplish both backfile
and day-forward in the same operation?
Answer: If you have a substantial backfile
requirement and a substantial day-forward
requirement, the two may be in conflict. If
you decide to perform the day-forward cap-
ture in-house, you have to consider whether
it is worth investing in the additional equip-
ment and staff to perform the backfile con-
version as well. (If you try to do the backfile
conversion on a “catch as catch can” basis
during lulls in the day-forward volume, the
process will take much longer, be more prone
to errors, and delay the usefulness and pay-
back of the imaging system compared to an
outsourced backfile conversion.)
By the same token, a backfile conversion
operation may not be set up for efficient day-
forward operation. There may be functional
differences: for example, day-forward scan-
ning of personnel documents into a work-
flow application requires strict document
type distinctions, whereas backfile scanning
of a personnel file may not. There may also
be timing differences: it might be permissible
for backfile documents to be out-of-file for
several days during conversion, while the
day-forward application may rely on a turn-
around of 24 hours or less from mail receipt
to image availability.
Each capture need should be evaluated for
its own sake. This may lead to a decision to
outsource all, some, or none of your docu-
ment capture. Whichever mix of in-house
and outsourced services you choose, your
overall solution should be designed to meet
all of your capture needs effectively.
Have a question for Mr. Conversion?
E-mail it to screque@ikon.com.
PDF and the Document Industry, continued om paxe 5
user. The compound nature of PDF allows a
single file to contain everything which is
needed to view, print, and search a docu-
ment, including color, fonts and graphics.
PDF preserves the tangible qualities of a
document in electronic form.
Managing proprietary file formats and the
associated client viewers is becoming too
difficult and expensive in today’s Internet-
worked environment. Managers want
“PDFpreserves
the tangi& gualities
of a document in
electronic fomz”
a format that is widely supported not only in
terms of operating systems and hardware
platforms, but also offer localized file viewers
for global distribution of documents. The
Adobe Acrobat Reader* file viewer is freely
distributed and supported by many of today’s
leading EDMS, Database, and Search ven-
dors plus most popular web browsers.
Accessing the knowledge contained in a
document is in large measure the motivation
for delivering electronically. Beyond simply
searching the content of a document, end
users also need features which make the
electronic version more usable, especially on-
line. Navigation aids such as hypertext linking
and bookmarks quickly allow the user to
find the desired information without exten-
sive searching. Header and indexing values
also quickly identify a specific document out
of many, These are all capabilities of PDF
The addition of content structure and the
interface with XML and Java scripting in
upcoming versions will add additional value
and functionality to the format. PDF is an
intelligent and extensible format.
Investing in technology is always risky,
however, if the technology has broad applica-
tions it can be leveraged to impact business
processes across the enterprise. For businesses
to standardize they need assurance that the
chosen technology will have wide application
in their organization. PDF is not only a de-
facto standard for the electronic delivery of
compound documents, it is also widely adopt-
ed in the printing, publishing, and imaging
industries. For example, once a document is
in PDF that same file can be posted to a web
site, delivered via CD-ROM, used as a mas-
ter for printing, and be an on-line form. PDF
is a horizontal technology with many differ-
ent applications.
The ease with which existing and day-forward
documents can be converted to an electronic
form is a significant component of the overall
cost of deploying a new system. Organizations
need an electronic delivery format that man-
ages content from many sources, from both
electronic and physical forms, in day-forward
and backfile applications. The ability to inter-
mingle content from all these sources and
produce a compound and intelligent deliver-
able by unitizing a cost effective conversion
process is essential to the success of the project.
Documents can be converted directly to PDF
from source application files or scanned images.
When you combine all of these factors you
can begin to recognize why so many organi-
zations are adopting PDF as an electronic
document format. No other technology
encompasses the broad application and cost
effectiveness of PDF while maintaining the
familiar qualities of paper.
Next issue: Why IKON is your best source for
PDF services.
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TECHNIC AL NO TE ~3: M
OF YOUR LARGE B ACK
z
j-l
George DeBc lever, Vice l eside ‘nt,
If your conversion process is not high quality,
you cannot expect the product of that process
(images and indexing) to be of high quality
But, how do you create and verify a quality
process for high-volume backfile conversion?
I)ESlGS .A COS\~ERSIOS PROCESS
TINT 11.4s RET\ I’RO\.I:\
Design a conversion process that uses tech-
niques that have been proven in previous
large-scale conversions. It helps to hire an
experienced service company or a consultant
who has successfully completed a conversion
similar to yours. The nature of a large-scale
backfile conversion is quite different from a
day-forward, department level, and low-vol-
ume scanning project. The challenges and
risks are much greater. Manual procedures
that might work well at 4,000 pages per day
may not work when 100,000 pages per day
are required. Do not turn your backfile into a
learning experience for yourself or your staff!
hCL’\lI~\T ‘rlll. I’KOCLSS
lil:COKl. 1OL 1:C’II.D IT
Clearly document the process for a detailed
review by those who will perform the conver-
sion; the IT staff who will receive the elec-
tronic documents, and representatives from
the organization which uses the documents.
IKON uses a document called the Conversion
Services Plan (CSP). It is created after a cus-
tomer contracts a project to IKON and is used
to verify the requirements of the project, the
approach, the source media, and the deliver-
able media. It is both a logistics plan and an
interface specification for the IKON project
team and the customer. IKON emphasizes to
the customer that close scrutiny of the plan is
critical. IKON and the customer review the
document and together sign-off before set-
ting up the process.
The documentation must include a descrip-
tion of quality requirements. Any process
that includes a large labor component is
ANAGING TH.E QUALITY
LE CONVERSION PROCESS
Engineering ti Operations
bound to have errors. How
the quality of the work
will be monitored A
must also be
described. IKON 1
and the cus-
tomer mutually
agree upon
quality targets 1 - this is
essenti al!
IsCLUr
AUDIT . .
3E A
TRA
.s
.IL
A large-scale conversion -
must have a built-in audit trail. From receipt
of source material to return of source and
product, the system must have logs that
clearly identify the location of your docu-
ments. These logs can be either electronic
(built from scanned barricades of boxes or
documents) or manual (logs or media mani-
fests). Your documents are valuable and they
should not just disappear behind the doors
of a service bureau. The audit trail must
clearly prove that every source document
processed was returned with its matching
electronic product.
BUILD IS QUALITI CIII‘Cli POINTS
A large-scale conversion will be performed
in stages or steps. After each step, for exam-
ple, document prep or scanning, you insert a
quality check point. You design quality into
the process by establishing quality checks at
the end of every step with clearly defined
tasks, responsibilities, and corrective actions.
The Association for Information and Image
Management (AIIM) has specifications
available, which give guidance on recom-
mended sampling.
1!4LIDATE YOUR PROCESS
Prior to processing millions of documents
with your conversion factory, you must vali-
date that the processing system is correctly
Continued onpage 8
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Mana@q uaiity, conthedfrom page 7
built. For example, to do this, IKON performs
live Data Interchange Tests. The purpose of
this test is to run a live sample of the cus-
tomer’s media through the process and deliver
the images and index data to the customer.
This test is performed exactly like real pro-
duction will be performed and verifying that
the image factory is ready.
PLAN FOR A RECONCILIATION PHASE
After completing your conversion, validate
your delivered electronic documents against
an existing database, if available, or data col-
lected during the processing steps. You can
then identify and resolve any exceptions.
When you are about to handle a million
pieces of anything, it is critical that you build
a robust process and verify its quality. No
two conversions are identical. Your produc-
tion process must be tailored to the unique
needs of your documents and your business.
Hopefully the six items mentioned above will
help you succeed with your conversion.
Next issue: Managing the Quality of the
Equipment and Personnel in a Large Backjle
Conversion.
96S86 V3 “la=3 a”u@M
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IKON Business
Imaging Services
1600 South Main Street
Walnut Creek, CA 94596
Phone: 800.664.4636
Fax: 925.930.9316
Managing Editor
Randolph Burns
rgbums@ikon.com
Editor
Jennifer D. Martin
jdmartin@ikon.com
1
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around H-t& world. We cop&t id- - stored as p&e~ .microfiche,. fVm OF
other @ctronic data - into a sk&+ ‘liolutbn and retention‘kdiuti that me& our
customers’ needs today white p&&i& them fur a less papsr-htensive f&~r% ’ .-
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. . . . i Advancing the Digital Document
i Across the Country and Around the World. .
What Defines a Successful Conversion?
l On-time delivery
l High quality work
l Trouble-free process
l Managed within budget
These are client-defined characteristics of a successful
conversion, and IKON delivers on every one.
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The IHON Network.
IKON Business Imaging
Services is a unit of IKON
Office Solutions, one of the
world’s leading office technol-
ogy companies. IKON is a
$5 billion company with more
than 1 ,100 locations in the U.S.,
Canada, Mexico, the United
Kingdom, France, Germany
and Denmark. Currently,
IKON Business imaging
Services has 12 conversion
centers, with locations in the
U.S., Australia, the Philippines
and the U.K.
A Range of Services,
AII from One Source.
At IKON, we specialize in
projects requiring high-volume,
on-site, near-site or off-site
conversions for “mission critical” applications.
Backfile Conversion. Transforming paper, roll film,
microfiche or electronic media
into images that are deliverable
in over 100 easily accessible
and retrievable formats.
Day-Forward Conversion.
Utilizing state-of-the-art
document capture technology
to scan and index new docu-
ments as they are created
or received, ensuring rapid
retrieval and enhanced access.
Business Continuity Services.
Developing and documenting
a business disaster recovery
and continuity plan for
critical scanning activities in
applications such as claims
processing, credit card
processing and order entry.
Portable Document
Services/FTiE The capture of both paper
and electronic documents for
(1) posting to the WEB and
(2) marketing and product
support document distribution.
This application involves
scanning or digitizing existing
marketing product support
literature or cataiogs and
converting them into an
industry standard format for
document distribution (CD
or electronic). This process
is both a backfile and a day-forward application.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..*...............................*..*..........*........ . .
\Off ice Solutions
Document Services
Business Imaging Services
Company Background
Performance Beyond Expectation
r 1600 South Main Street, Suite 300. Walnut Creek, California 94596
Telephone6006644636~Fax9259309316
www.ikon.com/ids
llff?N offkesolutlons
Document Services
i-
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I&CON’s Document Services group is comprised of three business units: Business Document Services, Business
Imaging Services, and Legal Document Services. This wide range of specialized services was developed to provide
customized solutions to an even wider range of industries. From high-volume photocopying and digital printing to
document imaging and file conversion, IKON Document Services has the technology and staff on call around the
clock to manage all types and sizes of complex, multi-faceted productions with exceptional quality and speed.
Outsourcing is a simple concept that is not simple to practice. Often, discussion focuses on just one part of the
equation - on the fact that delegating support functions to outside specialists frees companies to narrow their focus
and concentrate on their core business. What is not stressed enough is that vendors who provide this help must have a
broad view of this relationship and their responsibilities. To deliver optimal value and offer support that dovetails with
the customer’s business plan, vendors must take a broad view of their duties and gain a detailed understanding of the
customers’ strategic goals and needs. IKON Document Services is, in fact, one of the nation’s fastest growing
providers of outsourced document services. We have achieved that success because we work to develop customer
relationships that go beyond the limitations of mere buyer/supplier ties to become a full-fledged working partnership.
IKON Business Imaging Services has captured, indexed, and brought billions of documents on-line for clients around
the world. We convert information into a storage solution and retention medium that meets our clients needs today
while preparing them for a less paper-intensive future.
As the new global economy reengineers their business processes, organisations are considering the way their
information -the power behind their business-is handled. The electronic document management industry is going
through monumental changes, with acquisitions and mergers of both large and small vendors. IKON Business
Imaging Services continues to position themselves as the premiere service company in order to respond to the
changing imaging market and corresponding industry trends. During the sales process, our IKON sales staff works
closely with engineering and operations personnel to assess the best possible solutions for every client’s individual
document needs. Engineers determine each project’s technical requirements, programming resources needed, and a
time frame for set up and implementation of each project. Software engineers configure proprietary software tools to
often write difficult and complex computer programs for specific projects. Our project managers take overall
responsibility for a project from inception to completion, and travel nationwide to ensure successful completion of
each phase of a conversion project.
Our customers have told us that the most important things to them in a successful conversion project are on-time
delivery, high-quality work, trouble-free process, and managed within budget. At IKON Business Imaging we
work to perform beyond these expectations. We are best known for our:
* In-depth conversion process knowle&e honed by years of experience
% Broad technology understanding - we developed improved processes based on changes
in technology
* Project management expertike - which makes the difference between the professional
approach and an ad hoc approach in conversion work
+ Supet’or engineebg skius - our engineering team is key to making projects successful r
1600 South Main Street, Suite 300 . Walnut Creek, California 94596
. Telephone6006644636* Fax9259309316
www .ikon.com/ids
DAY-FORWARD CONVERSION
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Many companies today have found themselves in need of day-forward conversion. Day-forward conversion
involves scanning and indexing new documents or records as they are created or received for rapid retrieval
in an already implemented imaging system. Many end-users have found that outsourcing their day-forward
conversion has saved hundreds of thousand of dollars - even millions - instead of incurring the hidden
costs involved when doing the conversion in-house. IKON Business Imaging is the expert at day-forward
conversions, either at the client site or at an IKON location close by. Some of the companies IKON has
performed day-forward conversions for include Hewlett Packard, Pacific Bell Directory, and Gateway 2000.
ELECTRONIC MEDIA CONVERSION r- i
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Due to constant changes in our industry, support for legacy imaging systems may no longer be available
through the initial vendor, or document management systems may simply have outgrown their use; either
demand replacing. Consequently, end-users confront major difficulties attempting to export digital images
from one proprietary system for utilization in another. Due to the fact that IKON Business Imaging
Services has been performing conversion for over ten years, we have the legacy hardware and engineering
expertise in order to help clients move their documents from one system to another. Technical issues
concerning disk consolidation, selective conversion, index database purging, data and media incompatibility
problems, and recovery of unreadable data need to be addressed by a conversion organization who has a
history of creating images in over eight-five industry-standard or vendor-specific formats.
PORTABLE DOCUMENT SERVICES
The capture of both paper and electronic documents for (1) posting to the WEB and, (2) marketing and
product support distribution. Marketing and product support document distribution applications involve
scanning or digitizing existing marketing product support literature or catalogs and converting them into an
industry standard format for document distribution (CD or electronic). Through an acquisition of the first
recognized Acrobat/PDF service organization in the country (Emerge) IKON Business Imaging has
amassed more experience with the technology than any other service provider in existence. The
combination of this in-depth experience with IKON’s disciplined approach to sales and project
management has resulted in a unique Professional Services Organisation dedicated to enabling PDF in
enterprise document management applications.
1600 South Main Street, Suite 300. Walnut Creek, California 94596
Telephone6006644636~Fax9259309316
w.ikon.conVids
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ALL MEDIA
IKON Business Imaging Services is one of the largest, most experienced document conversion service
organization in the world. Established in 1986 to support the emerging document imaging market, IKON
Business Imaging Services began converting aperture cards to digital form; today, services include the
conversion of paper, roll film, aperture card, engineering drawings, microfiche, and electronic data for all
document imaging systems. IKON Business Imaging Services has sales representation throughout the
United States, to provide effective access and support to customers nationwide.
