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HomeMy WebLinkAbout2011-10-01; City Council; 20714; PURCHASE IDENTITY ACCESS MANAGEMENT SOFTWARECITY OF CARLSBAD - AGENDA BILL V AB# MTG. DEPT. 20,714 10/11/11 Information Technology APPROVAL OF AGREEMENT FOR PURCHASE AND IMPLEMENTATION OF IDENTITY AND ACCESS MANAGEMENT SOFTWARE DEPT. DIRECTOR ^t5Pl/ CITY ATTY. ^^ CITYMGR. (JL/ RECOMMENDED ACTION: Adopt Resolution No. 2011-246 approving the agreement with Fischer International Identity for the purchase and implementation of an Identity and Access Management software (IAM). ITEM EXPLANATION: For organizations with significant information to manage and protect, like the City of Carlsbad, identity and access management is one of the most critical issues faced today. Identity and access management is about access to information and access to systems. Done right, identity and access management employs a mix of software and processes to accomplish a single goal: make sure people are who they say they are, and give them the right levels of access. History To improve operational efficiencies, automate user access and to better protect data and systems, eight years ago the Information Technology department implemented Novell's Identity Manager System. With time, the system was integrated into the financial and human resources system, IFAS/HR, to automate employee provisioning and de- provisioning (employee hire, employee fire, employee retire). When the Human Resources department adds, changes or terminates employees in IFAS/HR, the current identity management solution does the same for user's network account and access - automatically granting or removing access to network resources and city systems. The automation has proven both effective and efficient and reduced the need for additional staff to perform these access functions. DEPARTMENT CONTACT: Gordon Peterson 760-602-2454 gordon.peterson@.carlsbadca.gov FOR CITY CLERKS USE ONLY. COUNCIL ACTION: APPROVED DENIED WITHDRAWN D AMENDED D CONTINUED TO DATE SPECIFIC D CONTINUED TO DATE UNKNOWN D RETURNED TO STAFF D COUNCIL RECEIVED THE D REPORT/PRESENTATION OTHER-SEE MINUTES D PAGE2ofAB# Deployment of the Human Capital Management System (HCMS) presented the Information Technology department (IT) the opportunity to review how access to information and systems is managed. Analysis showed that continuing with the current identity management solution in support of the HCMS implementation would not provide the needed security or access and account management functionality. Numerous options were considered to determine whether or not Identity and Access Management (1AM) was still a viable solution for the City of Carlsbad. The analysis concluded that identity and access management remains an important automation technology for the city, allowing IT staff to 'do more with less' and providing the rest of city staff access to the network and application resources needed in a streamlined and efficient manner. Proposed Solution Staff evaluated multiple 1AM solutions and sourcing strategies to find the "best fit" and lowest cost alternative. Both on-premise and outsourced 1AM solutions were gauged against multiple criteria, including total cost of ownership, self-sufficiency, and the ability to meet unforeseen technology and security requirements. The Identity and Access Management solution by Fischer International Identity, implemented as an on-premise model, is recommended to provide the greatest value to the City of Carlsbad. Once implemented, the solution will ensure that requests for access to technology and information (including city employees and contractors) will granted to only the needed and appropriate systems and accounts. Failure to create (and revoke) access creates significant risks to the city, including fraud, identity theft, and privacy breaches. For example, a newly hired city employee requires an email account, network file storage and other system accounts. The amount of time and tracking required to manually create the account with the appropriate level of access at the right time is significant. The proposed solution automates user access based on job class, department, work location and job function. The solution also: • allows users to reset their passwords and request access to technology online • replicates user names and passwords across multiple systems, reducing the likelihood of users writing down or forgetting passwords • instantly removes network, application and file access for terminated users • monitors and audits network access for security and compliance • simplifies access to cloud-based and other hosted technology services Additionally, this Identity and Access Management project paves the way for future service enhancements for Carlsbad residents and businesses. For example, residents could setup and manage their access to on-line City services, including: library cards, utility billing, recreation class registration and permitting systems. PAGE3ofAB# Implementation Methodology - Outsourcing vs. On-premise Implementation Fischer Identity International provides identity management as both an on-premise product and an outsourced service. Analysis shows the City will realize a lower total investment, achieve greater flexibility and improved project implementation timing if the Fischer Identity Suite (FIS) is initially implemented in the on-premise model. This is especially true in years one and two, when new system requirements are uncovered. While the solution's outsourcing option includes a monthly allowance of professional services to perform changes to the implemented solution, the city would incur additional professional services costs, on top of the monthly allowance, to implement new functionality, processes and licensed modules. For example, vendor professional services needed to implement any new requirements in year one alone typically range from $30,000 to $40,000 (based on $250/hour). Because the City's IT staff has experience with the currently installed identity management system, expanding, monitoring and maintaining the Fischer solution will not be new territory. City IT staff will be able to extend the solution to meet new requirements without Fischer professional services. The contract with Fischer allows the solution to be migrated to Fischer's outsourced environment for a specified cost based on the length of ownership. Meaning the City will receive a credit (of a portion of license fees already paid) towards an annual subscription based on when the City chooses to make the transition. This will enable the City to minimize professional development services costs at project start up and then migrate to the outsourced model when the solution matures. The proposed solution is an enabling technology; one that is laying the groundwork for secure interoperability among employees, residents, and partners of the city organization. FISCAL IMPACT: During the fiscal year 2011-2012 budget process funding was authorized for the purchase and implementation of an Identity and Access Management System. Implementation of the new identity and access management software will result in a twelve thousand ($12,000) annual savings over the current software. System costs are as follows: One-Time On-Going Software licensing Implementation services - including training & travel 15% project contingency Total One-time Costs Annual software maintenance Total On-Going Costs $ 64,800** $164,137 $ 24,621 $253,558 $14,256 $14,256 PAGE4ofAB# ** Software license fees include the following modules for 1,600 internal authorized users: • Password Reset and Synchronization • Administrative Role and Account Management • Automated Role and Account Management • Identity Compliance and Audit • Privileged Account Access • Access Termination ENVIRONMENTAL IMPACT: Pursuant to Public Resources Code section 21065, this action does not constitute a "project" within the meaning of CEQA in that it has no potential to cause either a direct physical change in the environment, or a reasonably foreseeable indirect physical change in the environment, and therefore does not require environmental review. EXHIBITS: 1. Resolution No. 2011-246 2. Fischer International Identity Master Software License Agreement 3. Project Statements of Work - Phase 1 & Phase 2 4. Project Statement of Work - Training iha 4. 1 RESOLUTION NO. 2011-246 2 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF CARLSBAD, CALIFORNIA, APPROVING AN AGREEMENT 3 FOR PURCHASE AND IMPLEMENTATION OF IDENTITY 4 AND ACCESS MANAGEMENT SOFTWARE 5 6 WHEREAS, during the fiscal year 2011-2012 budget process the purchase and 7 implementation of an Identity and Access Management software (IAM) was authorized; 8 and 9 WHEREAS, the proposed Fischer International Identity solution is a 10 comprehensive, automated, and cost effective identity and access management 11 system; and 12 WHEREAS, when implemented and fully operational the identity and access management system will improve data security, streamline workflows, help drive down J5 technology services costs, and assist with the City's credit card and financial systems 16 compliance with regulatory mandates (Payment Card Industry (PCI) Compliance; and 17 WHEREAS, total cost of ownership analysis of the identity and access 18 management system indicates that the best value to the City of Carlsbad is found using 19 the on-premise implementation methodology versus outsourcing the system; and 20 WHEREAS, sufficient funds were transferred from the Technology Innovation 21 Fund for the IAMS project. 22 NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of 23 Carlsbad, California, as follows that: 25 1. The above recitations are true and correct. 26 27 28 1 2. That the fees paid for the acquisition and implementation of the Fischer 2 International Identity's Identity and Access Management software will not exceed $267,814, and shall be as described in the contract between the City 4 of Carlsbad and Fischer International Identity, LLC. 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 PASSED, APPROVED AND ADOPTED at a Regular Meeting of the City Council of the City of Carlsbad on the 11th day of October 2011, by the following vote to wit: AYES: Council Members Hall, Kulchin, Blackburn, Douglas, Packard. NOES: None. ABSENT: None. MATT HALL, Mayor -LORRAINE M. WOOD, City Clerk (SEAL) AGREEMENT NUMBER MASTER SOFTWARE LICENSE AGREEMENT THIS MASTER SOFTWARE LICENSE AGREEMENT (this "Agreement") is made on this 12th day of October, 2011 (the "Effective Date") by and between Fischer International Identity, LLC D/B/A "Fischer International", a Delaware limited liability company, with offices at 5801 Pelican Bay Blvd, Suite 300, Naples, Florida 34108 ("Licensor") and the City of Carlsbad, a municipal corporation with offices at 1635 Faraday Avenue, Carlsbad, California 92008 ("Licensee"). RECITALS WHEREAS, Licensee wishes to obtain a limited license to use certain of Licensor's software applications and engage Licensor to provide related services from time to time pursuant to Transaction Documents (as defined below) entered into by the parties pursuant to this Agreement; and WHEREAS, the parties desire to set forth in this Agreement the terms governing their overall relationship with respect to the licensing of Licensor's software to Licensee and Licensor's provision of related services to Licensee. NOW THEREFORE, in consideration of the foregoing and the mutual promises contained herein and other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto agree as follows: 1. ORGANIZATION OF AGREEMENT, INCLUDING TRANSACTION DOCUMENTS. 1.1 General. This Agreement governs the relationship between Licensor and Licensee for purposes of licensing of Licensor's software applications (the "Licensed Software") and written end user reference materials for the Licensed Software that Licensor generally makes available to licensees of the Licensed Software, and any other materials or instructions that Licensor may provide to Licensee relating to the Licensed Software (collectively, "Documentation") (the Licensed Software and Documentation are collectively referred to as the "Licensed Materials") as well as Licensee's engagement of Licensor to provide related services, all of which shall be implemented through one or more written Transaction Documents entered into from time to time by Licensor and Licensee. The basic terms applicable to all such Transaction Documents are provided in this Agreement. In the event of a conflict or inconsistency between the terms of this Agreement and the terms of a particular Transaction Document, the terms of the Transaction Document shall control with respect to the specific Licensed Materials and/or services specified therein. The initial Transaction Document is set forth as Exhibit A attached hereto. 