ALL SYSTEMS
Using commercial hardware and proprietary software, IKON supports an impressive variety of image, file,
optical disk, and image system formats--capable of meeting the conversion needs of virtually any
document imaging system. IKON supports all major vendor formats and standard image formats. We
currently have strategic relationships with integrators and vendors such as Andersen Consulting, Bell &
Howell, Excalibur Technologies, FileNET, Hewlett-Packard, IBM Corporation, Mosaix, Opt&a, and
Sterling Software.
ALL PLACES
IKON Business Imaging Services has an enviable reputation for timely and cost-efficient services as well as
an impressive record for quality and support. Formatting and recording services are performed at our
Northern California Operations Center; document preparation, scanning, and indexing can be performed
anywhere nationwide, where we provide equipment, technical support, and trained project managers on-site
at client facilities. Our Operations Center recently set an unprecedented production record for converting
over 14 million images in one month.
1600 South Main Street, Suite 300. Walnut Creek, California 94596
Telephone6006644636~Fax9259309316
w.ikon.conVids
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* A 10 million page paper backfile conversion for Gateway 2000. In order to utilize a
newly-installed document management system, Gateway 2000 provided IKON with a 15,000 square foot
building for document preparation, indexing, and scanning of this monumental backfrle. At the conclusion
of the backfile project, IKON Business Imaging Services remained on-site to provide day-forward scanning
for Gateway 2000 whose customer files acquire over 15,000 pages of documentation per day.
* A 26 million image microfiche conversion for Capstead, Inc. Capstead found
themselves drowning in wave after wave of microfiche from the mortgage loans they service. Capstead
acquires large portfolios of loans and serves large volumes of mortgage requests. With each portfolio
acquisition comes millions of records on microfiche that must be digitized and written to FileNET-
compatible optical disks. IKON has been performing conversions for Capstead for the past four years and
has converted over 26 million images!
* A 12 million page paper conversion for Amoco Corporation Every time Amoco
acquired mineral rights from another company or acquired the company, they accumulated documents
from each company that needed to be added to one of three systems with Amoco. IKON performed
document preparation and scanning work on-site in Tulsa, Oklahoma. Document preparation was very
complex, as it required identifying and indexing 16 different document types within the population.
* A 5 million paper day-forward conversion for Hewlett-Packard IKON has been
performing a day-forward conversion for Hewlett-Packard for almost five years! Documents are routed to
IKON’s Northern California Conversion Operations Center where they are validated, prepared for the
scanning process, scanned, and indexed. On average, IKON has been processing 1.5 million images per
year for the human resources department.
* An 18 million image conversion for Norwest Services Corporation Norwest had over
18 million documents related to customer accounts. Five million of these were in various Electronic
Document Imaging Systems (EDMS) which had belonged to financial institutions that Norwest had
acquired. The remaining 13 million consisted of signature cards and other paper documents. To improve
customer service, Norwest wanted to have them all within easy access in a single EDMS. IKON performed
conversion of all 18 million images in just two years!
* A 2.1 million page paper conversion for California State Automobile Association in just 4 weekends The California State Automobile Association (CSAA) implemented a program in
their claims processing department to make processing claims more efficient. Part of the process was a
conversion of active and some backfile files. However, because these were active files, they could not leave
their facility in Fairfield, California or be out of pocket for long periods of time. So the conversion was
performed on-site and IKON operated only on the weekends. IKON was able to deliver all 2.1 million
images in just 4 weekends!
IKON’s services are available nationwide to imaging system vendors, integrators, and end-users in both
private industry and the government sector. We have performed conversion for clients representing a
myriad of industries, including manufacturing, financial, nuclear, petrochemical, transportation, aerospace,
pharmaceutical, health care, and utility companies.
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Telephone6006644636oFax9259309316
www.ikon.com/ids
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“We selected IKON because of the sense of security they provided based on their
years of experience. Their technical expertise was easily demonstrated by the lack of
any serious problems during the entire conversion process.”
Nang Mumford
Computer Sciences Corporalion
“Converting paper files was an essential piece of the Claims Redesign. IKON’s
ability to analyze our need, work with us closely and meet our aggressive timeline
enabled us to meet our goals.”
Mike Akkemzan
CSAA
“We were extremely satisfied with IKON’s people. If I had a question about any of
the tapes that came back, it seemed they bent over backward to make it right.”
Tony Far&y
OneOK
“...IKON recently completed the intricate job of electronically scanning aperture
cards into standard TIFF Group IV images for use in our portable computers. The
work performed was exemplary, particularly given the depth of detail required.”
Moira F?y
Pa@? Gas &Electric
“IKON’s most valuable contribution was the expertise to do something we’d never
done before, and get it done in an unreasonable time frame. Out of all the
conversion firms we talked to, IKON was the only one who had the experience and
the confidence to find a solution and say, We know we can get this done’.”
Bruce Keaman
John Hancock Signatt/re Services
(A stlbsidiaty ofJohn H ancock Mtltual Life Insurance Coqany)
“We’re happy customers. If someone called me today I would recommend IKON
without hesitation.”
Mike Fran&h
Atixona Health Care Cost Containment System
1600 South Main Street, Suite 300. Walnut Creek, California 94596
Telephone 600 664 4636 . Fax 925 930 9316
www.ikon.com/ids
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William C. Doey, Jr. is the President of the Business Imaging Services division of IKON Office
Solutions. Mr. Doey has been associated with the Electronic Document Management industry for over
fifteen years. Mr. Doey was formerly Program Manager for the Imaging Systems division of UNISYS
Corporation, where he launched their first worldwide document imaging solutions program. He has been
continually involved in imaging and electronic document management on a worldwide basis with his
responsibilities and activities at both UNISYS and IKON. Mr. Doey has a BSEE fromDrexe1 University
and an MS from the University of Pennsylvania.
George DeBoever is IKON’s Vice President of Engineering & Operations. Mr. DeBoever has over
eleven years of experience in the management, development, and implementation of imaging systems and
software. He previously served as program manager with American Turnkey and as program manager for
Logicon. Mr. DeBoever received his BS in Industrial Engineering Operations Research from the University
of California, Berkeley.
Tom Stacey, Vice President of Sales, has more than 17 years experience in the document and records
management industry. Mr. Stacey served as Director of Sales for Tab Products Co. during their pioneering
efforts in electronic document imaging during the 1980s. Prior to joining IKON, Mr. Stacey served 3 years
as President of Document Control Solutions. DCS was the FileNET ValueNET Regional Reseller of the
Year for 1996, as well as a developer of ImageTrax@ and ColorBar@, records management software
distributed through a national network of resellers. Mr. Stacey holds a Bachelors Degree fromMiddIebury
College (VT) and a Masters Degree from Brown University.
Claire Marynowski, Director of Operations, has over twelve years of experience in project operations
supervision for the high technology industry. Prior to her tenure at IKON, Ms. Marynowski was
Operations Manager for Collier Software, implementing initial operations strategies for a start-up software
manufacturer. While at ETAK, Inc., she managed the national production operations of a $30 million
project consisting of 110 people. She has proven experience establishing a successful team environment for
assignments in a myriad of industries. Ms. Marynowski is a certified Project Management Professional from
the Project Management Institute.
Jeff Mich is IKON’s Director of Project Mangemet. Mr. Mich is a certified Project Management
Professional by the Project Management Institute and a recipient of the IKON Document Services
National “High Impact” award. Mr. Mich holds an M.B.A. from the University of West Florida and a
Bachelor of Science in Aerospace Engineering from the University of Maryland. He has over nine years of
experience in project operations and program management for the United States Air Force.
1600 South Main Street, Suite 300 . Walnut Creek, California 94596
Telephone 600 664 4636 . Fax 925 930 9316
www.ikon.com/ids
TOP-OF-THE-LINE CONVERSION
FOR BOTTOM-LINE RESULTS
“WeknoWtlW
your conversion
project needs to
be a trouble-free
processandthat
you expect high
quality delivered
on time and
within budget’
Document Conversion
Convert existing documents
for on-line access -
Day-Forward Conversion
Convert new documents as
they are generated or received
Electronic Media Conversion
Upgrade digital images to a
new format
Technology Upgrades
Electronic document purge,
image file size reduction,
content and database
expansion
Anyone can scan. For digital documents
that are accurately captured, indexed,
image-enhanced, and formatted for your
target imaging system, you need IKON
Business Imaging Services. Since 1986
we’ve ensured millions of images are on-
line when system integrators flip the
switch. Our ability to mobilize personnel,
hardware, and software-any place, any
time, anywhere-remains unprecedented
in the industry. We can transform any
kind of source media (paper, roll film,
microfiche, or electronic data) to over 85
digital formats.
The imaging industry is going through
vast changes, and IKON has the
solution you need. We can purge
outdated documents from a digital
population, freeing up valuable storage
space. We can minimize image file sizes
and add content by utilizing auto-
mated, cutting-edge technologies, or
upgrade your indexing structure to
improve electronic document access
throughout your organization.
With 1,100 offices nationwide and
thousands of people experienced in
handling millions of documents every
day, utilize the power of IKON. We’ll
help you work to win. lIff?N Off ice Solutionssl
Document Services
800.664.4636 bisalesQikon.com
Imaging of Louisiana State
Employees’ Retirement System
A Huge Success!
T he Louisiana State Employees
Retirement System (LASERS) is
responsible for administering pen- sion funds for every employee of the
Pelican State. In that role, it keeps over
200,000 files on both active and retired
state employees, totaling over five mil-
lion document pages.
By last year, LASERS had concluded
that using paper files was a hindrance to
its goal of providing the best possible
customer service. A file in use by one
LASERS employee was inaccessible to all
the rest. LASERS wanted to be able to
access files faster with fewer people,
and it wanted multiple users to have
access to the same record simultaneous-
ly. It also wanted to save the space occu-
pied by filing cabinets.
To meet these objectives, LASERS
decided to migrate their files to an elec-
tronic document management system.
They chose IKON Business Imaging for
the very challenging task of converting
documents that included, among others,
original employment applications, annu-
al pension statements, payment records,
and even canceled checks. The range of
document sizes, colors, and conditions
was huge. Some dated back as far as the
nineteen-fifties; others were quarter-
sheet size. Substrates included onion-
skin paper, nineteen-sixties-era thermal
photocopy paper, fax paper, and NCR forms in a rainbow of different colors.
Many documents were extremely dirty.
Between August 1997 and June 1998, a
team of thirty workers prepared and
scanned LASERS’s backfile documents,
working on-site in Baton Rouge. Hired
and trained locally by IKON, the team
included one manager, four scanner
operators, and twenty-five specialists
who prepared documents by removing
Document Management
By Randolph Burns
staples, identifying each document’s
type from a range of eighteen possibili-
ties specified by LASERS, and affixing a
corresponding bar code inconspicuously
to each document. At the front of each
file, was also inserted a header sheet
displaying the bar coded social security
number of the respective state employee
whose file it was. IKON had used a
LASERS database to generate these bar
coded social security numbers.
The conversion team worked with
one scanner, operating two shifts per
day, five days per week. While they were
still busy, LASERS demonstrated its con-
fidence in IKON by adding another set
of files to the conversion job. These
were records from the investment
department, which manages Louisiana’s
employee pension funds. These included
trade tickets, committee meeting min-
utes, fund manager reports, and fund
custodian reports, and totaled another
200,000 images.
Adding to the considerable complexi-
ties of the LASERS backfile conversion,
LASERS staff members constantly need-
ed to have access to files during the
conversion process. That dictated the
use of two team members working full-
time as inventory managers to track
files. They worked with detailed track-
ing sheets, which listed the documents
in each box of files being processed and
where that box was in the workflow.
LASERS’s personnel requested specific
files, and those files would be looked
up, tracked down, replaced with an out-
card, and delivered to whomever had
submitted the request. When a file was
returned to the team, it was replaced in
its box immediately or, if that box had
already gone through scanning, it was first scanned.
As batches of documents were
scanned, they were written to 8mm
tapes, which were shipped to IKON’s
headquarters in Northern, California.
There, indexing keywords were captured
visually from document images and
manually typed into an index for
LASERS’s electronic document manage-
Reprinted by The Reprint Dept., 800-259-0470
ment system. Index keyword data entry
varied a bit for some types of docu-
ments. For example, the index record for
any annual statement had to contain the
statement’s year. Canceled checks and
certain income-tax reporting forms had
been stored loose, outside of file fold-
ers, and, as a result, they could not ben-
efit from a connection to the scanned
social-security-number bar codes. As a
result, social security numbers had to be
read from the images of these docu-
ments and typed in by hand.
Once indexing was completed for a
batch of files, document images and
index information were written from
the tapes to 5.25-inch optical disks. Two
copies of each disk were written, one
destined for LASERS’s electronic docu-
ment management system, and another
for storage at another location for pur-
poses of disaster recovery. The entire
new electronic imaging system will
allow employees to provide better cus-
tomer service by providing instant
access to documents as opposed to the
current lengthy process of searching
through paper files. The imaging system
will also greatly improve document
security by allowing electronic backup
of files that are currently vulnerable to
loss in case of a fire. Management also
expects that the availability of all docu-
ments in electronic format will make it
possible to implement workflow
processes that will further improve
operating efficiency.
Scanning of the LASERS backfile was
successfully completed in June of 1998
and all remaining optical disks are being
delivered to LASERS by end of Septem-
ber 1998, barely a year after the job
began. For over 200,000 employees of the State of Louisiana, that means faster,
easier access to their retirement records.
For IKON Business Imaging, it means one
more happy customer.0
Randolph Burns is Marketing Manager
of IKON Business Imaging Services. He can be
reached at 800-664-4636.
September/October 1998
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4 SpatialENTERPRISE,,
A Spatial Information Management Solution patent pending
EC1 Coimlting Engineers, 102 Asma Boulevard, Suite 400, Lafayette, LA 70508 Phone (318)232-7777 Fax (318)98&X88
WWW.SPATIALENTERPRISE.COM Emd eci.it@ecoconsultin~.am
- * - 4 SpatialENTERPRISE,,
- SpatiaiENTERPRI!SEW is au integrated suite built on a powerful spatial window,
document management and workflow foundation, with a business process agent manager
linked to spatial features and document properties.
- SpatialENTERPRISE~ is designed to provide a robust, open, and scalable faundation for managing spatial data. The underlying technology is built on reusable components, aud embraces the latest, proven techuologies from Intergraph, FileNet, ESRI, Microsoft, and the Internet. SpatialENTERPRISETu clieut &ware is implemented as a native, 32+bit application It is available for Windows 9YNT or as a 32&t Web browser iuterfhce. SpatialENIERPRISETM Spatial Server is an administrative interface targeted to those responsible for configuring and initializing the system.
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SpatialENTERPRISE~ is 100% OPEN GIS compliant. SpatialEN’IERPRISEn” clients are developed using ActiveX component technology allowing for the rapid assembly of new user and application extensions. All services are implemented as Distriiuted Component Object Model (DCOM) / OLE sewers, simplifying integmtion. DCOM allows each discrete service to be distributed across the network, optimizing resource utilization and ensming peak performance. DCOM also provides a sophisticated inter-process messaging structure that allows user-developed fimctions residing onremote servers.
In addition to offering au optimized solution& SmRPRISEm is based on common OffIce technologies from
the Microsoft BackOffice Suite of products. The SpatialENTERpRSETM architecture scales from small workgroups to the largest enterprise, reducing the cost of support.
ECI Engineering & Information Technology Cons&ing provides services to the upstream oil &
gas industry, communications, energy indks~ial, manufacturing, professional services, and
technologies indkstries. www.sputialenterprise.com ECI Information Technology also provides
implementation, consulting andproject management services for the Oracle ERP, SAP R/3 ERP,
integrated document management and GIS.
Functionality of SpatialENTERPRISEm Desktop
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Single administrative functions for Spatial data servers, documents, business ageuts
Full security for spatial environments, spatial features, spatial filters, spatial busiuess agents, document business agents
Create spatial filters and store in au enterprise server Define filters with an intelligent description for easy data access Create spatial features and store in an euterprise server
Define spatial featutes with an intelligent description for easy data access
Define spatial feature symbology (point&e/polygon style, color, width, symbol, scale factors) aud store in an enterprise server
l Create emhnments on the fly and store in au enterprise server
l Select environments from a global drop down list
l Select spatial features from a global drop down list for adding or removing f?om auy environment
. Select spatial filters from a global drop down list for adding or removing f&n any environment
. Create queries for attribute labels aud store in an enterprise server as a feature d&r&ion
l Store images in au enterprise server as a feature defiuition
. Create queries for attribute fields and store in an enterprise server as a feature definition
l Create queries for spatial d&n&ion and store iu an enterprise server as a feature definition
l Create queries for thematic display and store in an enterprise server as a feature definition
. Create queries that are user field “prompt” and store iu au enterphe server as a feature definition
l Create environments as drill down windows aud relate to auy spatial feature
l View drill down environmeuts for images, spatial features, CAD drawings, queries
EC1 ConmIting Engineers, 102 Asma Boulevard, Suite 400, Lafayette, LA 7OSO8 Phone (318)232-7777 Fax (318)984-6188
WWW.SPATIALENTERPRISE.COM Email eci.it(dr.ecoconsultin~.com 2
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Handle same iimctionality for drill down spatial window as the initial spatial window
Publish all environments for the WEB Easy-to-use Wizard which relates spatial features properties to document properties Easy-to-use Wizard which relates spatial features to predefine Access forms
Easy-to-use Wizard which relates spatial features to predefine Crystal Report Writer reports
View a list of documents attached to a spatial feature
Attach documents to one or multiple spatial features
View a list of documents related to a spatial feature
Select documents associated with a spatial feature that meets specitlc criteria Criteria can be based on document properties, folders, classes, or text content
Select documents using ad hoc query Launch external programs and pass information about the selected spatial feature Locate spatial features attached to a document Pan to spatial features attached to a document
Zoom to spatial features attached to a document Spatially view data from Oracle SDO/SDC, Intergraph MGE & FRAMME, Access, CAD (Microstation & Autocad), MapInho, Smallworld, ESRI ArcInfo & ArcView without translation
View data from multiple coordinate systems in common coordinate system Handle plotting support for GIS and CAD as individual windows or in batch operations
Handle CAD Viewer and Redline or ma&up file capability
Handle Spatial analysis tools: Buffer zones, What if queries, Thematic mapping
Handle the seamless integration of Integrated Document Management & Workflow Handle integrated document check in / checkout
Handle integrated document version and revision control
Handle integrated document routing and approval of Engineer@ Change Orders
Handle integrated CAD with advanced document management and process automation Handle regulatory compliance trackmg and reporting
Handle IS0 !WOO quality procedures and change management
Automatic archive & reclaim by date, document class or user name Query by document properties or text engine search
Customisable with programming languages that support &andard OLE/Automation interfaces, without any prerequisite, proprietary software. Examples of programming tools that support OLE/Automation include Micmsoft’s Visual Basic and Visual C++, and Borland’s Powerbuilder.
Functionality SpatialENTERPRISE” WEB
l Creates smart, vector based maps on the fly, directly from a live operating GIS database. Using these smart vectors to store features, the product creates very compact, highly intelligent maps
l Continuous Tone Baster Data: Supported formats are geo referenced continuous tone raster supported by ECI’s SpatialENTERPRISE Web 1 .O solution (Example: Orthophoto base map underlying vector data)
l Binary Baster Data: Supported formats are geo referenced continuous tone raster supported by ECI’s SpatialENTERPRISElt Web 1.0 solution (Example: Scamred paper maps underlying vector data)
l Allow multiple raster data sources to be combined in a single view
l Data Compression: Data is clipped, merged, and resampled in the server, then sent to the client as an object in the CGM file
l Supported data formats include: ArcInfo, ArcView, MapInfo, MGE, MGSM, MGDM, FRAMME, AutoCAD, Microstation, Access, SQL Server, and Oracle Spatial Cartridge.
l Allow combination of multiple data sources in a single view
l Coordinate System Output Spec&ation: Data tiom any GDO data source may be output in a coordinate system specilled by the SpatialENTERpRISEa Web Administrator
l Custom applications will be able to add display geometry, hotspot elements, and markers to the map definition
obtained from the MDF. (Note: A marker is a tecord set created by attribnte query and/or spatial filter)
l Maintain Markers for a session. A marker is a record set created by attribute query and/or spatial filter
l Custom Applications will be able to load Map Definition Ir&ormation into an active session
EC1 Consulting EnSineem, 102 Asma Boulevard, Suite 400, Latiyette, LA 70508 Phone (3 18)232-7777 Fex (3 18)9846 188
WWW.SPATIAL,ENTERPRISE.COM Email eci.i@ec oconsulting.com 3
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Custom Applications will be able to persist Map Definition Information for later reuse Full security rights estabhshed from desktop
Select from a drop down list of published environments
View a drop down list ofpredefined spatial features for a published environment Select which spatial features to view from a published environment View a combination of spatial features without downloading new data, reducing web tratiic Select a spatial object and view a list of associated documents
View multiple document types without the application that created the document
View CAD engmeering drawings Handle redlining of engineermg drawings
Allow document checki&heckout, viewing, changing and printing fimctionality
View drill down publish enviromnents
View associated documents withiu any drill down publish environment
Specialize Add-on Agents
l Easy-to-use Wizard which relates spatial features to business process forms and reports as add-on agents.
l SpatialENTEl7PRISE~ is able to communiw with other enteqrise applications through its integrated Agent Manager. As its name implies, the Agent Manager mauages individual agents. An agent is a DLL that knows
how to pass information between SpatialENTERPIUSE~ and the external application. Agents can be written for any number of different applications. Two such are shown below:
SpatialENTERPRISE,,
MICROSOFT ACCESS AGENT In this example, the user has selected a pipeline. One agent attached to the pipeline is the Survey form (a Microsoft Access
Form). When the user selects the survey form, the agent opens
Microsoft Access; loads the correct database; opens the correct fom, and selects the paxticulm records associated with the
pipeline.
Seagate Crystal Report Agent
The other agent attached to the pipeline is the Pipeline Report (a
Crystal Report). When the user selects the pipeline report, the agent opens the come& report and selects the perticular records associated
with the pipeline.
&!I $knp+1@$n&~~JO2 Amn Boulevard, Suite 400, Lafayette, LA 70508 Phone (3 18)232-7777 Fax (3 18)984-6188 >,y ++“$,\S.: Sr .A. ; pl...cT\! : cppJ‘..l..c ,z,a:>;: Emeil eci.it@ecooonsulthg.com
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SpatialENTERPRISEm
Establishing a
Spatially Enabled Document Management System
Using SpatialENTERPRISETM
Integrating GIS and DMS into an Enterprise-wide Solution
A WHITE PAPER
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SpatialENTERPRISETw
Spatial Information Management Services
(318) 232-7777 Ext. 160 June 151999
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- TABLE OF CONTENTS
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INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .................. 3
BACKGROUND . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..f....................................................................................... 4
GIS. ....................................................................................................................................................... 4
DMS ...................................................................................................................................................... 4
GIS and DMS Interaction.. .................................................................................................................... 5
SPATIALLY ENABLED DOCUMENT MANAGEMENT SOLUTIONS ........................................................ 6
Spatially Enabled Document Management .......................................................................................... 6
Advantages of SEDMS ......................................................................................................................... 7
THE SpatialENTERPRISEm SOLUTION ..................................................................................................... 8
Key Components .................................................................................................................................. 8
The Interface.. ....................................................................................................................................... 8
Workflow ............................................................................................................................................. 12
Typical Configuration .......................................................................................................................... 14
SpatialENTERPRISE Architecture.. .................................................................................................... 14
SpatialENTERPRISE Advantages ...................................................................................................... 16
APPLYING THE SOLUTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .._...._......................................................................... 17
GETTING MORE INFORMATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..f..............._.............................................................. 18
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INTRODUCTION
Today’s technologies have made an unprecedented amount of information available to decision-makers. Industry advances have also dramatically enhanced the manner in which this information is organized, retrieved and
presented to the user. Two prime examples of systems which have become virtually indispensable to many businesses and governments are the geographical information system (GIS) and the document management system
(DMS). In a GIS, geographical information is displayed on an electronic map and the user simply selects a feature
to analyze or retrieve specific information. In a DMS, queries can be made against a virtual warehouse of documents, enabling users to retrieve and edit documents, while the DMS manages the version control and check-m
I checkout procedures.
In organizations that require both a GIS and DMS, users have quickly realized that these systems are incapable of communicating with one another to the extent desired. In most cases, the GIS is employed to find certain
information about a geographic feature, after which the DMS is searched, based on the retrieved information from
the GIS, for documents relating to that feature. Most often it is difftcult or impossible to know whether certain documents within a DMS are related to particular geographic features in the GIS. The GIS must be queried for
keywords in the hope of discovering those features that may correspond to the available documents. Because of the time and effort typically required in conducting searches in and between both the GIS and the DMS, a distinct need
exists for an integrated interface linking both systems.
This paper presents the fundamental characteristics of a spatially enabled document management system and, more
specifically, the SpatialENTERFXISErm solution. As will be described in greater detail below, the purpose of
SpatialENTERPRISEm is to place the GIS and DMS under the control of a single interface that synergistically links
the powerful informational tools of both systems.
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- BACKGROUND
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In order to fully understand the utility and configuration of a spatially enabled document management system, it is
helpful to examine the features inherent in currently available GIS and DMS solutions, as well as the typical environments in which these systems are employed in business, industry and government. Once the functionality of
these separate systems is understood, the unique features of the spatially enabled document management system,
which serves to integrate the GIS and the DMS, will become more readily apparent.
GIS
In general, GIS products are software systems that relate particular geographical locations or features on maps
(“spatial features”) to specific numerical or textual data associated with those spatial features. Examples of such
maps include terrain, street, pipeline networks, and geopolitical boundary maps. Other types of graphical
representations include architectural plans, layouts of industrial facilities, anatomical charts, and computer networks.
At the present time, GIS is employed in a variety of applications, such as military tactics and strategy, municipal zoning and building permit issuance, traffic planning, pipeline analysis, transportation scheduling, emergency
management, and environmental assessments.
While the architecture of various GIS products may differ, the generation of useable spatial data requires the
development of a map or region of geographic information that will form the basis for data queries. In one example,
terrain maps may be generated through computer-aided design (CAD) tools or aerial photographs. In either case,
software-mapping tools are then used to digitize bitmapped images of the terrain and add numerical location
information related to the topology of the image. Regardless of the form of the map, a range of tools within the GIS
product is typically available for defining selectable spatial features which are associated with data corresponding to those locations. Such spatial features are usually points, lines, polygons and text, representing such objects as trees,
tanks, state capitols, and county seats; roads, pipelines, and waterways; and geopolitical boundaries, lakes, and property perimeters. Text objects are typically cartographic text used for annotation purposes. Data associated with
these spatial features may be areas, lengths, perimeters, longitude and latitude information, volumetric flow, population distribution, and a wide range of other attributes contained within a relational database management
system @DBMS). The association between the spatial features and the RDBMS allows the user to spatially analyze
geographical features and regions on the map and to make decisions based upon the interrelationship of those
features. More advanced GIS products might also include dynamic segmentation capabilities which enable the user
to consider how data associated with certain spatial features varies along a specified path.
DMS
By definition, a document management system is the automated control of electronic documents, such as page
images, spreadsheets, word processing documents, and drawings, within an organization from initial creation to final archiving. Document management allows organizations to exert control over the production, storage and distribution of documents, yielding greater efficiency through the ability to reuse information, to control a document
throughout a workflow process, and to reduce product cycle times. Some of the functions common to many modem document management systems are document identification, storage and retrieval, tracking, version control,
workflow management, and presentation. So-called “integrated” document management systems (IDMS)
incorporate a full range of document management functions throughout the life span of the documents across all
platforms, applications and company organizational units.
A DMS typically requires an underlying infrastructure, such as a set of computer workstations and servers, that are
interconnected by local area networks (LANs) or wide area networks (WANs). It generally must have specific
characteristics, such as network operating system independence, file format independence, location independence,
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long file name support, and link tracking, so that any user can access any given document at any time, subject to
security controls. The actual stored documents are contained within a data storage device, commonly referred to as a “data warehouse”, linked to a relational database management @DBMS) or an object-relational database
management system (ORDBMS) which includes descriptive data about the actual documents. Permanent
documents that are not subject to editing may be retained within a separate area of the data storage device and
marked as “read only.” A typical scenario for a user would be the querying of the DMS for documents containing
one or more attributes, after which the names of those documents meeting the search criteria would be displayed. A viewing window is usually provided so that each of the documents retrieved by the query may be viewed in
thumbnail format before they are acted on by the user. Those documents subject to being edited may then be
checked out and edited, with other users being able to see that the particular document is temporarily unavailable for
editing. Once the editing is complete, the document is checked back in to the data warehouse of the DMS, with both the original and edited versions of the document being reflected in subsequent query results.
GIS and DMS Interaction
As mentioned in the introduction, users of a GIS and a DMS quickly find that there is no easy method of relating
both the spatial features of the GIS and documents located in the DMS. Both systems must be queried separately
and any keywords, if available, must be gathered from each respective system to be used with the other. This
process is both inefficient and often ineffective.
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SPATIALLY ENABLED DOCUMENT MANAGEMENT SOLUTIONS
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Spatially Enabled Document Management
While both GIS and DMS products may be used within a given organization, up until now there has been no
satisfactory method for bringing these two critical technologies together in a way that seamlessly integrates the
features of both into a single user interface. The merging of GIS with DMS into a “spatially enabled document
management system” (SEDMS) satisfies the parallel purposes of both underlying systems.
Basic Operation
A spatially enabled document management system operates from a single user interface, making the functions of
both the GIS and the DMS available to the user by simultaneously displaying the spatial features and the documents.