1.2 Contents Of Each Transaction Document. Each Transaction Document shall contain (or incorporate as attachments or by reference): 1.2.1 a reference to this Agreement; 1.2.2 a designation of the names, addresses and other contact information for the coordinators of each party for such Transaction Document who shall be responsible for all administrative matters pertaining to the particular Transaction Document and this Agreement as it pertains to such Transaction Document; Fischer International Identity, LLC Master Sofftrare License Agreement rClg£ 1 OJ 21 1.2.3 a description of the Licensed Materials to be licensed, as well as the applicable designated licensed facility (the "Licensed Facility") the number and type of end users of the Licensed Materials (collectively, "Authorized Users") and the License Fee(s) (as defined below), payment schedule and any other additional terms with respect to the particular Licensed Materials; 1.2.4 a description of the scope of the services to be undertaken; 1.2.5 a description of the specific work location for services to be undertaken; 1.2.6 a schedule for shipment and delivery of the Licensed Materials to be licensed and for performance and completion of the services; 1.2.7 a description of any materials, equipment, software and/or other deliverables to be furnished by Licensee, if any, and other additional obligations of Licensee; 1.2.8 the amount, schedule, and method of payment of fees for Licensor's performance of services thereunder; and 1.2.9 the duration of the term for services to be performed on a regular periodic basis, if any; and 1.2.10 a statement that the Licensee is responsible for self-certifying that the system on which the Licensed Materials will be installed (Authorized Computer System) meet the minimum technical requirements as published by Licensor. Each Transaction Document issued under this Agreement shall become effective only when executed by an authorized representative of each of Licensor and Licensee and may specify a later commencement date. Each Transaction Document entered into under this Agreement shall be construed to incorporate the provisions of, and shall be governed by, this Agreement. 2. DELIVERY, INSTALLATION. 2.1 Delivery. Licensor shall deliver the Licensed Materials to Licensee via currently-available electronic methodologies unless otherwise mutually agreed to by the parties. 2.2 Installation; Configuration; Integration. See Exhibit C. 3. LICENSE GRANT. 3.1 License Grant. Effective upon the commencement date specified in the applicable Transaction Document, and provided that Licensee has paid the License Fee and all other amounts payable thereunder which are due at inception, and subject to the terms and conditions of this Agreement and the applicable Transaction Document, Licensor hereby grants to Licensee, and Licensee hereby accepts from Licensor, a nonexclusive, nontransferable, nonsublicenseable worldwide right for the term specified in the applicable Transaction Document for Licensee to: (i) install and run the Licensed Software on the Authorized Computer System at the Licensed Facility; (ii) make up to two (2) copies of the Licensed Materials for backup and archival purposes; and (iii) permit Licensee's Authorized Users to use the Licensed Software (in object code form only) and the Documentation at the Licensed Facility. The Licensed Software may be moved, in its entirety, between Authorized Computer Systems at the Licensed Facility as necessary for Licensee's internal business purposes. Licensor shall not be liable to Licensee for any disruptions, problems, losses, or damages caused by such move, and any services Fischer International Identity, LLC Master Sofnvare License Agreement rdgC 2 OJ 21 provided by Licensor to resolve issues relating to such move shall be charged at Licensor's standard hourly rates. The number of total actual users of the Licensed Materials may not exceed the number set forth in the applicable Transaction Document unless Licensee has paid the applicable license fee for additional Authorized Users. See Exhibit A for details. 3.2 Exclusion of All Other Rights. Except as expressly provided in this Section 3, Licensee is granted no rights or licenses whatsoever in or to the Licensed Materials or any intellectual property rights therein. All rights and licenses not expressly granted in this Agreement are hereby expressly reserved by Licensor. 3.3 No Reverse Engineering or Transfer. Licensee may not (a) reproduce (other than for backup purposes as specified in Section 3.1 above), modify or otherwise create any derivative work based upon any of the Licensed Materials, (b) rent, lease, use as a service bureau, or sublicense any of the Licensed Materials, (c) otherwise distribute or transfer in any way any of the Licensed Materials to any third party, or (d) disassemble, decompile or otherwise reverse engineer any aspect or portion of the Licensed Software or derive or attempt to derive its source code. 3.4 Intellectual Property Notices and Markings. Licensee shall accurately and fully reproduce all Licensor copyright, patent, trademark or other proprietary rights notice(s) on all copies Licensee produces or reproduces of the Licensed Materials and any other Licensor Confidential Information. In no event shall Licensee remove any such notices from any Licensed Materials or Confidential Information. 4. SOFTWARE SUPPORT, MAINTENANCE, AND OTHER SERVICES. 4.1 Training. See Exhibit C. 4.2 Software Technical Support and Maintenance. See Exhibit B. 4.3 Customization and Other Services. See Exhibit C. 5. OWNERSHIP. Licensee acknowledges and agrees that Licensor and/or its licensors are the sole and exclusive owners of all right, title and interest, throughout the world (including all intellectual property and other proprietary rights), in and to all Licensed Materials, as well as all copies of the Licensed Materials, whether made by or on behalf of Licensor or Licensee, and Licensee shall not contest such rights at any time. Licensee further agrees and acknowledges that it receives or otherwise obtains no right, title or interest of any kind in the Licensed Materials, other than the limited license rights expressly set forth in Section 3. 5.1 Ownership of Work Product. All Work Product, defined as special Licensee requirements, business process flows, and implementation schedules only, but Work Product shall specifically not include the Licensed Materials, any connectors, reference materials, instructions associated with the Licensed Materials, or other intellectual property developed by Licensor or its agents pursuant to any Transaction Document hereunder, produced by Licensor or its agents, employees, and subcontractors pursuant to this Agreement is the property of Licensee. In the event this Agreement is terminated, all Work Product produced by Licensor or its agents, employees and subcontractors pursuant to this Agreement will be delivered at once to Licensee. Licensor will have the right to make one (1) copy of the Work Product for Licensor's records. Fischer International Identity, LLC Master Sofhvare License Agreement rCtg£ 3 OJ 21 6. FEES AND PAYMENT PROVISIONS. 6.1 License Fees. Licensee shall pay to Licensor the license fee for the Licensed Materials (the "License Fee") in the amount set forth in the applicable Transaction Document. 6.2 Additional Services. All services not expressly stated in Section 2.2, 4.1 or 4.2 as included in the License Fee and/or support and maintenance fee set forth in Exhibit A shall be considered additional services which shall be performed upon a time and materials basis based upon mutually agreed upon rates. 6.3 Expenses. Reasonable out-of-pocket expenses for travel, accommodations and other reasonable out-of-pocket expenses with respect to Licensor's performance of any services under a Transaction Document shall be charged to Licensee in accordance with the City of Carlsbad Travel Policy dated 04/04/2006. Expenses shall accrue in the month in which the expense is incurred, and shall be payable by Licensee in accordance with the terms specified in Section 6.5 below. 6.4 Taxes and Other Charges. All payments shall be made without deduction for sales, use, value-added and other taxes, duties, assessments or other charges of any kind that may be imposed on the Licensed Materials or Licensor under this Agreement or any Transaction Document by any government or subdivision or agency of such government. Other than Licensor's income taxes, all such taxes, duties, assessments and charges shall be the sole responsibility of Licensee. Licensor may bill for and collect sales tax as applicable, provided that Licensor's failure to bill for and collect any tax shall not relieve Licensee of its obligation to pay same. Licensee shall indemnify, defend and hold harmless Licensor from any breach of Licensee's obligations under this Section 6.4. 6.5 Invoicing and Payment. The initial License Fee payment specified in the initial Transaction Document is due per the schedule provided in Exhibit A. Unless otherwise specified in the applicable Transaction Document, all other amounts that may be due under this Agreement shall be invoiced after incurred, and are due in full net thirty (30) days from receipt of the invoice. 6.6 Failure to Pay and Overdue Payments. Any payments not made by Licensee within thirty (30) days of when due shall constitute a material breach of this Agreement. Any payments that are not timely paid as provided hereunder shall bear interest at the rate of the lower of (i) the highest rate permitted by law and (ii) one and one-half percent (1.5%) per month until paid in full. 7. CONFIDENTIALITY 7.1 Confidentiality Obligations. The terms and conditions of the Mutual Non-Disclosure Agreement dated January 19, 2011 between the parties shall govern the parties' obligations with respect to confidentiality and proprietary information. Fischer documents and deliverables contain HIGHLY SENSITIVE information related to the City of Carlsbad's network and application security infrastructure, as well as Fischer International Identity confidential and proprietary information. The confidential and proprietary information contained therein is intended to be used solely for the purpose of establishing the identity management project requirements, and is not authorized for any other release. Release of this confidential and proprietary information is not required for the public good; and the City of Carlsbad is urged to limit document access to authorized parties within the information technology department. Fischer International Identity, LLC Master Sofhvare License Agreement rdgC 4 Oj 21 If the City of Carlsbad receives a request to disclose any Confidential Information under the California Public records Act, Open Records Act or similar law ("Request'), Carlsbad shall immediately notify Fischer and prior to disclosure give Fischer an opportunity to take any protective action it deems appropriate. If Fischer has not responded timely to the Request, as defined by the applicable law for which the Request is made pursuant to, Carlsbad may, in its sole discretion and without being in breach of this Agreement, respond to the Request as Carlsbad deems appropriate. In the event that Fischer directs Carlsbad not to disclose the Confidential Information materials sought pursuant to the Request, Fischer will indemnify Carlsbad against any losses, including reasonable attorney fees and costs, sustained arising from the non-disclosure of the Confidential Information material requested in the Request. Carlsbad, in its sole discretion may tender the Request to Fischer for response, including, any and all subsequent legal actions or challenges related to the non-disclosure. 8. REPRESENTATIONS AND WARRANTIES. Each of the parties represents and warrants to the other party as follows. 8.1 Mutual Representations, Warranties and Covenants. Each party represents, warrants and covenants that: (a) it has all necessary right, power and authority to enter into this Agreement and to perform its obligations hereunder, (b) the execution of this Agreement and the performance of its obligations hereunder does not and will not conflict with or result in a breach of any other agreement to which it is a party or by which any of its assets or properties is bound or affected, and (c) this Agreement has been duly executed and delivered by such party and constitutes the valid and binding agreement of such party, enforceable against such party in accordance with its terms, except to the extent that enforceability is limited by applicable equitable principles or law. 8.2 Fischer Representations, Warranties and Covenants. Fischer warrants that the software will perform substantially in accordance with the functions described in the user guide in all material respects for a period of six months following acceptance. Fischer does not warrant that the features or functionality contained in the Licensed Materials will meet the requirements of Licensee. In the event of any breach of the foregoing warranties, Fischer shall at its option, and as Licensee's sole and exclusive remedy: (i) repair or replace the nonconforming portion of the Licensed Materials, or (ii) in the event the foregoing remedy is not commercially practical, refund the fees paid for the nonconforming portion of the Licensed Materials and any unused, prepaid technical support and maintenance fees, as applicable. Refund of prepaid technical support and maintenance fees shall be prorated based on the breach notification date. Notwithstanding the foregoing, Fischer shall have no obligation to provide the warranty services described in herein if: (i) the performance failure is at least partially attributable to Licensee's deviation from applicable operating instructions or failure to perform Licensee's obligations set forth in this Agreement; (ii) Licensee or any other person or entity (other than Fischer) has modified the Licensed Materials; or (iii) Licensee is using the Licensed Materials in conjunction with a central processing unit or any other computer systems, hardware, software or peripherals not approved by Fischer. 