When spatial features are selected from the GIS environment, wide ranges of linked documents are displayed. Users
may also view spatial features, which are linked to selected documents. This single interface also provides access to
all administrative functions, including security restrictions, across the GIS and DMS applications. Multiple unique environments may be defined and third-party software applications can be launched to retrieve documents
containing current data linked to selected spatial features.
Underlying Structure
The SEDMS is made up of the same components necessary to operate a GIS or a DMS separately. On a basic level
a computer is connected to one or more storage devices through either a local area network (LAN) or wide area network (WAN). Relational database management systems are used for both the GIS spatial features and the DMS
documents and their associated attributes. Computer programs are developed to execute queries comparing the attributes on one to the other, resulting in the display of either the related documents or the related spatial features.
For our purposes, a “graphical image” is defined as any image displayed which depicts characteristics of the
geographical region. A “geographical region” is defined as any region or volume, of two or more dimensions,
whose properties or spatial features are used to track or analyze in connection with specific documents within the
DMS. For example, a conventional U.S. map containing geopolitical boundaries could be a “graphical image”
representative of the United States as a “geographical region.” Alternatively, a three-dimensional CAD drawing
depicting the chip layout and multi-layered conductive lines on a computer motherboard could be a “graphical
image” representative of the motherboard itself as a “geographical region.”
A “spatial feature” is an entity on the graphical image that corresponds to some physical feature of the geographical
region being viewed. Such features are typically represented by geometry in the form of a point, a line segment, or a
polygon. These elements of geometry are further defined by non-graphic “attributes” (alphanumeric characters or
strings of such characters) stored in table format on the data storage device. For the purposes herein, “spatial
attributes” are any attributes of a spatial feature. The RDBMS within the GIS associates those attributes with the
particular spatial features, such that the selection of a particular spatial feature in the graphical image permits viewing of attributes as well.
A “document” may be virtually any kind of electronic information associated with or related to a spatial feature.
Some examples of such documents may be text files, database tiles, spreadsheets, scanned documents, photographs, CAD drawings, digitized audio and video, and computer animations. In the same way that the spatial features are
actually defmed by spatial attributes, documents are similarly defined by document attributes. Document attributes
are data that describe important characteristics about a document, such as authorship, time and date of creation, file format, summary of the contents, and any other data that may be relevant to associating it with other documents or
spatial features through queries. The second RDBMS within the DMS manages the relationships between the
document attributes and the documents themselves in generally the same manner that the first RDBMS manages the
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relationships between the spatial attributes and the spatial features. The two relational databases of the GIS and
DMS communicate through the connectivity of the SEDMS.
Users are able to customize various aspects of the SEDMS by adding and removing different classes of spatial
features from the display and specifying storing and retrieving parameters, security, and query definitions linked to specific spatial features and documents.
Agents
Advanced applications of the SEDMS technologies also allow for an agent manager or intermediary for linking one
or more applications to a selected spatial feature. These “agents” enable the execution of an external software application from within the SEDMS. The agent receives one or more of the spatial attributes of the selected spatial
feature from the agent manager, launches the external software application, and causes the external software
application to display information specific to the selected spatial feature. A subsequent selection of additional spatial features linked to that same agent causes the external software application to display information without re-
launching the application. This type of application launching mechanism is also available for linking one or more
agents to the selected documents.
Advantages of SEDMS
A key advantage to the integration of GIS and DMS is that users have quick access to needed documents pertaining
to geographical features, rather than having to search the DMS separately. Users also are able to dynamically view
associated spatial features by querying particular documents from the DMS. The most prominent results include
improvements in the decision-making process and an increase in productivity. Users no longer have to conduct
extensive searches of two separate systems only to find that their search parameters are not effective or, in the worst
case, the information does not even exist.
Other advantages may not be so readily apparent. For example, all administrative functions across both
applications, such as security and configuration, could be handled through one system. Multiple GIS environments can be defined and stored on an enterprise server that sets the desired parameters for both the GIS and the DMS.
Spatial features can immediately be linked not only to geographic data, but also to a wide range of documents, such
as photographs, field notes, word processing documents, spreadsheets, databases, and digitized audio and video. True unification of these systems also permits the association of spatial features to other third-party software
applications that are linked to live, real-time data related to the particular spatial features. Suddenly the decision-
makers have access to the data necessary for immediate and informed decisions.
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- THE SpatialENTERPRISEm SOLUTION
- SpatialENTERPRISE is a premier spatially enabled document management system (SEDMS) that integrates the functions of an underlying GIS and DMS. The spatial features and DMS documents are “linked” to one another,
either through actual attachment by a user or through matched attributes, for bi-directional searching capabilities. In
other words, the spatial features of SpatialENTERPRISE can be selected to display all documents linked to those spatial features, permitting the linked documents to be viewed and/or edited. Conversely, the DMS documents of
SpatialENTERPRISE can be selected to display all spatial features linked to those DMS documents.
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Key Components
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SpatialENTERPRISE uses at least one server and one or more workstations over a local area network (LAN) or
wide area network (WAN). The server and workstations are further connected, via the LAN/WAN, to one or more
data storage devices which hold spatial data and documents, respectively. The precise location of the spatial data
and documents is not critical to the operation of SpatialENTERPRISE, whether the information is located in a single
data storage device or distributed across many such devices, as long as the GIS and DMS are properly configured to
retrieve the information from the appropriate location.
Generally, SpatialENTERPRISE includes a GIS programmed into the server. The GIS data and graphical images
are representative of a geographic region, which in turn includes one or more selectable spatial features. The GIS
also uses a relational database management system @DBMS) capable of associating the spatial features with spatial
attributes stored on the data storage device. SpatialENTERPRISE also includes a DMS programmed into the server. The DMS is capable of retrieving one or more documents based on data stored in a second RDBMS capable of
associating the documents with document attributes stored on the data storage device. Both of these RDBMSs communicate with one another via the basic connectivity functions of SpatialENTERPRISE.
The underlying SEDMS programming for SpatialENTERPRISE enables execution of one or more queries. In one
case, queries are used to compare one or more of the spatial attributes of a selected spatial feature with the document
attributes to display a list of documents whose document attributes contain a match with spatial attributes of the
selected spatial feature. In another case, queries are used to compare one or more of the document attributes of a selected document with spatial attributes to display a list of spatial features whose spatial attributes contain a match
with the document attributes of the selected document.
The Interface
SpatialENTERPRISE’s single, integrated interface displays the primary components of both the GIS and the DMS
adjacent to one another, sharing a common command menu. The programming code of the interface enables bi-
directional communication between the GIS and DMS for the purposes of associating the selected spatial features
with the desired documents, and vice versa, as well as user interaction with the displayed GIS and DMS
components. The correlation between spatial features and documents is, broadly speaking, conducted in most cases
by a comparison of the spatial attributes of the spatial features with the document attributes of the documents. The interface also includes the ability to select a particular GIS environment which determines the availability of spatial
features, documents and agents. .
An example of a SpatialENTERPRISE interface is shown below. In this example a network of spatial features in
the form of pipeline segments is displayed over a region of various county boundaries. The screen is divided into two primary components, namely a GIS component (or “spatial window”) and a DMS component (or “document window”). The command menu is positioned above the GIS and DMS components and makes use of conventional
pull-down menus. Tool bars are also available for quick execution of the various functions of the GIS and the DMS,
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as well as those functions unique to SpatialENTERPRISE. An always-on-top legend window is provided showing
those classes of spatial features currently displayed in the graphical image. Any of the classes of spatial features
shown in a graphical image may be removed from the display by selecting and deleting that class in the legend. Authorized classes of spatial features may also be added to the graphical image by an “add feature” function
selectable from the tool bar.
When the user wants to locate documents that are linked to certain spatial features, a “show links” function is
activated. The “show links” button enables the queries (or relationships) defined for each spatial feature. Selection
of any spatial feature, such as the selected spatial feature shown in the example, causes the name of the selected
spatial feature to appear in the document window, along with the list of linked documents. The list of linked documents may contain two types, “attached” documents and “related” documents. Attached documents are those
documents which are specifically defined by the user as being linked to the selected spatial feature and are always tied to that particular spatial feature. Related documents, however, are those documents which are the result of a
match based on whatever queries are defined for the spatial feature. For example, a spatial query may ask for all
documents having a document attribute which includes “Segment No. %SegNo%“, where SegNo is the number of
the pipeline segment as the selected spatial feature. In that case, all documents having an attribute referring to that
particular pipeline segment will be retrieved.
The user may take a wide range of actions for any selected document in the document list. For example, the selected
document may be opened for editing, checked out, or routed to others as a part of the workflow features of SpatialENTERPRISE. Each document’s properties are also available for the user’s review. A document viewer
window is provided below the document list so that a reduced image of the selected document may be viewed by the user. The document viewer is capable of reading a large number of different tile formats so that any document may
be briefly examined prior to making a decision as to the next action.
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Spatial Features and Documents
The two charts provided below show the many ways that spatial features and documents may be defined within
SpatialENTERPRISE. As mentioned earlier and shown below in the first chart, each spatial feature can be defined
in terms of its most basic spatial attributes, which can often be geometric information in tabular form as well as a
variety of other types of information specific to the spatial feature. Additionally, certain documents may optionally be “attached” to the spatial feature, causing such documents to appear any time the spatial feature is selected.
Furthermore, the spatial feature can also include one or more queries or relationships which, upon selection of the spatial feature, are caused to execute, calling up documents whose attributes match the query criteria. Finally, any spatial feature can further be defmed in terms of what agents are available to the user.
Documents are similarly defined as you can see in the second chart. As mentioned earlier, each document can be
defined in terms of its basic document attributes, which is typically data regarding authorship, creation date, editing date, and a variety of other types of information specific to the document. Additionally, certain spatial features may
optionally be “attached” to the document by causing such spatial features to appear any time the document is
selected. The document can also include one or more queries or relationships which, upon selection of the
document, are caused to execute, calling up spatial features whose attributes match the query criteria. Finally, any
document can further be defined in terms of what agents are available to the user.
Defining Spatial Features
/ I AGENTS
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Defining Documents
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One of the most advantageous features of SpatialENTERPRISE is the implementation of predefmed agents and their
interaction with an agent manager. The agent manager is made up of executable programming code for linking one
or more agents to a selected spatial feature or a selected document. Each agent also uses executable programming code which enables the execution of an external software application, such as a database application, spreadsheet
application, word processing application, or other application necessary for generating day-to-day business forms and reports. When executed in connection with a selected spatial feature, the agent receives one or more spatial
attributes of the selected spatial feature from the agent manager. The agent then launches the external software
application and causes the external software application to display information specific to the selected spatial
feature. For example, selection of a spatial feature not only retrieves the attached and related documents linked to that spatial feature in the document window, but also calls up the list of agents which may be defined for that
selected spatial feature. In the previous example of the pipeline, one type of agent may be a database application
which opens a database representing only the maintenance history for the particular pipeline segment selected. Rather than having to open up a separate database program and finding that particular database, the user simply
executes the agent for that pipeline segment. This time-saving function is a highly productive substitute for numerous additional keystrokes, clicking and searching for needed information in external applications. The agent
also remains open during subsequent selections of spatial features which rely upon the same type of information. In other words, a subsequent selection of a second selected spatial feature linked to that agent causes the external
software application to display information specific to that second selected spatial feature, without re-launching the external software application.
Additionally, agents can be defined for documents in precisely the same manner as for spatial features, causing any other forms or reports related to those documents to be easily retrieved. Such agents provide the ability to custom&
an enterprise-wide solution for retrieving critical information about specific spatial features. Regardless of the type of agent developed, each such agent must at least respond to the following actions performed by the agent manager:
(a) configuration of the agent, (b) initialization of the agent, (c) launching the agent, (d) refreshing the agent with
updated information, and (e) closing the agent. For example, in an agent designed to bring up a database in
Microsoft@ Access, one of the first requirements is for the administrator of SpatialENTERPRISE to define which database to use, which form to use, and where these items are located. Field names t?om the spatial attributes are
typically used as parameters in the configuration of the agent so that only specific information related to that spatial
feature is displayed. One example of the programming procedures implemented for a particular agent used to
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display reports from Seagate Software’s Crystal Reportsm uses the Microsoft@ Visual Basic programming language.
When the user wants to see a form associated with a selected spatial feature, the initialize and launch methods are called. The initialize method starts the software application and loads the desired form, after which the launch
method performs parameter substitution on the “where clause” and sets it for the form.
Workflow
Three common SpatialENTERPRISE workflow scenarios are given below. The first flowchart shows the process
for selecting a spatial feature to retrieve associated documents; the second flowchart shows the process for selecting documents to retrieve associated spatial features; and the third flowchart shows the process for selecting a linked
agent.
Spatial Element to Document Workflow Document to Spatial Element Workflow
ACTlON RESULT ACnON REslLlJ
OPEN SEDMS
INTERFACE
- GIS OPENED OPEN SEDMS - GIS OPENED
- DMS CONNECTED INTERFACE
P
- DMS CONNECTED
DEFINE OR SELECT
ENVIRONMENT
- MAP OPENED WITH
PREDEFINED PARAMETERS DEFINE OR SELECT
ENVIRONMENT
- MAP OPENED WlTH
PREDEFINED PARAMETERS
SELECT SHOW - SEDMS WAITING FOR EXECUTEQUERY - QUERIES EXECUTED BASED ON
SELECTION OF SPATIAL DEFINED RELATIONSHIP(S) FOR
LINKS TOOL FEATURE FOR DOCUMENTS SELECTED DOCUMENT
1 - QUERIES EXECUTED BASED ON
SELECT SPATIAL DEFINED RELATIONSHIP(S) FOR
SELECTED SPATIAL FEATURE
FEATURE - LINKED DOCUMENTS APPEAR IN
WINDOW
- DOCUMENT HIGHLIGHTED
SELECT DOCUMENT - FIND FEATURE TOOL ENABLED
EXECUTE FIND
- VIEWER DISPLAYS IMAGE OF
SELECTED DOCUMENT I - PICK LIST APPEARS WITH
NAME(S) OF LINKED SPATIAL
FEATURE TOOL F!EATURES
SELECT FEATURE - SPATIAL FEATURE(S)
- DOCUMENT SUBJECT TO NAME(S) FROM HIGHLIGHTED IN GRAPHIC
EDITING WINDOW
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Agent Selection Workflow
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OPEN SEDMS
INTERFACE
DEFINE OR SELECT
ENVIRONMENT
GIS OPENED
DMS CONNECTED
MAP OPENED WlTH PREDEFINED
PARAMETERS
SELECT SHOW
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LINKS TOOL
+ I 1
SELECT SPATlAL
FEATURE
SELECT AGENT TAB IN
DOCUMENT WINDOW
SELECT AGENT FROM
LIST OF LINKED AGENTS _
SELECT ANOTHER
SPATIAL FEATURE
HAVING SAME AGENT
(NEW SPATlAL
ATTRIBUTES)
SEND REPORT TO
OTHER RECIPIENT
Cl- CLOSE AGENT
SEDMS WAITING FOR SELECTION OF SPATlAL FEATURE
QUERIES EXECUTED BASED ON DEFINED
RELATIONSHIP(S) FOR SELECTED SPATlAL FEATURE
AVAIlABLE AGENTS APPEAR IN LIST
AGENT EXECUTES AND LAUNCHES
EXTERNAL APPLICATION
INFORMATION SPECIFIC TO SPATIAL
FEATURE DISPLAYED IN EXTERNAL
APPLICATION
AGENT RECENES NEW SPATIAL AlTRIBUTES FROM AGENT MANAGER
EXTERNAL APPLICATION DISPLAYS UPDATED INFORMATION ON NEW
FEATURE
INFORMATION (FORM, REPORT, ETC.)
MAILED TO USER IN WORKFLOW
HALTS RUNNING OF AGENT AND APPLICATION; CLOSES WINDOW
Typical Configuration
The GIS and DMS components of SpatialENTERPRISE are installed onto the hard drive of a computer server connected to several workstations over a LAN or WAN having a suitable network operating system. While a variety
of GIS and DMS applications could be used, ArcViewTM by ESRI Corporation has been used effectively in previous
solutions. PanagonT” by FileNET Corporation is the DMS currently being utilized as the basis for the
SpatialENTERPRISE system.
Both the server and client versions of the SpatialENTERPRISE interface system are developed as native 32-bit software applications for use on computers using Microsoft@ Windows@’ 98 or Windows’s’ NT, or as a 32-bit web
browser interface for use in connection with the Internet or an Intranet. The server version includes all of the
administrative functions, such as the security server, environment configuration, and the system initialization. The
functions of the security server for SpatialENTERPRISE are handled through the DMS, which controls access to
various aspects of SpatialENTERPRISE via user names and passwords. For example, the security server controls
access to specific environments, availability of spatial features and software functionality, access to certain agents,
and access to documents. Development and customization is performed with programming languages that support standard Object Linking and Embedding (OLE)/Automation interfaces without any prere uisite proprietary % software. Examples of such programming tools that support OLE/Automation include Microsoft Visual Basic and Visual C++, as well as Borland@ Powerbuilder.
The interface software is 100% OPEN GIS compliant, as well as 100% ODMA (Open Document Management API)
compliant. Client versions of the interface software, including any agents created for use with selected spatial features, are developed using Microsoft@ ActiveX component technology, thus allowing for rapid assembly of new
user and application extensions. All services during operation are implemented as Distributed Component Object Model (DCOM)/OLE servers, simplifying the integration. DCOM allows each discrete service to be distributed
across the network, optimizing resource utilization and ensuring peak performance. DCOM also provides a sophisticated inter-process messaging structure that allows user-developed functions residing on remote servers.
SpatialENTERPRISE Architecture
The following diagram graphically represents the architecture of SpatialENTERPRISE. Each component is defmed
below.
- FileNet Repository . . . ,.. ,, ,, ,, ,,. . ,. .,...,., .,...,..., ,....,....... . . . . . . . . . . . . . . . . . . ,...
SpatialENTERPRISE Security Server
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Enhancements
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. FileNet Repositoy
SpatialENTERPRISE runs on top of the IDM Document Services. The system can link to images in an IDM Image Service, but IDM Document Services are needed. SpatialENTERPRISE defines many
Document Classes and Custom Objects in the FileNet Repository. This is SpatialENTERPRISE’s Security Server.
. Arc View@
ESRI’s ArcView@ is the world’s most powerful desktop GIS and mapping software. It can display and
analyze data in several GIS formats. ArcView’ links traditional data analysis tools such as spreadsheets,
databases, and business graphics with maps for a completely integrated analysis system.
SpatialENTERPRISE
SpatialENTERPRISE is an enterprise wide system that seamlessly integrates Document Management, GIS and other Business Objects into a single graphical environment. There are five basic parts to
SpatialENTERPRISE:
0 Security Server
The Security Server holds all of the Environments, Spatial Feature Definitions, Symbology,
Relationships, and Agent Definitions. Since all of these are stored in the Repository, they are all subject to FileNet Security.
. Arc View@ Enhancements
SpatialENTERPRISE makes many enhancements to ArcView@. A SpatialENTERPRISE administrator
can define Environments, Spatial Features, and Symbology, and store them in the SpatialENTERPRISE
Security Server. A user can then open up existing environments from the Document Management
system. The user may also create new environments by loading the pre-defmed features. The SpatialENTERPRISE enhancements are a combination of Avenue Code, and ActiveX DLLs in Visual
Basic. OLEKOM objects provided by FileNet are added into these DLLs for the access into FileNet.
. Document View
The SpatialENTERPRISE Document View is an ActiveX executable that runs in a separate window in
conjunction with ArcView@. This control displays all documents and agents that are linked/related to a spatial feature. Any selected document may be viewed by this control. Also, with the appropriate
security rights, a user may use this control to perform document management functions (check-in/out, copy, view, modify attributes, route, etc.).
. Agent Manager
The Agent Manager (AM) is presented as a part of the Document View. It is an integrated tool kit that
allows third party enterprise software forms and reports to be linked to spatial features or document
properties. Basically, the AM is a traffic cop which performs the following functions:
* Configure an agent * Initialize an agent * Launch an agent (passing in the current& selected spatialfeature)
SpatialENTERPRISEw A Spatial Information Management System Page 15
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* Refresh an agent (passing in the currently selected spatialfeature)
* Close an agent
NOTE: It is important to note that the AM does not place any restrictions on the agent DLL except that it has the 3ve above-
mentioned methods.
. Agents
Agents are ActiveX DLLs that receive information from the Agent Manager and know how to pass it to an external application. Agents contain at least the five methods listed above, and may be as simple or
complicated as needed, depending on the external application.
As an example, consider the Access Form Agent (AFA). The AFA needs three pieces of information: the
access database, the form, and the where clause. When the SA administrator configures an AFA, the
configuration method of the agent is called, and the Administrator is presented with a dialog box to fill in those three pieces of information. Fieldnames from the spatial features may be used as parameters.
When the user wants to see a form associated with a spatial feature, the initialize and launch methods are
called. The initialize method starts Access and loads the desired form. The launch method performs
parameter substitution on the where clause and sets it for the form.
SpatialENTERPRISE Advantages
SpatialENTERPRISE provides the following key features:
. Presents the functions of the GIS and the DMS simultaneously in a single interface. . Enables the user to select spatial features that result in the display of a wide range of associated documents. . Enables the user to dynamically view spatial features that are associated with a selected document. . Enables the user to launch and interact with third-party software applications to retrieve information
associated with the selected spatial feature. . Enables approved users to access all administrative functions, including security restrictions, across the GIS
and DMS. . Enables the user to define and retrieve multiple, unique working environments.
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SpatialENTERPRISE= A Spatial Information Management System Page 16
APPLYING THE SOLUTION
The following scenario is only one of the many effective uses of the SpatialENTERPRISE solution. Any
environment, geographical or otherwise, represented graphically, may be used as a part of the GIS element of
SpatialENTERPRISE. Any documents at all associated with that environment may be electronically cataloged and
integrated into the SpatialENTERPRISE solution.
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In an oil and gas company, an engineer wishes to review the location of existing pipelines as well as any
information related to those pipelines. After logging into SpatialENTERPRISE, the engineer opens a dialog
box which displays a list of authorized environments containing different types of information, perhaps
concerning pipelines in different parts of the state. Those environments available to the engineer are only
those environments to which he is authorized by the security server. The engineer then selects the
environment which contains information and maps about those pipelines in the particular region he is interested in. The geographic image is then displayed in the GIS portion of the interface. Although a wide
variety of spatial features may be defined in that particular environment, the engineer has the option of choosing only those features, such as pipelines and county lines, that he would like displayed on the image.
Once the engineer selects a pipeline segment, the list of documents in the DMS linked to that particular
spatial feature are displayed in a separate section of the interface window. The list of documents may include
a photograph of the pipeline and its local pumping station, a CAD drawing of the connections made between
pipeline segments, a bitmap image of the right-of-way agreement that was required to construct the pipeline,
and editable text files of correspondence transmitted in connection with that pipeline. Each of these documents are immediately viewable within a small viewing window adjacent to the list of documents.
Opening any of those documents in the interface will execute the DMS functions required to retrieve the
selected document in its parent software application, subject to all of the version control and workflow
functions of the underlying DMS. In a separate portion of the interface window, SpatialENTERPRISE will display whether there are any agents configured for that pipeline segment, such as an updated database
tracking the flow of product through the pipeline at any given time, or possibly a maintenance history for that
segment. The engineer can execute an agent to launch the external software application for that database. He is then able to view changing information about the flow through the pipeline or the maintenance history. If
he selects another similarly defined spatial feature, the specific flow information or maintenance history for
that newly selected spatial feature is displayed.
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SpatialENTERPRISEN A Spatial Information Management System Page 17
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GETTING MORE INFORMATION
To get more information about the SpatialENTERPRISE spatial information management solution, you can contact
us using any of the following methods:
SpatialENTERPRISE 102 Asma Boulevard, Suite 400
Lafayette, LA 70508
(3 18) 232-7777, Ext. 160
(318) 984-6188 Fax eci.it@eciconsulting.com
You can also get more information through our Web site at www.spatialenterprise.com.
SpatialENTERPRISE=
A Spatial Information Management System Page 18
February 25,200O
Frank R. Addamo
ThirdWave Corporation
11400 West Olympic Boulevard
Suite 650
Los Angeles, CA 90064
Re: ThirdWave Corporation Agreement
The City of Carlsbad has approved an agreement with ThirdWave Corporation to provide the
necessary software, hardware, systems integration and conversion services for Phases 1 and 2 of
the Document Management System and to furnish, install, implement, and maintain the system.
Enclosed please find a fully signed agreement for your files.
ISABELLE PAULSEN
Administrative Secretary
Enclosure
1200 Carlsbad Village Drive - Carlsbad, CA 92008-1989 * (760) 434-2808 @
AMENDMENT NO.1 TO AGREEMENT
This Amendment is entered into and effective as of the 19th day of
SEPTEMBER I 2000, amending the agreement dated February 23, 2000, by and
between the City of Carlsbad, a municipal corporation, hereinafter referred to as “City”, and Third
Wave Corporation, A California Corporation, hereinafter referred to as, “Contractor”, or “TWC”,
for provision of installation and integration of a Document Management System.
RECITALS
WHEREAS, the initial agreement, dated February 23, 2000, identified a scope of
work which included the provision of necessary software, hardware, systems integration and
conversion services for Phases 1 and 2 of the Document Management System (DMS); and
WHEREAS, the parties to this aforementioned agreement desire to alter the
scope of work to include additional software modifications and programming services; and;
WHEREAS, supplemental work and fees have been negotiated and agreed to
between the parties hereto, and as shown on Exhibit “A” Scope of Services and Fee, prior to
execution of this amendment, and;
WHEREAS, additional software modifications and programming services may be
required; and
NOW, THEREFORE, in consideration of these recitals and the mutual covenants
contained herein, City and Contractor hereby agree as follows:
1. That the Contractor shall provide the supplemental services as outlined on
the attached Exhibit “A”.
2. City shall pay Contractor for all work associated with Paragraph 1 above, on a
time and materials basis not-to-exceed $ 37,650 Contractor shall provide City on a monthly
212198
basis, copies of invoices sufficiently detailed to include hours performed, hourly rates, and
related activities and costs for approval by City.
3. That the initial agreement is further amended to allow the City to require
additional services on a project by project basis to assist with operation and/or desired
functionality of the Document Management System (DMS). When services are requested,
Contractor will provide the City with a written proposal for each requested project, which may be
accepted or rejected by the City. If accepted by the City in writing, and upon completion of the
project, Contractor shall submit an invoice to the City for approval. The total cost of all projects
covered by this amendment shall not exceed $ 60,000 .
4. That the Contractor shall complete all projects requested by the agreed upon
dates, or by the expiration of the agreement amended hereby.
5.That all other provisions of the aforementioned agreement entered into on
February 23, 2000, by and between the City and Contractor shall remain in full force and effect.
6. All requisite insurance policies to be maintained by the Contractor shall
include coverage for the amended assignment and scope of work.
Acknowledged and Accepted:
CONTRACTOR:
THIRDWAW CORE'OFVLTION
(sign here)
Sercrio Hernandez
CITY OF CARLSBAD, a municipal
corporation of the State of California
By: 52td3-u
CityJvlanager
DATE (print name/title)
212198
(Proper notarial acknowledgment of execution by Contractor must be attached
Chairman, president or vice-president and secretary, assistant secretary, CFO or assistant treasurer
must sign for corporations. Otherwise, the corporation must attach a resolution certified by the secretary
or assistant secretary under corporate seal empowering the officer(s) signing to bind the corporation.)
APPROVED AS TO FORM:
212198
~~CALi&RNIA’ALL=PURPOSE ACKNOWLEDGMENT
State of -k1,m-d;a \
County of
On co2- )c.zOOO before me, Ore- A - K& 9-0 I Date
personally appeared
0 personally known to me - OR - @oved me on the basis
executed the instrument.
OPTIONAL
Though the information below is not required by law, it may prove valuable to persons relying on the document and could prevent
fraudulent removal and reattachment of this form to another document.
Description of Attached Document
_Y Title or Type of Document:-----‘PLh-.YY - I WOA- T-0 A&~~-&yq---
Document Date: -01 * 1 t ’ 00 Number of Pages: z
Signer(s) Other Than Named Above:
Capacity(ies) Claimed by Signer(s)
Signer’s Name: Roy R. Hernandez Signer’s Name: Sergio Hernandez
0 Individual
q Corporate Officer Title(s): President / CEO
q Partner - c7 Limited 0 General
q Attorney-in-Fact
Cl Trustee
0 Guardian or Conservator
q Other:
Signer Is Representing:
I I
Cl Individual
E4 Corporate Officer Title(s): Vide President / COO
0 Partner - 0 Limited q General
0 Attorney-in-Fact
q Trustee-
0 Guardian or Conservator
q Other:
Signer Is Representing:
I I
Q 1994 National Notary Association * 8238 Remmet Ave., P.O. Box 7184 l Cancga Park, CA 91309-7184 Prcd. No. 5907 Raorder: Call Toll-Free l-800-876-6827
Exhibit “A”
Phase I:
Scope of Services and Fees
PHASE land 2 Enhancements
1. Additional programming and integration services necessary to utilize
information from City Clerk’s database and coordinate with converted
documents,
Cost estimate: $12,000
Time estimate: 10 days
2. Additional bulk load programming to match City Clerks database.
Cost estimate: $3,200
Time estimate: 2.6 days
3. Additional programming necessary to customize thin client (DMS general
users) search screens.
Cost estimate: $5,200
Time estimate: 4.3 days
4. Programming required to match info provided by City in new database to
all Ordinances in DMS that have “ORD-NS” in the Ordinance Number
Property, which includes the need to convert the new database text files to
bulk add format, additional programming to remove the PDF files from the
DMS to replace with new properties, and testing.