8.3 General Representations and Warranties Disclaimer. EXCEPT AS MAY BE EXPRESSLY STATED HEREIN, ALL INTELLECTUAL PROPERTY, SPECIFICATIONS, DATA, PRODUCTS AND SERVICES LICENSED OR OTHERWISE PROVIDED BY LICENSOR TO LICENSEE, INCLUDING THE LICENSED MATERIALS, ARE PROVIDED "AS IS," WITH ALL FAULTS AND WITHOUT ANY REPRESENTATION, WARRANTY OR GUARANTY OF ANY KIND WHATSOEVER, EXPRESS OR IMPLIED, IN LAW OR IN FACT, ORAL OR IN WRITING, OR ARISING OUT OF USAGE IN TRADE, COURSE OF DEALING OR COURSE OF Fischer International Identity, LLC Master Sofhvare License Agreement rClgC 5 OJ 21 PERFORMANCE, EITHER BY LICENSOR OR ANY OF ITS LICENSORS, INCLUDING WITHOUT LIMITATION ANY IMPLIED REPRESENTATION, WARRANTY OR GUARANTY OF ACCURACY, COMPLETENESS, MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE, ERROR-FREE OPERATION, NON-INTERRUPTION OR NONINFRINGEMENT, ALL OF WHICH ARE EXPRESSLY DISCLAIMED. 9. INDEMNIFICATION. 9.1 Indemnification by Licensor. Subject to the terms and conditions of this Section 9, Licensor hereby agrees to indemnify, defend and hold harmless Licensee, and its agents, partners, principals, officers, directors, employees and shareholders from and against any and all losses, awards, causes of action, claims, obligations, demands, assessments, fines and penalties (civil or criminal), liabilities, expenses and costs (including litigation costs and reasonable attorneys' fees) (collectively "Damages") incurred by or asserted against such parties resulting from, arising out of or otherwise in connection with any third-party claim, suit, action or proceeding to the extent asserting (a) any allegation that any of the Licensed Materials infringe any intellectual property or other proprietary rights of any third party and/or (b) that any death or bodily injury to Licensee's respective personnel or Licensors or third parties, or physical damage to real or tangible personal property, to the extent directly and proximately caused by the negligence or willful misconduct of Licensor while engaged in the performance of services under this Agreement; provided, however, that if there also is fault on the part of Licensee or any entity or individual acting on Licensee's behalf, the foregoing indemnification shall be on a comparative fault basis. 9.2 Mutual Indemnification. Each party shall indemnify, defend and hold the other Party harmless against any and all claims, costs, expenses (including reasonable attorney's fees and expenses), losses or liabilities incurred by the other Party in connection with any violation by it of any of the representations or warranties set forth hereunder. 9.3 Infringement of Intellectual Property Rights. In the event that Licensee's use of any of the Licensed Materials under this Agreement is, or Licensor in its sole discretion determines is reasonably likely to be, enjoined due to a claim requiring Licensor indemnification as provided above, Licensor shall, at its expense and at its sole discretion, either (a) procure for Licensee the right to continue to use the Licensed Materials; or (b) replace or modify the infringing Licensed Materials with a non-infringing substitute, provided that the non-infringing substitute or modification does not materially adversely affect or limit the operation or quality of the Licensed Materials and further provided that the non- infringing substitute is reasonably capable of performing substantially the same function; or (c) upon written notice, terminate this Agreement and refund to Licensee the License Fees paid under this Agreement for the applicable Licensed Materials, pro-rated over a period of [one (1)] year measured from the date of inception of the applicable license using straight-line depreciation. 10. LIMITATIONS ON LIABILITY. 10.1 Disclaimer of Consequential and Special Damages. EXCEPT FOR THE CONFIDENTIALITY OBLIGATIONS OF THE PARTIES SET FORTH IN SECTION 7 HEREOF, UNDER NO CIRCUMSTANCES SHALL EITHER PARTY BE LIABLE TO THE OTHER PARTY, OR TO ANY THIRD PARTY, FOR ANY INDIRECT, INCIDENTAL, CONSEQUENTIAL, SPECIAL, RELIANCE OR PUNITIVE DAMAGES OR LOST OR IMPUTED PROFITS, LOST DATA OR COST OF PROCUREMENT OF SUBSTITUTE GOODS OR SERVICES, WHETHER Fischer International Identity, LLC Master So/Mare License Agreement rClg£ 0 OJ 21 LIABILITY IS ASSERTED IN CONTRACT, TORT (INCLUDING NEGLIGENCE AND STRICT PRODUCT LIABILITY) INDEMNITY OR CONTRIBUTION, AND IRRESPECTIVE OF WHETHER SUCH PARTY HAS BEEN ADVISED OF THE POSSIBILITY OF ANY SUCH LOSS OR DAMAGE. 10.2 Liability Cap. TO THE MAXIMUM EXTENT PERMITTED BY LAW, EXCEPT (A) WITH RESPECT TO ANY GROSS NEGLIGENCE OR WILLFUL MISCONDUCT, (B) FOR THE INDEMNIFICATION OBLIGATIONS OF THE PARTIES SET FORTH IN SECTION 9 HEREOF, (C) THE CONFIDENTIALITY OBLIGATIONS OF THE PARTIES SET FORTH IN SECTION 7 HEREOF, AND (D) LICENSOR'S CLAIMS RELATING TO NONPAYMENT OF AMOUNTS PAYABLE BY LICENSEE, THE AGGREGATE LIABILITY OF EITHER PARTY FOR ANY AND ALL CLAIMS ARISING IN CONNECTION WITH THIS AGREEMENT SHALL NOT EXCEED THE TOTAL AMOUNT OF FEES ACTUALLY PAID TO LICENSOR BY LICENSEE UNDER THIS AGREEMENT DURING THE THEN PRECEDING TWELVE MONTHS WITH RESPECT TO THE SPECIFIC LICENSED MATERIALS OR SERVICES GIVING RISE TO SUCH CLAIM ("MAXIMUM LIABILITY"). THE FOREGOING MAXIMUM LIABILITY SHALL APPLY REGARDLESS OF WHETHER ANY REMEDY UNDER THIS AGREEMENT FAILS OF ITS ESSENTIAL PURPOSE. 11. TERM AND TERMINATION. 11.1 Term. This Agreement shall commence on the Effective Date and shall continue in effect until the earlier of termination by Licensee in its discretion on not less than sixty (60) days' prior written notice to Licensor or termination pursuant to the provisions below. Each Transaction Document shall specify the duration of the applicable license and/or services to be provided thereunder as well as any renewal terms. 11.2 Mutual Termination Rights. 11.2.1 If either party is in material breach of this Agreement and/or any Transaction Document, the non-breaching party shall provide notice to the breaching party by certified mail specifying the nature of the breach. The breaching party shall have a cure period of fifteen (15) days from receipt of such notice to correct such breach. If the breach is not cured within such period, this Agreement and/or the breached Transaction Document(s), as applicable, shall terminate immediately without further notice upon the expiration of such period. The foregoing cure period does not constitute any waiver or agreement not to pursue claims and remedies for such breach in a court of competent jurisdiction. 11.2.2 Either party may also terminate this Agreement and all Transaction Documents then in effect immediately upon the occurrence of any of the following events with respect to the other party: (i) a receiver is appointed for such party or its material assets; (ii) such party becomes insolvent, generally unable to pay its debts as they become due, or makes an assignment for the benefit of its creditors or seeks relief under any bankruptcy, insolvency or debtors relief law; (iii) if proceedings are commenced against the other party, under any bankruptcy, insolvency or debtor's relief law, and such proceedings have not been vacated or set aside within sixty (60) days from the date of commencement thereof; (iv) if such party is liquidated, dissolved or ceases operations; or (v) such party violates the confidentiality obligations provided herein. Fischer International Identity, LLC | \ Master SoftH'are License Agreement rttgQ 7 OJ 21 '• 11.2.3 Either party may terminate this Agreement and all Transaction Documents then in effect for convenience upon tendering sixty (60) days written notice to the other party. In this event and upon request of Licensee, Licensor will assemble the Work Product and put it in order for proper filing and closing and deliver it to Licensee. Licensor will be paid for work performed to the termination date; however, the total will not exceed the lump sum fee payable under this Agreement. Licensee will make the final determination as to the portions of tasks completed and the compensation to be made. 11.3 Effect of Termination. 11.3.1 Exercise of the right of termination afforded to either party shall not prejudice any other rights or remedies either party may have against the other in respect of any breach of the terms of this Agreement. 11.3.2 In the event that Licensor terminates a Transaction Document or this Agreement due to an uncured material breach by Licensee, Licensor may also elect to terminate all Transaction Documents then in effect. Upon termination or nonrenewal of this Agreement and/or a Transaction Document, regardless of the basis for such termination or nonrenewal, all licenses granted under the terminated Transaction Document(s) shall terminate and Licensee shall immediately deliver to Licensor all tangible copies of the Licensed Materials and all Licensor Confidential Information, or at Licensor's option, Licensee shall destroy all copies of the Licensed Materials and Licensor Confidential Information created by or on behalf of Licensee and cause an officer of Licensee to confirm in writing that such instructions have been followed in their entirety within ten (10) days after the effective date of termination. 11.3.3 In the event that the Licensee terminates a Transaction Document or this Agreement due to an uncured material breach by Licensor, Licensor has ten (10) business days to deliver any documents owned by Licensee and all work in progress to Licensee address contained in this Agreement. Licensee will make a determination of fact based upon the work product delivered to Licensee and of the percentage of work that Licensor has performed which is usable and of worth to Licensee in having the Agreement completed. Based upon that finding Licensee will determine the final payment of the Agreement. 11.4 Survival. The following provisions of this Agreement shall survive expiration or termination, for any reason, of this Agreement or any Transaction Document: Sections 5, 6.3, 6.4, 6.5, 6.6, 7, 8, 9, 10, 11.3, 11.4, and 13, as well as all disclaimers and limitations on remedies and liabilities in any other section of this Agreement. 12. INSURANCE 12.1 Licensor will obtain and maintain for the duration of the Agreement and any and all amendments, insurance against claims for injuries to persons or damage to property which may arise out of or in connection with performance of the services by Licensor or Licensor's agents, representatives, employees or subcontractors. The insurance will be obtained from an insurance carrier admitted and authorized to do business in the State of California. The insurance carrier is required to have a current Best's Key Rating of not less than "A-:VII". OR with a surplus line insurer on the State of California's Fischer International Identity, LLC I <-—^ Master Software License Agreement rQgC o OJ 21 List of Eligible Surplus Line Insurers (LESLI) with a rating in the latest Best's Key Rating Guide of at least "A:X". 12.2 Coverages and Limits. Licensor will maintain the types of coverages and minimum limits indicated below, unless Licensee Attorney or Licensee Manager approves a lower amount. These minimum amounts of coverage will not constitute any limitations or cap on Licensor's indemnification obligations under this Agreement. Licensee, its officers, agents and employees make no representation that the limits of the insurance specified to be carried by Licensor pursuant to this Agreement are adequate to protect Licensor. If Licensor believes that any required insurance coverage is inadequate, Licensor will obtain such additional insurance coverage, as Licensor deems adequate, at Licensor's sole expense. 12.2.1 Commercial General Liability Insurance._$ 1,000,000 combined single-limit per occurrence for bodily injury, personal injury and property damage. If the submitted policies contain aggregate limits, general aggregate limits will apply separately to the work under this Agreement or the general aggregate will be twice the required per occurrence limit. 12.2.2 Automobile Liability (if the use of an automobile is involved for Licensor's work for Licensee). $1,000,000 combined single-limit per accident for bodily injury and property damage. 12.2.3 Workers' Compensation and Employer's Liability._Workers' Compensation limits as required by the California Labor Code. Workers' Compensation will not be required if Licensor has no employees and provides, to Licensee's satisfaction, a declaration stating this. 12.2.4 Professional Liability. Errors and omissions liability appropriate to Licensor's profession with limits of not less than $1,000,000 per claim. Coverage must be maintained for a period of five years following the date of completion of the work. If box is checked, Professional Liability Licensee's Initials Licensor's Initials Insurance requirement is waived 12.3 Additional Provisions. Licensor will ensure that the policies of insurance required under this Agreement contain, or are endorsed to contain, the following provisions: 12.3.1 The Licensee will be named as an additional insured on General Liability. 