Cost estimate: $2,250
Time estimate: 1.87 days
Phase 2:
1. Additional programming to provide two additional property searches to
provide searchable street segments, and includes testing and revision of
User and Design Documentation:
“Street Segment ID is equal to:”
Cost estimate: $1,200
Time estimate: 1 day
2. Additional programming to modify the search template to allow for the
search by cross streets, to allow for names of two street names to be
entered on the same screen, and includes testing and revision of User and
Design Documentation:
“Street Name like:”
“Street Name like:”
Cost estimate: $1,200
Time estimate: 1 day
Exhibit “A” - Scope of Services and Fees, Continued
Amendment No. 1 to Agreement with ThirdWave
3. Programming changes to modify FileNet property filesize display so users
can identify large files before opening them (prototype and production
systems), and includes testing and revision of User and Design
Documentation.
Cost estimate: No charge (Suggested by ThirdWave Project
Manager)
Time estimate: .5 day
4. Additional programming to eliminate the abbreviation for document types:
RES, ORD, AB, etc., which includes changing the bulk loaded data.
(Exact cost may potentially exceed estimate. Any exceptions will be dealt
with in accordance with Section 3 of Amendment No. 1.)
Cost estimate: $6,000
Time estimate: 5 days
5. Additional programming to add a document property (Agenda Bill type) for
Agenda Bills, which includes: adding a document property to FileNet’;
adding a document property to Kofax; modifying the Agenda Bill search
template, testing, and revision of User and Design Documentation.
Cost estimate: $3,000
Time estimate: 2.5 days
6. Programming to modify (shorten) the subject property, from 254
characters to a maximum of 80 characters, for all Resolutions,
Ordinances, Agenda Bills, and Contracts, includes testing and revision of
User and Design Documentation.
Cost estimate: $2,400
Time estimate: 2 days
7. :Programming to modify all of the Search Templates to make the full text
search words “within 100 words” available to the user to modify. This
includes testing and revision of User and Design Documentation.
Cost estimate: $600
Time estimate: .5 day
8. Programming to modify all Search Templates to make the default
Maximum Results “1000” rather than “100”. This includes testing and
revision of User and Design Documentation.
Cost estimate: $600
Time estimate: .5 day
September l&2000
Ms. Karen Kundtz
City of Carlsbad
1200 Carlsbad Village Drive
Carlsbad, CA 92008-1989
Subject: Amendment No. 1 to Agreement
Reference: ThirdWave Corporation Agreement No. P 107605
Dear Ms. Kundtz:
Enclosed please find a fully executed copy of Amendment No. 1 to the
above referenced agreement. In addition we are enclosing Exhibit A and
Notary acknowledgment of execution. We look forward to providing
our services to the City of Carlsbad. Thank you.
Executive Vice President
Enclosures
SH/od
ThirdWave Corporation
11400 West Olympic Blvd. Suite 650
Los Angeles CA 90064
voice 310 914 1480
fax 310 914 1490
twc@thirdwav.com
information Systems Intelligently Applied
Agreement Cover Sheet
Please fill out section A and send this form with documents attached to the City Clerk for
routing for signatures. Once the documents are fully executed, they will be returned with this
form. When a purchase request is submitted, section B of this form should be completed and
this form should be sent to Purchasing along with a copy of the fully executed document.
SECTION A
Agreement Tvpe (check one)
. s44Lb!! &r#u&a name of contractdf
- Original Agreement - Amendment and Extension
- Master Agreement - Extension
x Amendment - Ratification
Agreement Requirements (initial all items received)
- Proposals Received )c Notarization
d- Sole Source - Business License
Lx- Insurance @?/iJ - Conflict of interest
- Corporate Resolution
Original Agreement Data
Amendments
Date of original agreement No./ Amount ‘*., +k$/$m
Term of original agreement & s&au Amount
Dollar amount of original agreement $&ii d3.9
No.-
No.- Amount
Extensions
Person with authority to renew u / u No.- Length
Number of allowable extensions No.- Length
Length of allowable extensions JLN, Y No.- Length
Agreement Processed Bv
Name: &&-,, &A~25 Dept.: wm Ext: %dkQG
SECTION B
Purchase Requisition number:
Purchase Order number associated with original agreement, extensions and/or
amendments:
Rev. 12/l 7/99
I DATE (MMIDDIYY) 10/23/2000 I ACORQ CERTIFICA=E OF LIABlLlTY INSUP4NCE
PROD"CER (310)326-6333 FAX (3,./)326-5416
Nickerson Insurance Services
Lit #0491589
P.O. Box 3579
Torrance, CA 90510
NSURED Thi rdwave Corporation
11400 W. Olympic Blvd, Ste.650
Los Angeles, CA 90064
THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER-THIS CERTIFICATE DOES NOT AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIESBELOW.
INSURERS AFFORDING COVERAGE
INSURER A: First Specialty Insurance Corp
INSURER B: Mercury Casualty Insurance
INSURER c: Indian Harbor Insurance Co.
INSURER D:
I INSURER E:
COVERAGES
THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING
ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. AGGREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS.
POLICY EFFECTIVE DATE (UMDDIYY~ 10/13/2000
‘OLICY EXPIRATIOh DATE (MMIDDIYY) 10/13/2001
LIMITS POLICY NUMBER
‘CL3573100 EACH OCCURRENCE 1,000,00
FIRE DAMAGE (Any one fire) $ so,00 1 1 COMMERCIAL GENERAL LIABILITY
CLAIMS MADE m OCCUR
A
I GEN’L AGGREGATE LIMIT APPLIES PER:
POLICY PRO. JECT 03/05/2000 03/05/2001 rC11035030 AUTOMOBILE LIABILITY
I ANY AUTO
ALL OWNED AUTOS
B x SCHEDULED AUTOS
x HIRED AUTOS
x NON-OWNED AUTOS
COMBINED SINGLE LIMIT (Ea accident) $ 1,000,001
BODILY INJURY (Per person) $ ~l~-.,-.~~*~.-. -.
B g 1; ;j ,:, !( r.%“m...,‘w .-=-. I . . . . . . . -, ,
6
I ‘+?T 25 i%flO
BODILY INJURY (Per accident) I S
PROPERTY DAMAGE (Per accident) I P
GARAGE UABILITY k ANY AUTO
EACHOCCURRENCE s
AGGREGATE S
s
$
EXCESS LtABlLlN
OCCUR cl CLAlMS MADE
DEDUCTIBLE
RETENTION $
WORKERS COMPENSATION AND
EMPLOYERS’ LIABILITY
-#?GEzLx
)ESCRIPTION OFOPERATlONS/LOCAllONS ertificate holder is here
$ WC STaTU TORY LlMlTs OTH ER’
E.L. EACH ACCIDENT f
lo/i3/2001 $l,OOO,OOO Each Claim
$5,000 Deductible
10/13/2000 'PL120699
IlCLESlEXCLUSlONS ADDED BY ENDORS@.!ENTISPECIAL PROVISIONL y named as additional insured with respects to insureds operations
s covered by these pol icies.
ZERTIFICATE HOLDER 1 1 ADDITIONAL tNSURE0; INSURER LETfER: CANCELLATION
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE
City of Carl sbad Attn : Lorraine M. Wood 1200 Carl sbad Village Drive
Carlsbad, CA 92008-1989
EXPIRATION DATE THEREOF, THE ISSUING COMPANY WILL ENDEAVOR TO MAIL
- DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT, 30
BUT FAILURE TO MAIL SUCH NOTlCE SHALL IMPOSE ND OBLlGATlON OR LIABILITY
OF ANY KIND UPON THE COMPANY, ITS AGENTS OR REPRESENTATIVES.
AUTHORIZED REPRESENTATIVE
Sarah Kel 1 y/BAN @-v+%-
@ACORD CORPORATION 1988
-
WRITE IT - DON’T SAY IT!
Date 8’18
To Frank Mannen 0 Reply Wanted
From Karen Kundtz I I ! ONo Reply Necessary
RE: SOFTWARE SERVICES AGMT ‘E~JG i&RI*
L 1 pv . MEpdL This agreement and services was included'in our DMS Contract with Thirdwave, who will pay the first year fee, as noted on the last page of the Agmt. This is a formality we must go thru to ensure that we have support both from Third wave
and Filenet.
Thanks.,
FileNet Corporation
3565 Harbor Blvd.
Costa Mesa, California 92626
(714) 966-3400
Agreement No.: 800559
Software Services Agreement
This Software Services Agreement (“Agreement”) is made and entered into by and between FileNet Corporation (“FileNet”) and CITY OF
CARLSBAD, .
This Agreement includes the attached general terms and conditions, as well as all Exhibits referencing the above stated Agreement number and all
future Schedules referencing this Agreement which FileNet and Customer may execute from time to time for service in the United States of Software
which has been licensed to customers of FileNet, Watermark, Saros and Greenbar.
This Agreement constitutes the entire agreement between the parties on the subject matter hereof and supersedes all prior or contemporaneous
agreements, negotiations, representations and proposals, written or oral between FileNet or its affiliates and Customer. This Agreement is not an
acceptance of any conflicting terms and conditions and will prevail over any conflicting provision of any Customer purchase order or other instrument.
The parties agree that any Customer purchase order is for Customers convenience only. Only a writing executed by an authorized FileNet
employee referenced as an amendment to this Agreement may modify, supplement, or change this Agreement.
BY EXECUTING THIS AGREEMENT, CUSTOMER ACKNOWLEDGES THAT IT HAS REVIEWED THE ATTACHED TERMS AND CONDITIONS
AND AGREES TO BE LEGALLY BOUND BY THEM.
CUSTOMER, BY ITS SIGNATURE, ACKNOWLEDGES THAT THIS AGREEMENT CONTAINS CERTAIN LIMITATIONS OF LIABILITY AND
CERTAIN WARRANTY DISCLAIMERS.
FILENET CORPORATION Customer Name :CITY OF CARLSBAD
BY
Tile
(Type or print name)
(Signature)
BY Frank Mannen
(Type or print name)
Title Assistant City Manager
Date Date
1 Form No. 6400.035 12196
General Terms and Conditions
Following are the terms and conditions under which FileNet provides Service
for its standard Software (the “Service”). FileNet agrees to provide Service
for the Software listed in Exhibit C.
1. Hours of Service Availability. Payment of the standard Service
Charges (as defined below) entitles Customer to Service during the
principle period of maintenance (“PPM”). The PPM is between the
hours of 8:00 AM and 5:00 PM, local time, Monday though Friday, and
excludes FileNet’s published holidays. All Service subsequently added
shall have the same PPM. Customer may request, in writing, special
extended coverage options. Extended coverage options, excluding
FileNet holidays, are subject to FileNet’s approval and the prevailing
terms, conditions and prices for such Service at that time.
2. Scope of Service. Software Service includes the response to and
resolutim of Customer encountered problems with the Software and
delivery of Software maintenance updates. FileNet will provide Service
to licensed Software located on the Customer’s development or
production system. FileNet will use commercially reasonable efforts to
respond to Customer calls according to the priority level of the call.
FileNet will ensure the Customer’s call is resolved within a
commercially reasonable period. In addition, Software Service
includes: (a) on-call remedial maintenance provided through telephone
or electronic support, (b) correction of any defect in the Software
program that materially and adversely affects the use of the Software
as described in FileNet’s specifications, (c) resolution of Software
problems that may be delivered as a Software maintenance update,
bug fix or workaround, limited to the current or immediate prior Software
release, and (d) Software maintenance updates installed as deemed
necessary by FileNet and the Customer.
3. Optional Services. Customer may request, in writing, optional
Software Services. Optional Services may include extended coverage,
upgrades of Software releases and consulting. Optional Services are
subject to the prevailing terms, conditions and prices for such Service
at that time.
4. Service Limitations
A. FileNet will respond to remedial maintenance calls provided the
Software has not been modified and is operated in accordance
with FileNet’s specifications. Software Service is contingent upon
the use of the Software in accordance with FileNet’s specifications
and does not include any of the following: (i) Service to a version
of Software other than the current or immediate prior release; (ii)
efforts to restore a release of the Software beyond the current or
immediate prior release; or (iii) efforts to restore Customer data
beyond the most recent back-up.
6. FileNet periodically announces the End of Service Life (EOSL) for
Software. The Service life for a current software release will not
be less than three (3) years from the effective date of the
applicable Software License Agreement or Schedule for such
Software. FileNet will notify the Customer in writing one hundred
and eighty days (180) prior to the Service discontinuance on
Software installed at Customer’s site. FileNet will provide Service
on this Software after the EOSL on a best efforts basis at the
prevailing time and material rates.
5. Customer’s Responsibilities. Customer is responsible for
maintenance and installation of any common carrier equipment or
communication service related to the operation of the Software and not
furnished by FileNet. Customer is also responsible for charges incurred
for communication facilities at Customer’s facilities, whether incurred by
Customer or by FileNet Service representatives while performing
Service on the Software. Customer is responsible for performing
Software back-ups in accordance with published documentation.
Customer shall notify FileNet of any Software failure and shall allow
FileNet reasonable access to the Software for performing Service.
Customer must provide FileNet with modem access to the software to
perform remote support. Customer must provide a FileNet trained
System Administrator trained in the operating system, database
(including back-up and restore) and FileNet tools and applications
purchased by the Customer. Service calls must be placed to FileNet
by a FileNet trained System Administrator and authorized contact.
6. Software Modification. FileNet will not be responsible to Customer for
loss of use of the Software or data or for any other liabilities arising from
alterations, additions, adjustments or repairs which are made to the
Software by other than authorized representatives of FileNet, or at the
direction of FileNet. FileNet reserves the right to terminate this
Agreement upon written notice to Customer if any such alteration,
addition, adjustment or repair adversely affects FileNet’s ability to
fender maintenance Service to the Software.
7. Term
A. The initial and any renewal term of this Agreement shall be a one
(1) year period, with payment in advance for one (1) year of
Service Charges. The term of Service and related Service
Charges for Software add-ons and/or upgrades shall be
coterminous with the term of Service applicable to the Software
initially covered.
B. Afler the initial term, Service shall continue on the terms and
conditions set forth herein from year to year unless terminated by
either party upon written notioe given at least ninety (90) days
prior to the end of the existing term.
8. Service Charges
A. Definition. “Service Charges” are the total annual charges
designated as such in Exhibit C. Such charges cover all integrity
Service performed a\ FileNet’s facilities or at \he Customer’s site.
After the initial term and upon thirty (30) days written notice,
FileNet may change the Service Charges to its standard Service
charges then in effect. If the Service Charges are increased,
Customer may terminate Service as of the effective date of such
increase, upon fifteen (15) days written notice to FileNet. If
Customer does not terminate Service as just stipulated, the new
Service Charge shall become effective on the date specified in the
notice.
2 Form No. 6400.035 12196
B. Invoices. All Service Charges will be invoiced annually in
advance, and any one-time charge will be invoiced as incurred.
Monthly invoicing in advance is available for a 5% surcharge to
the annual Service Contract. Partial invoicing will be prorated on
the basis of a thirty-day (30day) month. Customers shall pay the
Service Charge and all other invoice charges in full within thirty
(30) days of receipt of the invoice regardless of whether Customer
uses Service every month during the term. All amounts payable
under this Software Service Agreement shall be paid in US
Dollars.
C. Default. Customer will be in default if all undisputed amounts due
within thirty (30) days after receipt of invoice have not been paid.
If Customer defaults in any payment to FileNet, the defaulted sum
shall bear interest from the date of default at an annual rate equal
to one and one-half percent (1.5%) per month, or the maximum
interest rate permitted by law, whichever is lower. Customers
failure to pay any charges when due shall also constitute sufficient
cause for FileNet to suspend or terminate Service under this
Software Service Agreement.
9. Supplemental Maintenance Service
A. Movement of Software. Software moved to a location within
North America shall continue to be Serviced under this Agreement
at the option of FileNet subject to the existing Software License
Agreement and a mileage surcharge. FileNet shall have the right
to alter the type and schedule of Service provided to the relocated
Software. Customer shall give FileNet at least thirty (30) days
written notice specifying the new location prior to any movement,
The Service Charges specified in this Agreement shall be
suspended on the day the deinstallation of the Software
commences and shall be reinstated on the day following the
installation of the Software at the new location. Reinstallation
must occur within thirty (30) days of deinstallation or a pre-
contract inspection may be required and billed at the current
Customer Service time and material rates, prior to reinstatement
of the current maintenance contract.
B. Other Service. FileNet’s rendering of maintenance Service that
is not included in the Service Charge, if requested by Customer,
will be performed at FileNet’s discretion and, if performed, will be
charged to Customer at current time and material rates and terms
then in effect.
10. LIMITED WARRANTY
THE EXPRESSED SERVICE OBLIGATIONS SET FORTH IN THIS
SCHEDULE ARE IN LIEU OF ALL WARRANTIES, EXPRESSED OR
IMPLIED, INCLUDING WITHOUT LIMITATION ANY WARRANTIES
OF MERCHANTABILITY OF FITNESS FOR A PARTICULAR
PURPOSE. SERVICE PROVIDED UNDER THIS SERVICE
SCHEDULE DOES NOT ASSURE THE UNINTERRUPTED
OPERATION OF THE SOFTWARE.
Il. Proprietary Rights. Certain information and materials supplied by
FileNet with the Service such as, but not limited to, logic diagrams and
manuals, schematics and drawings, are FileNet confidential or
proprietary trade secrets and FileNet furnishes them solely to assist
Customer in the installation, operation and use of the Software. FileNet
12.
13.
14.
15.
16.
17.
18.
19.
marks all such conndential and proprietary information and Customer
must abide by the terms of those markings, and not reproduce, copy or
disclose such information except as is reasonable and necessary to
properly use the Software.
Limitation of Liability. Unless expressly provided otherwise in this
Agreement, FileNet and its Licensers will not be liable for any loss or
damage claimed to have resulted from the Service or the use, operation
or performance of the Software or related in any way to their
acquisition, regardless of the form of action. In no event will FileNet be
liable to Customer for (a) any special, indirect, incidental or
consequential damages, even if FileNet has been advised of the
possibility thereof, (b) any damages resulting from latent defects, loss of
data or profits, (c) any claim whether in contract or tort, that arose more
than one year prior to institution of suit thereon. FileNet shall be liable
for actual damages resulting from a material breach of this Agreement
and for personal injury or property damages directly resulting from
gross negligence or intentional misconduct on the part of FileNet up to,
but not exceeding, the annual Service Charge paid hereunder.
Export. Customer agrees that the Software provided hereunder will not
be exported directly or indirectly, separately or as part of any system,
without first obtaining a license from the U.S. Department of Commerce
or any other appropriate agency of the U.S. Government, as required.
Assignment. Customer may not assign, voluntarily or by operation of
law, any of its rights or obligations in this Agreement except with
FileNet’s prior written consent. This Agreement will be binding on and
inure to the benefii of the parties hereto and their respective successors
and permitted assigns.
Waiver. The parties’ rights and remedies are separate and cumulative.
Neither party’s waiver or failure to exercise in any respect any right or
remedy provided in this Agreement is a waiver of any future right or
remedy hereunder.
Force Majeure. If any cause beyond FileNet’s reasonable control
prevents FileNet from perfoming under this Agreement by a given date or time, FileNet’s performance will be automatically postponed.
Choice of Law. The laws of the State of California will govern the
construction and operation of this Agreement without regard to the
conflicts of laws provisions thereof.
Severability. The invalidity of any provision of this Agreement will not
affect the validity and binding effect of any other provision.
Notice. Notices hereunder must be sent to the addresses on the face of
this Agreement, or to such other addresses as specified by a notice
complying with this provision. Notice is effective on the earlier of actual
receipt or five days after deposit in the US. Mail. Notices to FileNet
must be sent to the attention of “Contracts Administration.”
3 Fon No.6400.035 12196
Exhibit C Agreement No.: 800559
Software Support Programs:
Model No. Item #
1 304839 Workgroup Content Services 5.x
2 304849 IDM Toolkit 3.x
3 304843 Content Services Shared User Lit 3.x
Description
The specific products to be covered under this Exhibit C can
)e found below for the period of: 9/l/00 - 8/31/01
7rst year’s maintenance for CID# 612108 will be paid
)yThirdwave Corporation. City of Carlsbad will be responsible
:hereafter.
TOTAL
1 1,786.OO
1 1,340.oo
43 220.58
TOTAL $12,611.00
Unit
Price
Extended
Price
1,786.OO
1,340.oo
9,485.OO
12,611.OO
12,611.OO
4 Form No.6400.035 12196
September 4,200O
Ms. Karen Kundtz
City Clerk’s Office
1200 Carisbad Village Drive
Carlsbad, CA 92008
Dear New FileNET Customer:
On behalf of FileNET, the Client Relations Group would like to welcome you to the FileNET family.
Client Relations will answer your questions relating to your support program and maintenance
contract. Please take a moment to familiarize yourself with the information below regarding your
Customer Support status and complete the questionnaire on the following pages.
Our records indicate that your company has purchased the Silver Support Program and your system
is located at 1200 Carlsbad Village Drive, Carlsbad, CA 92008.
The below identification numbers are extremely important and will be requested each time that you
open an incident. To open an incident, simply call our toll free Support Line at 800.624.4877 or email
us at www.css.filenet.com and click “Electronic Support”:
Site NAME: CARLSBAD
Site #: 10001165
SYSTEM I.D. (CID#): 612108
Please fax the completed questionnaire to us at 7 14.327.5 121. It’s important for us to have this
information before you open your first call to the Support Center. If you have any questions, feel free
to contact the Client Relations Group at 714.327.7680.
We look forward to providing you with World-Class Customer Support.
Sincerely,
Client Relations
Worldwide Services and Operations
P.S. Remember to complete andfax the attached questionnaire to us
at 714.327.5121 as soon as possible
FileNET Corporation
3565 Harbor Blvd.. Costa Mesa, CA 92626-1420
Tel +1 714 327 3400http:ll www.filenet.com
FAX TRANSMISSION
DATE: September 15,200O
TO: LISA VANEK, FileNet Corporation
FAX: (714) 327-5121
FROM: KAREN KUNDTZ, Assistant City Clerk
Phone: (760) 434-2917 FAX: (760) 720-69 17
NO. OF PAGES: 3 (plus transmittal)
NOTES:
Lisa,
Here is the completed Authorized Contact Information List for the City of Carlsbad, Site ID #
1000 1165, System ID # 6 12 108. If there are any questions, please contact me, or Brenda Ortega.
Thank you.
Karen R. Kundtz
Assistant City Clerk
City of Carlsbad
1200 Carlsbad Village Drive l Carlsbad, California 92008-1989 l (760) 434-2808
FileNET Worldwide Customer Support Services
Authorized Contact Information
(Required information on the individuals that will be opening FileNET Service Calls)
GENERAL INFORMATION
Business Contact Information
(Individual responsible for designating authorized technical support contacts)
CompanyName: City of Carlsbad Your Title: Assistant City Clerk Your Name: Karen R. Kundtz EmailAddressfREQUIRED):kkund@ci.carlsbad.ca. US
Street Address: 1200 Carlsbad Village Dr. Phone Number: (760) 434-2917
City: Carlsbad Fax Number: (760) 720-6917
State or Province: CA Pager Number: None
Country: USA Zip or Postal Code: 92008
Site Name: 1 Site Identification Number: 1 System Identification Number (CID):
I I CARLSBAD 1 10001165 1 612108
I I
Note: Business Contact email address is required to submit this form electronically.
This completed contact profile will supersede yourprior contact information in the FileNET call management database.
AUTHORIZED CONTACT INFORMATION
[ ] Visual WorkFlo [ ] Report Manager [ ] Document Warehouse for SAP
Industry Training and Experience:
Authorized Contact Form
Page 2
--
Authorized Technical Support Contact #2
Name: Tony Loeffler Phone Number: (760) 602-2449 Title: Systems Administratw III Fax Number: (7601 607 8555 EmailAddress: tloef@ci.carlsbad.ca.us Pager Number: (800) 386-6480
Site Name: Site Identification Number: System Identification Number (CID):
CARLSBAD 10001165 612108
[T] IDMDS [ ] Visual WorkFlo [ ] Report Manager [ ] Document Warehouse for SAP
Authorized Technical Support Contact #3
Name: Emma Gray Phone Number: (760) 434-2953
Title: Records Management Supervisor Fax Number: (760) 720-6917
Email Address: egray@ci . carlsbad. ca .us Paqer-NoFiiB~: Cell # (310) 614-8036
Site Name: Site Identification Number: System Identification Number (CID):
CARLSBAJI 63 3108 10001165
[ ] Visual WorkFlo [ ] Repot-l Manager [ ] Document Warehouse for SAP
Industry Training and Experience:
Authorized Technical Support Contact #4
Name: Karen Kundtz Phone Number: (760) 434-2917 Title: Assistant City Clerk Fax Number: (760) 720-6917 EmailAddress: kkund@ci.carlsbad.ca.us Pager Number: None
Site Name: 1 Site Identification Number: ( System Identification Number (CID): CARLSBAD I 10001165 I 612108
[ ] Visual WorkFlo [ ] Report Manager [ ] Document Warehouse for SAP
Industry Training and Experience:
You may submit this form as many times as necessary to enter all your authorized support contacts and
site information.
Please print out this completed form and fax it to the Client Relations Group at 714.327.5 121.
Send any questions on completing this form to: cra@,filenet.com.
0 2000 FileNET Corporation USA. All Rights Reserved.
Authorized Contact Form Page%3
I Authorized Technical Sumort Contact #2 . .
Name: Frank Addamo/ThirdWave Corp. Phone Number: (310) 914-1484 Title: Project Manager Fax Number: (310) 914-1490
Email Address: Faddamo@ThirdWaveCorp.aom -Pagefm Cell #(661) 435-2855
Site Name: Site Identification Number: System Identification Number (CID):
CARLSBAD 10001165 612108
Industry Training and Experience:
15 years Electronic Document Management Implementation & Support
Authorized Technical Support Contact #3
Name: Randall Miller/ThirdWave Corp. 1 Phone Number: (310) 914-6480
1 FaxNumber: ( Title: Systems Engineer 310) 914-1490 Email Address: 29-2350 Rmiller@ThirdWaveCorp.com I-Pager-Nwnberr Cell!/ (310) 5:
Site Name: Site Identification Number: System Identification Number (CID):
CARLSBAD 10001165 612108
[ ] Visual WorkFlo [ ] Report Manager [ ] Document Warehouse for SAP
Name:
Title:
Email Address:
Site Name:
Authorized Technical Support Contact #4
Phone Number:
Fax Number:
Pager Number:
1 Site Identification Number: I System Identification Number (CID):
I I
[ ] Visual WorkFlo [ ] Report Manager [ ] Document Warehouse for SAP
Industry Training and Experience:
You may submit this form as many times as necessary to enter all your authorized support contacts and
site information.
Please print out this completed form and fax it to the Client Relations Group at 714.327.5121.
Send any questions on completing this form to: ~@Ifilenet.com.
0 2000 FileNET Corporation USA. All Rights Reserved.
City of Carlsbad
June 13,200O
To Whom It May Concern:
Regarding: Letter of Status
ThirdWave Corporation’s Performance on the City of Carlsbad’s Document Management
System Project, Purchase Order Number P107605.
The City of Carlsbad is pleased with the work that ThirdWave Corporation has performed
on the Document Management System Project. At this time the project is in schedule
and is approximately 38% complete.
Sincerely,
d&k
Assistant City Clerk
C: Lorraine Wood, City Clerk
Addie Mattox, Project Consultant
Frank Addamo, ThirdWave Project Manager
1200 Carlsbad Village Drive - Carlsbad, CA 92008-1989 - (760) 434-2808 @
May 26,200O
~ffCA!RSBAo
CfW CtERK’S OFFICF
Ms. lsabelle Paulsen
City of Carlsbad
1200 Carlsbad Village Drive
Carlsbad, CA 92008-I 989
Subject: Your Request
Reference: Same Subject
Dear Ms. Paulsen:
Per your request, attached please find the original notary form that was
attached with the agreement between the City of Calrsbad and ThirdWave
Corporation.
Regards,
Olga Diaz
Administrative Assistant
ThirdWave Corporation 11400 West Olympic Blvd. Suite 650
Los Angeles CA 90064
voice 310 914 1480
fax 310 914 1490
twc@thirdwav.com
Information Systems Intelligently Applied
kerson Insurance Services
06 West Lomita Blvd.
mita, CA 90717
n: Sheri Farrell Ext: 143 A
INSURED Thirdwave Corporation COMPANY Mercury Casualty Insurance
11400 W. Olympic Blvd, Ste.650 B
Los Angeles, C4 90064 COMPANY RLI Insurance Co.
C
THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD
INDICATED, NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS I CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS,
EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. I I E TYPE OF INSURANCE POLICY NUMBER POLICY EFFECTIVE XLlCY EXP:RATlON
DATE (MM/DD/YY) DATE (MMIDWY) LIMITS
I GENERAL LIABILITY GENERAL AGGREGATE t$ 2.000.0001
x COMMERCIAL GENERAL LlABiLllY PRODUCTS - COMP/OP AGO ( $ 1;000;000 ,.,,:: i.: :.,'l,(' A :‘ii";g CWMSMADE x OCCUR L713344g 10/13/1999 10/13/2000 PERSoNAL~ADViNJURY !; 1,000,000
OWNER’S 8 CONTRACTOR’S PROT EACHOCCURRENCE 1,000,000
FIRE DAMAGE (Any one fire) $ 50,000
MED EXP lAnv one oersonl is I
AUTOMOBILE LIABILITY
ANY AUTO
ALL OWNED AUTOS
B x SCHEDULED AUTOS
COMBINED SINGLE LIMIT $ 1,000,000
BODILY INJURY (Per person) s
x HIRED AUTOS AC11035030 03/05/2000 03/05/2001
x NON-OWNED AUTOS
BODILY INJURY (Per accident) s
PROPERTY DAMAGE s I
GARAGE LIABILITY AUTO ONLY - EA ACCIDENT $
ANY AUTO OTHER THAN AUTO ONLY: tyEY”;“;.,2 : $&” r.&:,‘:. ., I_i. _, i I:;j _:,,:ii,’
,(‘y. ,.i :_s’ : Wi”% ,‘ ,
EACH ACCIDENT $
AGGREGATE $
EXCESS LIABILITY EACHOCCURRENCE $
UMBRELLA FORM AGGREGATE :s
OTHER THAN UMBRELlA FORM
WORKERS COMPENSATION AND
EMPLOYERS UABILITY
THE PROPRIETOR/
PARTNERS/EXECUTIVE INCL
OFFICERS ARE: EXCL
P"~~%ssional Liability
.$
WC STATU TORY LIMITi
OTH- ,qr~,: +:j:{$r: <-;/i_j_ --;...:. 1:. ,; :>s ER ,j;-~~;~~r~~~~‘~~i~~~,~~~~~~~~,~;~~~ i j_:li
EL EACH ACCIDENT $
EL DISEASE - POLICY LIMIT $
EL DISEASE. EA EMPLOYEE $
$1,000,000 Per claim
A RPL0015663 10/13,'1999 10/13/2000 $5,000 deductible
DESCR!PT!ON OF OPERATIONS/LO~CATiONSNEHlCLES/SPECiAL ITEMS Certificate holder 1s hereby named as additional insured with respects to insured operations.