12.3.2 Licensor will obtain occurrence coverage, excluding Professional Liability, which will be written as claims-made coverage. 12.3.3 This insurance will be in force during the life of the Agreement and any extensions of it and will not be canceled without thirty (30) days prior written notice to Licensee sent by certified mail pursuant to the Notice provisions of this Agreement. 12.3.4 Providing Certificates of Insurance and Endorsements. Prior to Licensee's execution of this Agreement, Licensor will furnish certificates of insurance and endorsements to Licensee. Fischer International Identity, LLC \ '•• Master Sofhvare License Agreement Page 9 OJ 21 ' '*" 13. GENERAL PROVISIONS. 13.1 Force Mai cure. Neither party shall be deemed in default or otherwise liable for any delay in or failure of its performance under this Agreement (other than the payment of money) by reason of any act of God, fire, natural disaster, accident, riot, terrorism, act of government, strike or labor dispute, shortage of materials or supplies, or any other cause beyond the reasonable control of such party, and which cannot be reasonably circumvented by such party, provided that the party invoking force majeure (a) gives the other party prompt notice of such cause, and (b) uses its commercially reasonable best efforts to correct promptly such failure or delay in performance. 13.2 Entire Agreement; Amendment. This Agreement and the Transaction Documents entered into pursuant hereto, together with all attachments hereto/thereto, constitute the entire agreement between the parties with respect to the subject matter hereof, and supersede all previous or contemporaneous agreements, proposals, understandings and representations, written or oral, with respect to the terms and conditions hereof. This Agreement may not be modified or amended except in a writing signed by both parties. 13.3 Audit. While this Agreement is in effect and for one (1) year thereafter, Licensor shall have the right upon reasonable written notice, during normal business hours, to inspect and audit Licensee's use of the Licensed Software to ensure that the total number of Authorized Users does not exceed the scope of the license granted and the Licensed Software is installed and used only on the Authorized Computer System at the Licensed Facility. In the event that such audit reveals that Licensee has exceeded the scope of the applicable license, Licensee shall promptly pay Licensor's then current license fee for such additional users together with accrued interest (accruing from the date on which such excess users commenced using the Licensed Software) pursuant to Section 6.6. hereof, in addition to Licensor's other remedies hereunder. 13.4 Notices. Any notice pursuant to this Agreement shall be in writing and shall be deemed given (a) if by hand delivery, upon receipt thereof, (b) if by facsimile transmission, upon electronic confirmation thereof, (c) if by electronic mail, upon receipt of confirmation electronic mail message, or (d) if by internationally recognized courier delivery service (such as Federal Express), upon such delivery. All notices shall be addressed as follows (or such other address as either party may in the future specify in writing to the other): If to Licensor: If to Licensee: Fischer International Identity, LLC City of Carlsbad 5801 Pelican Bay Blvd 1635 Faraday Avenue Suite 300 Carlsbad, CA 92008 Naples, Florida 34108 Attention: Gordon Peterson Attention: Accounting Office Telephone: 760-602-2448 Telephone: +1 239-643-1500 Facsimile: 760-602-8555 Facsimile: +1 239-436-2789 Fischer International Identity, LLC Master So/Mare License Agreement Page 10of21 13.5 Severability. If any portion of this Agreement is terminated or deemed to be void or unenforceable, that portion of this Agreement shall be severed herefrom or reformed to the minimum extent necessary to render it enforceable, and the remainder of this Agreement shall continue to be effective and enforceable. This Agreement shall be construed as if drafted jointly by the Parties, and no presumption or burden of proof shall arise that favors or disfavors either Party as a result of its responsibility for or participation in the drafting hereof. 13.6 Waiver. The waiver by either party of any default or breach of this Agreement shall not be effective unless given in a signed writing and shall not constitute a continuing waiver or waiver of any other or subsequent default or breach. 13.7 Assignment. Licensee shall not assign or delegate this Agreement nor assign or delegate any right or duty under this Agreement without the prior written consent of Licensor. Any attempted assignment by Licensee not expressly permitted by this Section 12.8 shall be null and void. Licensor may assign this Agreement in connection with a sale of all or substantially all of its assets with prior consent of Licensee, which shall not be unreasonably withheld. 13.8 Non-Solicitation. Licensee specifically agrees that Licensee shall not knowingly hire or offer to hire any employee of Licensor or independent contractor working exclusively for Licensor so long as any such person is employed or engaged by Licensor and for a period of one (1) years from the date of termination of such employment or engagement of Licensor. 13.9 Contract Interpretation. No provision of this Agreement shall be construed for or against either party because of the authorship of that provision. 13.10 Counterparts; Facsimile Copies. This Agreement may be executed in separate counterparts, each of which shall be deemed an original, and all of which shall be deemed one and the same instrument. For purposes of executing this Agreement, transmitted copies by facsimile of this Agreement (including any signature pages) are hereby deemed to be equivalent of the original documents until such time as original documents are completely executed and delivered. 13.11 Jurisdictions And Venue Any action at law or in equity brought by either of the parties for the purpose of enforcing a right or rights provided for by this Agreement will be tried in a court of competent jurisdiction in the County of San Diego, State of California, and the parties waive all provisions of law providing for a change of venue in these proceedings to any other county. 13.12 Claims And Lawsuits By signing this Agreement, Licensor agrees that any Agreement claim submitted to Licensee must be asserted as part of the Agreement process as set forth in this Agreement and not in anticipation of litigation or in conjunction with litigation. Licensor acknowledges that if a false claim is submitted to Licensee, it may be considered fraud and Licensor may be subject to criminal prosecution. Licensor acknowledges that California Government Code sections 12650 et seq., the False Claims Act applies to this Agreement and, 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 Licensee seeks to recover penalties pursuant to the False Claims Act, it is entitled to recover its litigation costs, including attorney's fees. Licensor acknowledges that the filing of a false claim may subject Licensor to an administrative debarment proceeding as the result of which Licensor may be prevented to act as a Licensor on any public work or improvement for a period of up to five (5) years. Licensor acknowledges Fischer International Identity, LLC Master Sofhvare License Agreement fGgS 11 OJ 21 debarment by another jurisdiction is grounds for Licensee to terminate this Agreement. 13.13 Conflict Of Interest Licensor shall file a Conflict of Interest Statement with the Licensee Clerk in accordance with the requirements of the Licensee Conflict of Interest Code. The Licensor shall report investments or interests in all four categories 13.14 General Compliance With Laws Licensor will keep fully informed of federal, state and local laws and ordinances and regulations which in any manner affect those employed by Licensor, or in any way affect the performance of the Services by Licensor. Licensor will at all times observe and comply with these laws, ordinances, and regulations and will be responsible for the compliance of Licensor's services with all applicable laws, ordinances and regulations. Licensor will be aware of the requirements of the Immigration Reform and Control Act of 1986 and will comply with those requirements, including, but not limited to, verifying the eligibility for employment of all agents, employees, subcontractors and consultants whose services are required by this Agreement. 13.15 Discrimination And Harassment Prohibited Licensor will comply with all applicable local, state and federal laws and regulations prohibiting discrimination and harassment. 13.16 Dispute Resolution If a dispute should arise regarding the performance of the Services the following procedure will be used to resolve any questions of fact or interpretation not otherwise settled by agreement between the parties. Representatives of Licensor or Licensee will reduce such questions, and their respective views, to writing. A copy of such documented dispute will be forwarded to both parties involved along with recommended methods of resolution, which would be of benefit to both parties. The representative receiving the letter will reply to the letter along with a recommended method of resolution within ten (10) business days. If the resolution thus obtained is unsatisfactory to the aggrieved party, a letter outlining the disputes will be forwarded to the Licensee Manager. The Licensee Manager will consider the facts and solutions recommended by each party and may then opt to direct a solution to the problem. In such cases, the action of the Licensee Manager will be binding upon the parties involved, although nothing in this procedure will prohibit the parties from seeking remedies available to them at law. 13.17 Public Disclosure Request If Licensee receives a request to disclose any Confidential Information under any Public Information Act, Open Records Act or similar law ("Request"), the Licensee shall immediately notify Fischer and prior to disclosure give Fischer an opportunity to take any protective action it deems appropriate. If Fischer has not responded timely to the Request, as defined by the applicable law pursuant to which the Request is made, the Licensee may, in its sole discretion and without being in breach of this Agreement, respond to the Request as the Licensee deems appropriate. In the event that Fischer directs the Licensee not to disclose the Confidential Information materials sought pursuant to the Request, Fischer will indemnify Licensee against any losses, including reasonable attorney fees and costs, sustained arising from the non-disclosure of the Confidential Information material requested in the Request. Licensee, in its sole discretion may tender the Request to Fischer for response, including, any and all subsequent legal actions or challenges related to the non-disclosure. In its notice to Fischer of any Request, Licensee will specify the time in which Fischer's response is due. Licensee shall use its best efforts to cooperate Fischer International Identity, LLC Master Sofovare License Agreement 1 @g6 12 OJ 21 with Fischer in order to protect and withhold from disclosure the following materials, which constitute Fischer's trade secrets: all methodology, service level agreement information, and pricing information embedded in Fischer's service descriptions and in all other written materials provided by Fischer to the Licensee. IN WITNESS WHEREOF, each party has caused this Agreement to be executed by its authorized representative as of the Effective Date. LICENSOR: LICENSEE: Fischer International Identity, LLC City of Carlsbad ^-K / &By: Name:t NI-&PO ./. ^Sg^ K A Title: PgpgL.n^>M-V a APPROVED AS TO FORM Fischer International Identity, LLC Master Software License Agreement PdgC 13 OJ 21 EXHIBIT A INITIAL TRANSACTION DOCUMENT This Initial Transaction Document shall be incorporated into the Master Software License Agreement which has an effective date of between the parties (the "Master Software License Agreement"). I: DESCRIPTION OF LICENSED MATERIALS. Licensed Software; 1 Fischer Identity™: Password Reset and Synchronization (1600 internal authorized users) 1 Fischer Identity™: Administrative Role and Account Management (1600 internal authorized users) 1 Fischer Identity™: Automated Role and Account Management (1600 internal authorized users) 1 Fischer Identity™: Identity Compliance and Audit (1600 internal authorized users) 1 Fischer Identity™: Privileged Account Access (1600 internal authorized users) 1 Fischer Identity™: Access Termination (1600 internal authorized users) Licensed Connectors: SunGard IF AS, Active Directory 2003 (CAD, Carlsbad, Vault domains), IBM NIS (via UNIX SSH connector), HCMSSQLOlv (via MSSQL connector). Assumes current release unless otherwise noted. II: LICENSE FEES; SCHEDULE OF PAYMENTS. Licensee shall pay to Licensor the total License Fee specified below for use of the Licensed Software in accordance with the following schedule: (a) (b) (c) (d) On Licensee's execution of this Agreement: On delivery of the Licensed Software: On completion of installation of the Licensed Software: On acceptance of the Licensed Software for Phase 1 Total License Fee: 30% 30% 30% 10% 100% $19,440.00 $19,440.00 $19,440.00 $6,480.00 $64,800.00 Annual maintenance fee: $14,256.00 (100% due on Licensee's execution of this Agreement) The License Fee is based on Licensee's representation that the Licensed Software will be used only up to the number of Authorized Users specified above and will not exceed the number of Authorized Users specified above by 5% for more than 60-days. If the number of end users exceeds the number specified above by 5% for 60 days, Licensee agrees to pay to Licensor a License Fee for each excess user per the Additional Authorized User License pricing schedule below. Note: The License Fee set forth above is exclusive of all taxes, duties, and any shipping charges (which charges include, without limitation, insurance and delivery fees); all such amounts are the responsibility of Licensee. Fischer International Identity, LLC Master Sqftu'are License Agreement Pdg6 14 OJ 21 Annual Software Maintenance: Annual software maintenance fee is 22% of License cost and will be invoiced upon acceptance of the Licensed Software. Annual maintenance will not be increased for at least one year after acceptance. Increases, if any, will be equal to or less than the lower of 3% or the Consumer Price Index published by the United States Department of Labor, Bureau of Labor Statistics, in effect at the time, from the prior year. See Exhibit B for Terms and Conditions. Ill; PRICING FOR ADDITIONAL AUTHORIZED USERS. During the Term, the pricing for the future purchases of additional Authorized Users shall be as set forth in the table below. Prices for additional users are valid for three (3) years from the effective date of the subscription agreement. Internal Authorized Users One-time Charge for Additional Authorized Users $40.54 IV: OPTION TO MIGRATE TO SOFTWARE AS A SERVICE MODEL. The Licensee may elect to convert this software license to a subscription license within Fischer's Identity as a Service® managed environment. The cost to convert the license is below and is based on an annual subscription fee of $37,648.80 for the software modules and user counts listed above. Credit to be Applied Subscription Fee Convert at end of Year 1: Convert at end of Year 2; Convert at end of Year 3: $43,200.00 $21,600.00 $0.00 $37,648.80 $37,648.80 $37,648.80 Balance $0.00 ($5,55 1 .20 to be credited to next year's fee) $16,048.80 $37,648.80 Notes: • Balance to be invoiced on completion of migration • Professional Services fees to migrate on-premise environment to cloud environment: $10,000.00 (flat fee: applicable only if product is installed in multi-tenant configuration) CONTACT FOR FISCHER INTERNATIONAL IDENTITY Attention: Accounting Office 5801 Pelican Bay Boulevard, Suite 300 Naples, Florida 34108 +1239643-1500 LICENSOR: CONTACT FOR LICENSEE: Fischer International Identity, LLC Name; ?, A --, ? t tl TITLE; CITY OF.CARLS Name: Lisa Hildabrand TITLE; City Manager Fischer International Identity, LLC Master Sofhrare License Agreement Page 15 of 21 22 EXHIBIT B SUPPORT AND MAINTENANCE SERVICES TERMS AND CONDITIONS Upon payment of the applicable support and maintenance fees, technical support and maintenance will be provided in accordance with the terms below. In the event that Licensee fails to purchase any support and maintenance services offered by Licensor or is delinquent more than thirty (30) days in its payment obligations for such support and maintenance services, such support and maintenance services shall be terminated immediately. In such event, Licensor may, after providing ten (10) days notice, require payment of a reinstatement fee based on the number of months between maintenance expiration or the software license effective date, whichever is more recent, and maintenance renewal or adoption as a condition precedent to reinstatement of support and maintenance. I. UPDATE & UPGRADE POLICY As a part of the annual support program, Licensee will be notified of and shall, upon request, be provided with Updates and Upgrades to the Licensed Software that are generally made available to the Licensed Software licensees. "Updates" shall include any bug-fixes and minor releases (i.e., releases in which the version number following the decimal point changes) as well as Service Packs and "hot-fixes" that provide new capabilities and fixes between releases. "Upgrades" shall include any major release (i.e., releases in which the version number preceding the decimal point changes). Any module or product that Licensor elects to separately price and license is not included as part of the support program. II. REPRODUCING DEFECTS With all severity levels, Licensee will work closely with Licensor to provide reproducible results for any defect reported. Licensor cannot guarantee any patch or Workaround if the defect cannot be reproduced. Licensor recommends that Licensee provide remote access to their system, if possible. Licensor will send someone on site, at Licensee's expense, only if Licensor is unable to remedy the problem by remote access or other means and determines that an onsite visit is necessary. III. VERSION SUPPORT POLICY Licensor will support a product release for a minimum of five (5) years from its General Availability date. Support for years 1-3 are included under the normal product maintenance agreement. Support for years 4-5 is provided to customers under an extended maintenance agreement for an additional fee. IV LEVELS OF SUPPORT Fischer Technical Support is Licensee's point of contact for any support services provided by Fischer hereunder. • Level 1—This is the initial support level responsible for Support Requests and Work Orders for Professional Services. Level 1 representatives receive support calls, and in consultation with the Authorized Licensee Representative, determines the initial Priority Level for the Support Request. A Level 2 or Level 3 representative may modify the Priority Level of a Support Request if such representative determines that the Support Request has been assigned the wrong Priority Level. • Level 2 and Level 3—These representatives have more technical expertise and experience with the Fischer software. Fischer International Identity, LLC Master Sojhvare License Agreement Page 16 of 21 V. SUPPORT REQUESTS AND PRIORITY LEVELS 1. Requesting Technical Support. Fischer recommends that Licensee first refer to the documentation, User Guide and any on-line help provided by Fischer for possible solutions to problems prior to issuing a Support Request. Licensee may request support via the following methods: • Web: Fischer Online Customer Support Portal • Telephone: +1 239-436-2700 • Email: support@fischerinternational.com 2. Technical Support Hours. If Licensee continues to experience an Error, an Authorized Licensee Representative must issue a Support Request. Support Requests may be submitted seven days a week, 24 hours a day. Each Support Request will be handled in the manner described in Section III above. 3. Factors Used to Determine Priority Levels. The following characteristics are used by the Level 1 Fischer support representative, in consultation with Licensee, to identify the Priority Level of an Error submitted through a Support Request: (a) business and financial exposure and impact; (b) work outages; (c) the number of Authorized Users affected; (d) when the functionality is required; and (e) whether a Workaround is available. It is not necessary (nor is it likely) to have a perfect match of each characteristic to categorize a reported Error at a particular Priority Level. Each reported Error will be weighed against each of the characteristics to make an overall assessment of which Priority Level best describes the reported Error. Exhibit A Table 1: Priority Levels Priority 1 (Critical)Priority 2 (High)Priority 3 (Medium)Priority 4 (Low) Business and financial exposure The Error creates a serious business and financial exposure for Licensee. The Error creates a substantial business and financial exposure for Licensee. The Error creates low or little business and financial exposure for Licensee. The Error creates minimal business and financial exposure for Licensee. Work Outage The Error prevents Licensee from completely utilizing the Service to perform critical work and a majority of Licensee's business operations are affected. The Error prevents Licensee from utilizing material portions of the Service and affects a substantial portion of the Licensee's operations. The Error prevents Licensee from utilizing some substantial features of the Service and affects a significant portion of the Licensee's operations, but Licensee is still able to complete most other tasks. The Error prevents Licensee from utilizing some non-substantial portion of the Service, but Licensee's operations are not materially affected and Licensee is able to complete most other tasks. Number of Authorized Users Affected The problem affects a majority of Licensee's Authorized Users. The problem affects a substantial proportion of Licensee's Authorized Users. The problem affects a small number of Licensee's Authorized Users. The problem only affects a minimum number of Licensee's Authorized Users. Timing of Usage The failed function(s) are currently required. The failed function(s) are currently required. The failed function(s) will be required within two weeks. The failed function(s) are not required for more than two weeks. Fischer International Identity, LLC Master Sofhvare License Agreement Page 17 of 21 Workaround There is no Workaround to the Error (i.e., the job cannot be performed in any other way). A Workaround for the Error is available and can be implemented (i.e., the job can be performed in some other way). There may or may not be a Workaround to the Error. There is likely a Workaround to the Error. Response Time to Conduct Initial Conversation Within two hours Within four hours By next (U.S.) business day Within one week 4.Service Levels. The levels of service provided by Fischer to Licensee are described below. Priority 1 Support Requests: Fischer technical support personnel work around the clock until the problem is resolved. It is critical that an Authorized Licensee Representative is available to provide information and to perform actions as required to resolve the Error, or Fischer is permitted to automatically lower the Priority Level of the Support Request to Priority 2. Priority 2 Support Requests: at least one Fischer technical support person is assigned to address the problem during normal business hours. During this time, an Authorized Licensee Representative is required to be available to provide information and to perform actions to resolve the Error. Priority 3 and Priority 4 Support Requests: Fischer will schedule work as appropriate. Resolution may be provided in the next scheduled product release. Support Requests are automatically escalated to higher management levels within Fischer as provided in the table below. Exhibit A Table 1: Fischer Escalation for Support Requests Priority Priority 1 (Critical) Priority 2 (High) Priority 3 (Medium) Priority 4 (Low) Criteria for Escalation Within Fischer Every 2 hours from time of creation or last update Every 4 hours from time of creation or last update No Response to Licensee (which may include plans for a Workaround or a Fix in the next release) has been communicated to Licensee within in 1 business day. No Response to Licensee (which may include plans for a Workaround or a Fix in the next release) has been communicated to Licensee within 1 week. Notification to 1 . Director of Services 2. Support Manager 3. Primary Support Specialist 1 . Support Manager 2. Primary Support Specialist 1 . Support Manager 2. Primary Support Specialist 1 . Support Manager 2. Primary Support Specialist Fischer International Identity, LLC Master Software License Agreement Page 18 of 21 5. Licensee Responsibilities. (a) Prior to initiating a Support Request, the Authorized Licensee Representatives will attempt to resolve the issue by consulting manuals, user guides and on-line help provided by Fischer. (b) The Licensee will report all suspected Errors through the Authorized Licensee Representatives to the Fischer Support staff. Licensee end users may not contact Fischer support resources directly to report a problem or Error. Reports will include the minimum required information sufficient for Fischer to reproduce the suspected Error. Fischer strongly encourages Licensee to report Priority 1 and Priority 2 support requests by telephone to expedite resolution. By default, support requests received through e- forms, fax, or email messages are initially treated as Priority-3 Support Requests and are responded to within 1 business day. (c) An Authorized Licensee Representative is often required to provide information or perform actions so that Fischer can provide support services. In such cases, Licensee will provide the information, the action or a status update showing progress within the same number of hours or days that Fischer is required to provide status updates for the same Error Priority Level. If Licensee fails to report during such time period, Fischer is permitted to automatically lower the priority of the Support Request to the next Priority Level. (d) In certain situations, detailed information regarding the Licensee's system environment may be necessary to affect a timely resolution. In