"Revision of certificate issued 6-13-00"
., 'c=E#Rt~~~~~~ : is s., ;, yl;! ; I,jj,;ji 3
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE
City of Carlsbad
Attn: Ms. Karen Kundtz
760-720-6917
1200 Carlsbad Village Drive
Carlsbad, CA 92008-1989
EXPlRATlON DATE THEREOF, THE ISSUING COMPANY WILL ENDEAVOR TO MAIL
- DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT, 30
BUT FAILURE TO MAIL SUCH NOTiCE SHALL IMPOSE NO OBLIGATION OR LIABILITY
OF ANY KIND UPON THE COMPANY, ITS AGENTS OR REPRESENTATIVES.
AUTHORIZED REPRESENTATIVE
Sarah Kellv/SLF
OF INFORMATION I ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR
ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW.
COMPANIES AFFORDING COVERAGE
COMPANY United National Insurance Co.
A
lickerson Insurance Services
-1C #041589
?106 West Lomita Blvd.
-omita, CA 90717
ittn: Sheri Farrell
INSURED Thirdwave Corporation
11400 W. Olympic Blvd, Ste.650
Los Angeles, CA 90064
Ext: 143
COMPANY Mercury Casualty Insurance
B
COMPANY RLI Insurance Co..
C
COMPANY D
.., +,E&.&@ “: ,,,_ ;I: :‘:_‘i~: ,_ ,;;$ ;, ‘::j:i”iy:‘!;’ :
THIS IS TO CERTIFY THAT THE POLltilES OF INSiJRANik‘LISTED BELOW HAVE ISSUED TO THE
INDICATED, NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS
CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS,
EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS.
CO .TR TYPE OF INSURANCE POLICY NUMBER POLICY EFFECTIVE POLICY EXPIRATION
DATE (MM/DD/YY) DATE (MM/DD/YY) LIMITS
GENERAL LIABILITY
x COMMERCIAL GENERAL LIABILITY
A :;;i;rJ CLAIMSMADE x OCCUR L713344g
OWNER’S &CONTRACTOR’S PROT
GENERAL AGGREGATE
PRODUCTS. COMPIOP AGG
10/13/1999 10/13/2000 PERSoNALaADV~NJURY EACH OCCURRENCE
FIRE DAMAGE (Any one fire)
MED EXP (Any one person) 4
AUTOMOBILE LIABILIN COMBINED SINGLE LIMIT ANY AUTO
ALL OWNED AUTOS
x SCHEDULED AUTOS
B x AC11035030
BODILY INJURY (Per penon)
HIRED AUTOS 03/05/2000 03/05/2001
x NON-OWNED AUTOS
BODILY INJURY (Per accident)
PROPERN DAMAGE
GARAGE LIABILITY AUTO ONLY - EA ACCIDENT
ANY AUTO OTHER THAN AUTO ONLY:
EACH ACCIDEN
AGGREGATf
b
r:
;
$ 2,000,00(
s 1,000,00(
$ 1,000,00(
s 1,000,00(
s 50,ooc
S
s 1,000,00~
$
EXCESS LIABILIN EACHOCCURRENCE $
UMBRELLA FORM AGGREGATE s
OTHER THAN UMBRELLA FORM
WORKERS COMPENSATION AND
EMPLOYERS’ LIARILfT’!
THE PROPRIETOR/
PARTNERS/EXECUTIVE INCL
OFFICERS ARE: EXCL
s
WC STATU TORY LIMITi OTH- ‘: * 5,:; ,i $,>’ , Iii; ““‘“;; ER $::_ “$,;:,, ( _i,
EL EACH ACCIDENT $
EL DISEASE _ POLICY LIMIT $
EL DISEASE - EA EMPLOYEE $
P'G%&sional Liability
A RPL0015663 10/13/1999 10/13/2000
$500,000 each claim
$5,000 deductible
lESCR!PT!ON OF OPERATlONYLO~CATlONS/VEHlCLE.YSPEClAL ITEMS ertificate holder is hereby named as additional insured with respects to insured operations.
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE
City of Carlsbad EXPlRATfON DATE THEREOF, THE ISSUING COMPANY WfLL ENDEAVOR TO MAIL
Attn: Ms. Karen Kundtz -DAYS WRITTEN NOTICE TO THE CERTfflCATE HOLDER NAMED TO THE LEFT, 30
760-720-6917 BUT FAILURE TO MAIL SUCH NOTfCE SHALL IMPOSE NO OBLlGATfON OR LIABILITY
1200 Carlsbad Village Drive OF ANY KIND UPON THE COMPANY, ITS AGENTS OR REPRESENTATIVES.
Carlsbad, CA 92008-1989 AUTHORIZED REPRESENTAllVE
Sarah Kelly/BAM +e%- ~~~~~~~~~~~~~~~,,,~~~~ i&i:iiYl",',, :,_i__ ‘,,,~;oiiii~,~~~~~~.; ;::ii~,~~,s1:i"~;,~~~ :;,,,+Ji;&& ;&y;i,; ,;;~~i~~~~~;~~~!~ j'! j *j jry;i,'ifi;';i'; ,.i .,_, s >4 < i s f ;_:iI:li;;c:i 1,; +~~:;,J,,i,;j '~~~~~,A~~i~~~~l~~
STATE _ COMPENSATION INSURANCE
P.O. BOX 420807, SAN FRANCISCO, CA 94142-0807
FUND CERTIFICATE OF WORKERS’ COMPENSATION INSURANCE
FEBRUARY 1, 2000 POLICY NUMBER:
GERTlFlCATE EXPIRES:
r
CITY OF CARLSBAD ATTN MR KEVIN DAVIS 1200 CARLSBAD VILLAGE DRIVE CARLSBAD CA 92008 1989
1269831 10-1-00
- 99
L
This is to certify that we have issued a valid Workers’ Compensation insurance policy in a form approved by the California
Insurance Commissioner to the employer named below for the policy period indicated.
This policy is not subject to cancellation by the Fund except upon ten days’ advance written notice to the employer,
We will also give you TEN days’ advance notice should this policy be cancelled prior to its normal expiration.
This certificate of insurance is not an insurance policy and does not amend, extend or alter the coverage afforded by the
policies listed herein. Notwithstanding any requirement, term, or condition of any contract or other document with
respect to which this certificate of insurance may be issued or may pertain, the insurance afforded by the policies
described herein is subject to all the terms, exclusions and conditions of such poticies.
s.d- c-
AUTHORIZED REPRESENTATIVE PRESIOENT
EMPLOYER'S LIABILITY LIMIT INCLUDING DEEENSE COSTS: ~1,000,000 PER OCCURRENCE.
EMPLOYER
r
THIRDWAVE CORPORATION 11400 W OLYMPIC LOS ANGELES CA 90064 woFcAmseAb
wcLERlcs OFFlC I
AMENDMENT NO. 3 TO AGREEMENT
This Amendment is entered into and effective as of the dI’f;;ay of February,
2001, amending the Agreement dated February 23,2000, (the Agreement) by and between the
City of Carlsbad, a municipal corporation, hereinafter referred to as “City”, and Third Wave
Corporation, hereinafter referred to as, “Contractor” for Installation and Integration of a
Document Management System.
RECITALS
WHEREAS, the Agreement, identified a scope of work which included the
provision of necessary software, hardware, systems integration and conversion services for
Phases 1 and 2 of the Document Management System (DMS); and
WHEREAS, on September 19, 2000, the Agreement was amended (Amendment
No. 1) to alter the scope of work to include additional software modifications and programming
services; and
WHEREAS, on February 20, 2001, the Agreement was amended (Amendment
No. 2) to revise Section 27 regarding surety for Contractor performance; and
WHEREAS, the parties to the Agreement and amendments desire to alter the
scope of work to include the provision of additional software licenses, configuration, and training
services; and
WHEREAS, a supplemental scope of work and fee schedule have been
negotiated and agreed to between the parties hereto, and is attached hereto as Exhibit “A”,
Scope of Services and Fees;
NOW, THEREFORE, in consideration of these recitals and the mutual covenants
\ “1 Z/2198
-
contained herein, City and Contractor hereby agree as follows:
1. Contractor shall provide those services outlined on the attached Exhibit “A”.
2. City shall pay Contractor for all work associated with Paragraph 1 above, on
a time and materials basis not-to-exceed $16,300. Contractor shall provide City, on a monthly
basis, copies of invoices sufficiently detailed to include hours performed, hourly rates, and
related activities and costs for approval by City.
3. Contractor shall complete all work outlined on the attached Exhibit “A” by the
agreed upon dates for completion of Phase 2, or by expiration of the Agreement.
4. All other provisions of the Agreement shall remain in full force and effect.
5. All requisite insurance policies to be maintained by the Contractor shall
include coverage for the amended scope of work.
Acknowledged and Accepted:
CONTRACTOR:
ThirdWave Corporation
” (sign here)
CITY OF CARLSBAD, a municipal
All-EST:
%ity Clerk
(Proper notarial acknowledgment of execution by Contractor must be attached.
Chairman, president or vice-president and secretary, assistant secretary, CFO or assistant treasurer must
sign for corporations. Otherwise, the corporation must attach a resolution certified by the secretary or
assistant secretary under corporate seal empowering the officer(s) signing to bind the corporation.)
212198
APPROVED AS TO FORM:
212198
EXHIBIT “A’
Scope of Services and Fees
DMS Phase 2 - Additional Licensing/Configuration/Training
Karen,
Pricing for the additional users is below.
Item Item
Shared User License Shared User License
Annual Maint. For Shared User License Annual Maint. For Shared User License
Labor to Configure Workstation Labor to Configure Workstation
Training for Additional Staff Training for Additional Staff
Total [ Total
City City 10 10
10 10
20 20
20 20 E
Unit $
$1,170.00
250.00
75.00
$SOO,.OO
(Requires additional
training class)
Ext $
$11,700.00
$2,500.00
1500.00
600.00
$16,300.00
Regards,
Frank
CALIFORNIA A&PURPOSE ACKNOWLEDGMENT
State of cAL\f&Zr\J\P
County of Lo,5 AR\ 6t3F 5
On 1’ m. \ 3m ,%X3 I before me, pl%L pwti- 01s I Date Name and Title d Offlo% (e.g., -Jane Doe, Notary Publid)
personally appeared SIXUO t?@NA~b3. / \$J~&L\o b%/ !-d~$f?EJPb~ , / Name(s) of Signer(s)
Cl personally known to me - OR - 5t proved to me on the basis of satisfactory evidence to be the person(s)
whose name(s) is/are subscribed to the within instrument
and acknowledged to me that b&be/they executed the
same inM&er/their authorized capacity(ies), and that by
+tieIher/their signature(s) on the instrument the person(s),
or the entity upc )n behalf of which the person(s)-acted, a ._--.. *--I .I-- :a- PAllLNOOCHU.OI 1 tt~f2~~1e:u trtt: ir&ument.
I QpAnryon+1&9m #buAarc-tn WITNESS my hand and official seal.
Though the information
Description of Attached Document
e document and could prevent
Title or Type of Document:
Document Date: Number of Pages:
Signer(s) Other Than Named Above:
Capacity(ies) Claimed by Signer(s)
Signer’s Name: Signer’s Name:
Cl Individual
Cl Corporate Officer
Title(s):
Cl Partner-Cl Limited q General
El Attorney-in-Fact
.
Cl Trustee
0 Guardian or Conservator
0 Other:
Signer Is Representing:
1 I
Cl Individual
Cl Corporate Officer
Title(s):
Cl Partner - Cl Limited 0 General
q Attorney-in-Fact
q Trustee
Cl Guardian or Conservator
q Other:
Signer Is Representing:
1 1
0
-
i i g. . . . & _.
0 19W National Notary Assodation w 9236 Remmet Ave.. P.O. Box 7194 l Canoga Park, CA91909-7154 Prod. No. 5907 Reorder: Call Toll-Free 1-900-876-5827 ii. -G.b ,‘a
’ 00 (TUEI 11 :35 THI RDWAVE HDQS 3109141490 PAGE. 2/3
~IRDWWR CORPORATU
The undersigned, constituting the sole member of the Board of Directors of THIRDWAVE CORPORATION, a corporation organized under,the laws of the State of California, does by this writing consent to the.following actions and adopt the following resolutions of the Board of Directors of said corporation.
ELECTION 08 OBFICERS
Roy R. Hernandez President (Chief Executive officer) and Secretary
Sergio Hernandez .Treasurar (Chief Financial Officer)
I
OFFICER'B CO!
RESOLVED, that the compensation paid by this corporation to Roy R. Hernandez- for December 31, 1995 in the total amount (which include8 salary, bonus andvacation pay) is here donfirmed and ratifigd.
the fiscal-
- -~
RESOLVED that the compensation paid by this corporation to Sergio Hernandez for the fiscal year ended December
31, 1995 in the total amount oA includes salary, wwhfch bonus and vacation pay) is hereby confirmed and ratified.
MATERIAL TRW6ACTXONB
RESOLVED, that the following transactions entered into by thie corporation during the fiscal year ended December 31, 1995 are hereby confirmed, ratified and approved:
1. The purchaee of ARCINFO Software for the purchase price
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3109141490 PAGE. 313
2. A five year office lease .for the Executive Tower with a
monthly rental of w.
A three year lease for an Advanced Business System Copier for ti3monthly rental -
4. A two year lease for a Bell Atlantic - RISC 6000 Syatem for a quarterly rental 0
RESOLVED, that all acts of the officers of this corporation taken onbeha1.f of the corporation during the fiscal year ending December 31, 1995 be, and the same hereby are, confirmed and ratified.
This Unanimous Written Consent 'of the Board of Directors of THIRDWAVE CORPORATION is executea pursuant to the California Corporatione Code and the Bylaws of said corporation,and is to be filed with the minutes of the proceedings of the Board of Directors of said corporation.
Dated: December 31, 1995.
ROY-R. HERNANDEZ
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