these situations, and other integration/gateway related issues, Fischer may require the involvement of the Licensee's IT resources to provide information necessary to assist in Error or problem resolution. VI. EXCLUSIONS Unless previously approved by Licensor in writing, Licensor shall have no obligation to support: (i) altered or damaged Licensed Software or any portion of the Licensed Software incorporated with or into other software unless expressly approved by Licensor in writing; (ii) Licensed Software that has a General Availability date older than five years; (iii) Licensed Software problems caused by Licensee's negligence, abuse or misapplication, use of Licensed Software other than as specified in Licensor's Documentation or other causes beyond the reasonable control of Licensor; or (iv) Licensed Software installed on any hardware that is not supported by Licensor. Unless expressly approved by Licensor in writing, Licensor shall have no liability to Licensee for any changes in Licensee's hardware which may be necessary to use Licensed Software due to a Workaround or maintenance release. THESE TERMS AND CONDITIONS CONSTITUTE A SERVICE CONTRACT AND NOT A PROGRAM WARRANTY. ALL PROGRAMS AND MATERIALS RELATED THERETO ARE SUBJECT EXCLUSIVELY TO THE WARRANTIES SET FORTH IN THE AGREEMENT. THIS ATTACHMENT IS AN ADDITIONAL PART OF THE AGREEMENT AND DOES NOT CHANGE OR SUPERSEDE ANY TERM OF THE AGREEMENT EXCEPT TO THE EXTENT UNAMBIGUOUSLY CONTRARY THERETO. Fischer International Identity, LLC Master Sofftvare License Agreement Page 19 O/21 EXHIBIT C CUSTOMIZATION AND OTHER SERVICES If requested by Licensee, Licensor shall provide services in exchange for payment of the fees specified for same in the applicable Transaction Document (Statement of Work). Under no circumstances shall Licensor be liable for any disruptions, problems, losses or damages caused by such installation efforts, other than disruptions, problems, losses or damages caused by Licensor's negligence or willful misconduct. Installation, Configuration, and Integration (Implementation Services): See separate Statement of Work. Training: See separate Statement of Work. Other Services: If Licensor agrees to perform additional services, such services will be performed only pursuant to an executed Transaction Document. Fischer International Identity, LLC -n^~\ Master Sofhvare License Agreement rttgQ ZOOJ 21 £, EXHIBIT D SELECTION ANNOUNCEMENT Within thirty (30) days of signing the Master Software License Agreement, Licensee agrees to permit Fischer International to create and distribute a news release announcing Fischer International's selection by Licensee. Licensee has full editorial control over news release content. Fischer International cannot distribute news releases without Licensee's written approval, whether in electronic or hardcopy form. On occasion, Fischer International may ask Licensee to participate in Industry Analyst interviews, independent news agency stories, Fischer International marketing communications, or other news- related opportunity. Licensee agrees to not unreasonably refuse requests as participation is vital to protecting your investment in Fischer International. Fischer International Identity, LLC Master SofMare License Agreement rClgs21 OJ21 I k Fischer International Identity BUILT FOR BUSINESS...YOURS™ CITY OF CARLSBAD CALIFORNIA H • Fischer Identity™ Implementation Product Training Statement of Work (SOW-08292011002) Prepared: September 28, 2011 .Fischer International Identity, LLC 5801 Pelican Bay Blvd. Suite 300 Naples, FL 34108 Phone:+1239.643.1500 Fax: +1 239.643.3772 www.Fischerlnternational.com The information contained herein is Fischer International Identity, LLC Proprietary. Do Not Distribute without prior written authorization from Fischer International Identity, LLC. 1.0 Introduction This Statement of Work (SOW) describes the objectives that will be satisfied by the product training provided by Fischer International Identity, LLC ("Fischer") to the City of Carlsbad California ("City of Carlsbad"). This document will serve as a roadmap for the execution and completion of this project. This Statement of Work is incorporated by reference to the Fischer Master Software License Agreement. Contact Information Contact information for key project participants Fischer International Identity, LLC Primary Contact Phone Number Email Address Secondary Contact Phone Number Email Address Bryan Leber (239)436-2713 btl@fischerinternational.com Brian Vinacco (239) 436-2771 blv@fischerinternational.com City of Carlsbad Project Manager Phone Number Email Address Management Contact Phone Number Email Address Lisa Vante (760) 602-2792 Lisa.Vante@carlsbadca.qov Kerry Jezisek (760) 602-2448 kerrv.iezisek@carlsbadca.qov Work Location Training will be conducted by Fischer remotely via WebEx from the Fischer Headquarters located at 5801 Pelican Bay Blvd., Naples, FL 34108. If required, Fischer will perform training on-site at the City of Carlsbad facility in Carlsbad, CA. Travel costs will be quoted separately, if travel is required. The City of Carlsbad students may also attend training at Fischer's Headquarters. Definitions • Authorized Licensee Representatives: up to ten (10) employees of Licensee who are authorized by both Licensee and Fischer to access Support Services, and submit Work Orders and Work Requests to Fischer. • Project Steering Committee: a panel composed of Fischer and City of Carlsbad project stakeholders who are responsible for providing guidance and approvals, on overall project direction, objectives and costs. Fischer International Identity: Product Training Statement of Work (SOW-08292011002) 2.0 Objectives The objective of this SOW is to provide general product training to the City of Carlsbad on the v4.2 Fischer Identity Product Suite release; as implemented at the City of Carlsbad. This training will give identified City of Carlsbad staff the appropriate knowledge to administer, troubleshoot and extend the functionality of the Identity Management solution, as implemented by Fischer, into the organization. 2.1 Infrastructure Requirements Training will be provided over a consecutive two week period, and is comprised of two self-contained sessions. The training may be conducted either on-site at Fischer headquarters in Naples, FL, or remotely via the WebEx Online Training Center. If training is conducted at the City of Carlsbad's premise, the City of Carlsbad is responsible for providing the following facilities: • Conference Room • Conference Phone • White Board • Projection System • Internet Connection • Training environment infrastructure: o Fischer Product Suite o 1 -3 Target Application Servers o Participant's workstations Note: training-related information technology requirements will be provided after the training location is determined. If training is delivered at the City of Carlsbad's premise, the City will be responsible for providing network access and a system/laptop for each participant. Fischer will be responsible for configuring the infrastructure to support content delivery, and at no additional cost to the City of Carlsbad. Fischer does not anticipate any additional infrastructure to be required; the City of Carlsbad has demonstrated the ability to meet the above requirements. 2.2 Prerequisites City of Carlsbad will be responsible for: • Providing a training environment which supports accessibility to WebEx Online Training Center and audio capability • Ensuring that training participants have a general working knowledge of and ability to interact with both databases and directory services. Note: Any new Session Two participants must have an understanding of the information already covered in the Session One training. Fischer International Identity: Product Training Statement of Work (SOW-08292011002) 2.3 Training Overview Session One The focus of this session is on general support and troubleshooting activities of the Fischer Product Suite. The session addresses: Installing the Environment - by the end of this section students will be able to: • Install the Web Application Server • Install the Identity Components • Identity Server • Provisioning Server Administer Client Organization's Administrative User Interface - by the end of this section students will be able to: • Customize the Add/Modify Profile pages for all Organizations. • Add, Modify, and Delete a User Profile. • Systems: Groups, Password Policies, Dictionary • Server: Workflows, Triggers, WF Instances, Provisioning Events, HA, GIG Listing, Logs, Resources. • Configuration: Configuration, Security Q&A, Notifications • Security Policies • Provisioning Policies • Add Additional Accounts to Users Profile • Create Security Question and Answer Policies Self-Service User Interface Overview - by the end of this section students will be able to: • Create Identity Users • Submit User Initiated Requests: • Password Reset • Request Access • Change Access • Helpdesk: Validate Accounts, Answer Security Questions, Reset Passwords. Workflow & Connectivity Studio - by the end of this section students will be able to: • Create Workflow Process • Unit Test Workflow Process • Deploy Workflow • Solution Test Workflow Process Global Identity Gateway - by the end of this section students will be able to: • Install Global Identity Gateway • Register Global Identity Gateway • Configure Connected Systems to use Global Identity Gateway Fischer International Identity: Product Training Statement of Work (SOW-08292011002) Session Two The focus of this session is to train participants to implement and extend their implemented configuration of Fischer Identity™. The session addresses: Privileged Account Access - by the end of this section students will be able to: • Configuration • Define Account Types • Configure System Owners • Configure Privileged Accounts • Configure Request Users • Request Access • Revoke Access • Remove Access • Post Process Workflow Support Rule-based Provisioning - by the end of this section students will be able to: • Implement logic based workflow rules to determine provisioning activities Enterprise Business Roles and Role Engineering - by the end of this section students will be able to: • Configure Provisioning Policies to grant access based on profile information General Troubleshooting Activities - by the end of this section students will be able to: • Analyze & Review Server Logs « Configure Server Processing Thresholds • Workflow Analysis • Provisioning Events Review If the above Session Two topics have been delivered and time is available, the following topics may also be delivered. • Self-Registration o Configure the ability for a user to register themselves to the Fischer Identity Product • Self-Claiming o Configure the ability for an end user to claim the accounts they wish to manage the password for. • Password Management o Review the implementation approach to providing a Password Management only solution. • User Attribute Management o Configure the ability for users to manage their own profile information o Configure the ability for users to manage other users profile information • Global Variables and Functions o Define workflow objects that can be used by multiple processes Note: Any new Session Two participants must have an understanding of the information already covered in the Session One training. Fischer International Identity: Product Training Statement of Work (SOW-08292011002) 2.4 Deliverables Fischer will deliver the following for up to five students: • Training sessions delivered Monday thru Friday, 9am - 5pm ET • Session One Training, as defined above, plus a session training agenda • Session Two Training, as defined above, plus a session training agenda • Training materials 2.5 Change Control The "Change Control Process" is the process that governs changes to the scope of the Services during the term of this SOW. The Change Control Process will apply to new Services components as well as to enhancements of existing Services. A written "Project Change Request" will be the vehicle for communicating any desired changes to the Services. It will describe the proposed change to Services scope, pricing, resources, tasks, and deliverables; the reason for the change; related assumptions and City of Carlsbad's responsibilities; and the schedule and price impacts of the change. The Fischer Project Manager will draft the Project Change Request document based on discussions with the City of Carlsbad and Fischer project team. Only changes included in a Project Change Request, accepted by both the City of Carlsbad and Fischer, will be implemented. Change Control Procedures This procedure will provide a method to monitor and control variances to the original design specification and to define the impact of that change in time, dollars and project objectives. Identification Reported issues or requested changes generally fall into one of the following categories: 1. Application malfunction ("bug") 2. Revision to approved specifications 3. Extensions of existing functionality 4. Core product modification to provide new functionality 'Bug' fixes will be identified through these Change Control Procedures and are the responsibility of Fischer International Identity in accordance with the signed Fischer Identity Master Software License Agreement. If not related to contractual requirements as outlined in the Project Guidelines, all other issues will be subjected to the Procedures below for resolution. Fischer International Identity: Product Training Statement of Work (SOW-08292011002) Responsibility The City and Fischer will determine who will manage the change control process at the beginning of the project (the Project Steering Committee). Procedures Any Project Team member may report an identified issue or change request. All issues will follow these guidelines for resolution: 1. An email detailing the issue will be submitted to the Fischer Project Leader or the City Project Lead most familiar with the reason for the request. 2. The City Project Lead will analyze the change request and take one of the following actions: a. Refer the request to the Fischer Project Lead for 'bug' evaluation and determination. b. Continue with Change Control Procedures by referring to Project Steering Committee. c. Deny the request by mutual agreement. 3. The Project Steering Committee will review the change request and determine, by mutual agreement, if the issue is a contractual requirement or a change to project scope. If the Project Steering Committee is unable to reach mutual agreement on the nature of the issue, the matter will be escalated to Fischer and the City Executive Sponsors. 4. On agreement by the Project Steering Committee that the change request affects project scope, the Fischer Project Lead will the create a Fischer "Project Change Request "for required design work, and must be approved by the Project Steering Committee before proceeding. 5. Resources will be assigned by the Project Steering Committee to: a. Determine scope of the change. b. Determine project impact. c. Recommend action. d. Estimate in days, dollars and project objectives each task associated with the change; this information is to be included in a specification that includes a requirements definition, a conceptual design and a detail design. e. Submit specification(s) and cost estimate(s) to the City for approval. 6. The Project Steering Committee will determine if additional resources are required to affect the change request and ensure their availability. Upon approval, the Project Steering Committee will create an engagement authorization for new tasks, redirect the project team as necessary, schedule appropriate resources, and reflect impact of changes on the project plan. 7. The approved change request will be closed and transferred to the open action item list for status monitoring. Fischer International Identity: Product Training Statement of Work (SOW-08292011002) 3.0 Project Staffing Fischer will provide the services of the following consultant(s). Technical Trainer • The Fischer Technical Trainer will be responsible for delivering all necessary materials required to meet the objectives of this training session. He/she will be the point of contact for this Statement of Work and will manage requirements and timelines and provide project updates on a regular basis. City of Carlsbad will provide the services of the following project participant(s). Training Coordinator • The Training Coordinator will be responsible for ensuring that both the City of Carlsbad environment and training participants have all of the necessary equipment and schedules to attend the training sessions. He/she will also be the point of contact for the Fischer Technical Trainer. Training Participants • The Training Participants will gain the necessary technical knowledge needed to implement and support the v4.2 Fischer Identity Product suite. 4.0 Estimated Project Costs Based on the requirements defined in this SOW the professional services cost for this project is: $15,000.00. The projected effort involved for implementing the solution as outlined in this SOW will be 80 hours. Any activities that are beyond the scope of this SOW will be invoiced at the rate of US$250.00 per hour and will require the City of Carlsbad's prior written approval before execution. Travel Policy: Travel and associated expenses are not included in this SOW. Fischer will make every effort to remotely perform the activities contained in this SOW to minimize costs. When travel is required, Fischer will attempt to provide an estimate to the City of Carlsbad of expenses when possible, based on the dates required. Any required travel related to this engagement shall adhere to the City's Travel Policy dated 04/04/06. Travel will be invoiced as incurred. Fischer International Identity: Product Training Statement of Work (SOW-08292011002) 5.0 Project Timeline While the duration of each training session is one-week, the projected completion date cannot be provided at this time. Dates will be provide when mutually agreed to by Fischer and the City of Carlsbad. Deliverable Executed Agreement Session One Training Session Two Training Key Dates 10/11/11 Following completion of the Phase Two project Following completion of Session One Training 6.0 Project Acceptance This project will be considered "Accepted" upon the conclusion of Session Two Training. 7.0 Statements and Payment Fischer will invoice the City of Carlsbad for Professional Services as the deliverable milestones are achieved per the table below. Deliverable On Licensee's Execution of this Agreement On completion of Session One Training On completion of Session Two Training On Acceptance Total % of Total 10% 30% 30% 30% 100% Amount Due $1,500.00 $4,500.00 $4,500.00 $4,500.00 15,000.00 Delivery Date 10/11/11 tbd tbd tbd Statements will be sent to the following address: Kerry Jezisek City of Carlsbad 1635 Faraday Ave Carlsbad, CA 92008-1949 Fischer will commence the training outlined in this SOW on completion of the Phase Two project. Fischer International Identity: Product Training Statement of Work (SOW-08292011002) 8.0 Statement of Work Acceptance This Statement of Work may be accepted by either of the following methods: • Complete the signature page below and return a scan of the entire agreement • Send an email indicating acceptance of the SOW, and include the electronic version of the SOW as an attachment. City of Carlsbad hereby acknowledges and accepts the requirements as outlined in this document. This document is accepted this 12th day of October, 201 1 Please confirm acceptance of these terms via signature below or return email. City of Carlsbad California Contact: Gordon Peterson Title: Information Technolo Pi Date: Signature: Fischer International Identity. LLC Contact Title:. Date: : V\. Signature: Fischer International Identity: Product Training Statement of Work (SOW-08292011002) Fischer International Identity 5801 Pelican Bay Blvd. Naples, Florida 34108 +1 239-643-1500 www.Fischerlnternational.com Document Number SOW-08292011002 FISCHER .INTERNATIONAL Built for Business... YoursD Copyright ©2011 Fischer International Identity, LLC. All rights reserved. Fischer International, Fischer International Identity, Managed Identity Services, Managed Identity Services Technology, Identity as a Service, laaS, the Fischer International Logo, Global Identity Architecture, Built for Business...Yours, and all other Fischer product or service names are the trademarks and/or registered trademarks of Fischer International Identity. Fischer International Identity BUILT FOR BUSINESS...YOURS™ CITY OF CARLSBAD CALIFORNIA Fischer Identity™ Implementation Phase Two Statement of Work (SOW-08292011003) Prepared: September 28, 2011 Fischer International Identity, LLC 5801 Pelican Bay Blvd. Suite 300 Naples, FL 34108 Phone:+1239.643.1500 Fax:+1239.643.3772 www.Fischerlnternational.com The information contained herein is Fischer International Identity, LLC Proprietary. Do Not Distribute without prior written authorization from Fischer International Identity, LLC. 1.0 Introduction This Statement of Work (SOW) describes the objectives that will be satisfied by the Identity Management solution provided by Fischer International Identity, LLC ("Fischer") to the City of Carlsbad California ("City of Carlsbad"). This document serves as a roadmap for the execution and completion of this project. This Statement of Work is incorporated by reference to the Fischer Master Software License Agreement. Contact Information Contact information for key project participants Fischer international Identity, LLC Primary Contact Phone Number Email Address Secondary Contact Phone Number Email Address Bryan Leber (239)436-2713 btl(a>fischerinternational.com Brian Vinacco (239) 436-2771 blv@fischerinternational.com City of Carlsbad Project Manager Phone Number Email Address Management Contact Phone Number Email Address Lisa Vante (760) 602-2792 Lisa.Vante@carlsbadca.gov Kerry Jezisek (760) 602-2448 kerry.jezisek(S>carlsbadca.qov Work Location Fischer will perform the majority of the project remotely from the Fischer Headquarters located at 5801 Pelican Bay Blvd., Naples, FL 34108. When required, Fischer will perform services on-site at the City of Carlsbad facility in Carlsbad, CA. Definitions Authorized Licensee Representatives: up to ten (10) employees of Licensee who are authorized by both Licensee and Fischer to access Support Services, and submit Work Orders and Work Requests to Fischer. Project Steering Committee: a panel composed of Fischer and City of Carlsbad project stakeholders who are responsible for providing guidance and approvals, on overall project direction, objectives and costs. Fischer International Identity: Phase Two Statement of Work (SOW-08292011003) 2.0 Objectives The City of Carlsbad's Phase Two implementation of the Fischer Identity Management solution will focus on expanding the use of the Fischer Identity Management features outlined below. • Password Reset & Synchronization • Role & Account Management • Automated Role & Account Management • Access Termination • Identity Compliance & Audit The specific solution requirements for the above modules were defined as a result of the Implementation Workshop held on 8/1/2011 - 8/5/2011. The remaining sections of this document outline the scope of the project. 2.1 Infrastructure Requirements No additional hardware or software is required for Phase 2, Fischer will use the infrastructure established in the "Phase One" project, e specific requirements for this project are defined in greater detail in the "Functional Design Requirements - Phase Two" document. 2.2 Requirements & Assumptions The scope of this project is to implement the project objectives that are defined and detailed in the "Functional Design Requirements - Phase Two" document that was delivered to the City of Carlsbad. These objectives are as follows: • Additional Resources (approximately 291) o Resources requestable from Self-Service Request Portal (202) o Automated resources based on role based provisioning (89) • Legacy Resource Load • Non-Employee End Dates defaulted to sixty (60) days, which includes an email to the manager at day 50 • Implement High Privileged Account Management (HPAM) for five (5) target systems. Fischer has the following assumptions for a successful implementation: • City of Carlsbad has accepted the Phase One solution of this project. • City of Carlsbad will provide remote access to the production platform as required to accomplish the implementation outlined in this SOW. • City of Carlsbad will provide Fischer with a documented set of test cases in order to successfully test/show the solution is accomplishing the above objectives. The test cases for Phase One must be presented to Fischer no later than December 09, 2011. Note: City of Carlsbad has chosen to use its production platform for testing of the Fischer Identity Management solution. The implementation of a separate platform for the purposes of testing is outside the scope of this Statement of Work (SOW). Fischer International Identity: Phase Two Statement of Work (SOW-08292011003) 2.3 Implementation Methodology Fischer will use following implementation methodology to ensure that all project objectives are accomplished in an effective and efficient manner. • Discovery Workshop • Solution Implementation • Solution Validation • Solution Training and Knowledge Transfer Discovery Workshop (Completed) The Discovery Workshop's purpose is to define all desired and applicable solution requirements. During the workshop sessions held at the City (8/1/2011 -8/5/2011), all affected technology areas were represented. The workshop was comprised of two efforts. • The 1st effort: an on-site meeting to define the solution requirements and gather the associated information. The workshop agenda was distributed prior to the workshop for the City of Carlsbad review and acceptance. • The 2nd effort: develop a detailed "Functional Design Requirements - Phase One" document. This document includes the detailed solution requirements and associated product configurations which define the scope of the project. Fischer has provided an implementation project plan including timelines that clearly identifies project tasks and milestones. Solution Implementation Fischer will implement all of the requirements and objectives of the solution per the "Functional Design Requirements - Phase Two" document. Solution Validation The test cases provided by the City of Carlsbad will be used to determine if project requirements and objectives have been achieved. Solution Training and Knowledge Transfer Fischer will train the primary and backup City of Carlsbad, IdM Administrators on the implemented solution upon acceptance of the solution by the City. See Section 2.5. Fischer International Identity: Phase Two Statement of Work (SOW-08292011003) 2.4 Scenarios The scenarios contained here are a result of the Discovery Workshop and are for reference purposes only. Scenario #1 - Resource Request via Self-Service Authenticated The City of Carlsbad has indicated a need for end users to request additional 202 resources from the Fischer Self-Service Authenticated user interface. Both employees and non-employees will have the ability to request additional resources from the user interface. An employee that has "MGT" in their profile or is part of Division 17A, 17B, 17C, 17D, or 21C-3 will have the ability to either request for themselves or "On Behalf Of (OBO) someone else (i.e., any other user within the solution). Scenario #2 - Legacy Resource Load The City of Carlsbad has indicated that all legacy resources will be assigned to the correct beneficiary. Fischer will develop a process that will load the legacy resources that a user has (i.e., additional active directory groups and other application resources). The City of Carlsbad must present Fischer a way of matching users to applications if it is not related to Active Directory groups. Resources are requested from the Fischer Self-Service Authenticated user interface. To ensure a successful resource load to a user's profile, Fischer will create a workflow process that will find and associate all of the user's entitlements based on the user profile. Scenario #3 - Non-Employee End Dates The City of Carlsbad has indicated that by default, it would like to have the end date for all resources the end user received for any user that is not an employee (vendors, contractors, temps, etc.) set to 60 days from the date their Identity Account was created. Additional resources will have the same end date as the associated Identity Account. For example, today if a non-employee is created, the end date would be set sixty (60) days out from today. If an additional resource is requested for this same non-employee next week, the resource's end date would be set for the same date as the Identity Account; this ensures that the resource does not out live the Identity Accont.An auto generated email is sent to the manager of the non-employee at day fifty (50); this email informs the manager that extension of the non-employee's end date will require log in to the Fischer Self-Service Authenticated user interface. Once accessed, the non- employee's end dates forall assignedresources may be extended. Scenario #4 - Automatic Role Based Resources There will be an additional 89 resources that will be given to end user's based on role attribute (i.e., Division, Department, etc). When Fischer receives users' information from the source of authority(provide example systems) if a user's attribute (i.e., Division, Department, Jobcode, etc) matches a resource policy then they will be granted that resource policy automatically. Scenario #5 - High Privileged Account Management (HPAM) The implementation of High Privileged Account Management (HPAM) will be included for five (5) target systems. The target system typesinclude UNIX SSH and Active Directory. Fischer will implement the configurations within the Admin Ul and include System Owner training (end user), which will illustrate the configurations that must be completed by the System Owner to fully configure HPAM. Note: The detailed requirements for the above scenarios have been provided in the delivered "Functional Design Requirements - Phase Two". Fischer International Identity: Phase Two Statement of Work (SOW-08292011003) 2.5 Solution Training and Knowledge Transfer The purpose of Phase Two training is to provide a basic understanding of the licensed Fischer Identity™ product modules and the solution configuration implemented for requirements outlined in this SOW. Fischer will use the implemented solution to review all necessary components and configurations as they pertain to the implemented solution. This training will be provided to the City of Carlsbad throughout the solution vetting and acceptance processes, and will be conducted remotely via the WebEx Online Meeting Center. 2.6 Deliverables Fischer will deliver the following as defined in the "Functional Design Requirements - Phase Two": • Solution Configuration • Solution Testing and Validation • Solution Documention 2.7 Change Control The "Change Control Process" is the process that governs changes to the scope of the Services during the term of this SOW. The Change Control Process will apply to new Services components as well as to enhancements of existing Services. A written "Project Change Request" will be the vehicle for communicating any desired changes to the Services. It will describe the proposed change to Services scope, pricing, resources, tasks, and deliverables; the reason for the change; related assumptions and City of Carlsbad's responsibilities; and the schedule and price impacts of the change. The Fischer Project Manager will draft the Project Change Request document based on discussions with the City of Carlsbad and Fischer project team. Only changes included in a Project Change Request, accepted by both the City of Carlsbad and Fischer, will be implemented. Change Control Procedures This procedure will provide a method to monitor and control variances to the original design specification and to define the impact of that change in time, dollars and project objectives. Identification Reported issues or requested changes generally fall into one of the following categories: 1. Application malfunction ("bug") 2. Revision to approved specifications 3. Extensions of existing functionality 4. Core product modification to provide new functionality 'Bug' fixes will be identified through these Change Control Procedures and are the responsibility of Fischer International Identity in accordance with the signed Fischer Identity Master Software License Agreement. If not related to contractual requirements as outlined in the Project Guidelines, all other issues will be subjected to the Procedures below for resolution. Fischer International Identity: Phase Two Statement of Work (SOW-08292011003) Responsibility The City and Fischer will determine who will manage the change control process at the beginning of the project (the Project Steering Committee). Procedures Any Project Team member may report an identified issue or change request. All issues will follow these guidelines for resolution: 1. An email detailing the issue will be submitted to the Fischer Project Leader or the City Project Lead most familiar with the reason for the request. 2. The City Project Lead will analyze the change request and take one of the following actions: a. Refer the request to the Fischer Project Lead for 'bug' evaluation and determination. b. Continue with Change Control Procedures by referring to Project Steering Committee. c. Deny the request by mutual agreement. 3. The Project Steering Committee will review the change request and determine, by mutual agreement, if the issue is a contractual requirement or a change to project scope. If the Project Steering Committee is unable to reach mutual agreement on the nature of the issue, the matter will be escalated to Fischer and the City Executive Sponsors. 4. On agreement by the Project Steering Committee that the change request affects project scope, the Fischer Project Lead will the create a Fischer "Project Change Request "for required design work, and must be approved by the Project Steering Committee before proceeding. 5. Resources will be assigned by the Project Steering Committee to: a. Determine scope of the change. b. Determine project impact. c. Recommend action. d. Estimate in days, dollars and project objectives each task associated with the change; this information is to be included in a specification that includes a requirements definition, a conceptual design and a detail design. e. Submit specification(s) and cost estimate(s) to the City for approval. 6. The Project Steering Committee will determine if additional resources are required to affect the change request and ensure their availability. Upon approval, the Project Steering Committee will create an engagement authorization for new tasks, redirect the project team as necessary, schedule appropriate resources, and reflect impact of changes on the project plan. 7. The approved change request will be closed and transferred to the open action item list for status monitoring. Fischer International Identity: Phase Two Statement of Work (SOW-08292011003) 3.0 Project Staffing Fischer will provide the services of the following consultant(s). Project Lead / Solution Architect / Implementation Specialist(s) • The Fischer Project Lead will be the point of contact for this SOW. He / she will manage requirements and timelines and provide project updates on a regular basis. • The Fischer Solution Architect will be responsible for ensuring that the solution outlined in the delivered "Functional Design Requirements - Phase One", will meet and satisfy all of the necessary City of Carlsbad requirements and objectives. • The Fischer Implementation Specialist(s) will be responsible for implementing the solution outlined in the delivered "Functional Design Requirements - Phase One". City of Carlsbad will provide the services of the following project participant(s). Project Lead • The City of Carlsbad Project Lead will become a member of the project team, and provide a conduit for Fischer to the necessary City of Carlsbad resources. 4.0 Estimated Project Costs Based on the requirements defined in the "Functional Requirements Document- Phase Two" the professional services cost for this project is: $54,672 The projected effort involved for implementing the solution as outlined in this SOW will be 292 hours. Any activities that are beyond the scope of this SOW, inclusive of changes to the SOW or enhanced / additional solution efforts will be invoiced at the rate of $250.00 USD per hour and will require the City of Carlsbad's prior written approval before execution. Travel Policy: The projected travel and associated expenses for this SOW is: $5,000.00 or 2 on-site visits. To minimize costs Fischer will make every effort to remotely perform the activities contained in this SOW. When travel is required, Fischer will attempt to provide an estimate to the City of Carlsbad of expenses for pre approval when possible.. Any required travel related to this engagement shall adhere to the City's Travel Policy dated 04/04/06. Travel and associated will be invoiced as incurred. 5.0 Project Timeline The estimated project timeline is listed below. Fischer will commence the project within 5 business days of receiving and acceptance of the Phase One SOW from the City of Carlsbad. Deliverable Executed Agreement Solution Configuration Joint Solution Testing and Validation Project Acceptance Key Dates 10/11/11 1/3/12 1/6/12 1/27/12 Fischer International Identity: Phase Two Statement of Work (SOW-08292011003) 6.0 Project Acceptance This project will be considered "Accepted" per the process below. Fischer will place the solution in the City of Carlsbad's production environment after determining that the solution meets the requirements specified in this SOW; Fischer will also provide City of Carlsbad with written notification. The City of Carlsbad shall have 10 business days after receiving written notification to validate the solution and provide Fischer with written notification of acceptance or non-acceptance. The solution is deemed to be accepted if the City of Carlsbad's does not provide written notification within that period. If not accepted, the City of Carlsbad's shall provide written notice thereof to Fischer specifying the reason for non-acceptance. Fischer will use its commercially reasonable best efforts to promptly correct the issues related to non-acceptance. 7.0 Statements and Payment Fischer will invoice the City of Carlsbad for Professional Services as the deliverable milestones are achieved per the table below. Milestone On Licensee's Execution of this Agreement On Solution Configuration On Completion of Solution Testing and Validation On Acceptance Total % of Total 25% 25% 25% 25% 100% Amount Due $13,667.97 $13,667.97 $13,667.97 $13,667.96 $54,671.87 Date 10/11/11 1/3/12 1/6/12 1/27/12 Statements will be sent to the following address: Kerry Jezisek City of Carlsbad 1635 Faraday Ave Carlsbad, CA 92008-1949 Fischer International Identity: Phase Two Statement of Work (SOW-08292011003) 8.0 Statement of Work Acceptance This Statement of Work may be accepted by either of the following methods: • Complete the signature page below and return a scan of the entire agreement • Send an email indicating acceptance of the SOW, and include the electronic version of the SOW as an attachment. City of Carlsbad hereby acknowledges and accepts the requirements as outlined in this document. This document is accepted this 12th day of October, 2011 Please confirm acceptance of these terms via signature below or return email. City of Carlsbad California Contact: Gordon Peterson Title: Information Technology Director Date: \f>{(~jl\\ 1^^^^^^^^^^ Signature: Fischer International Identity. LLC Contact: V. i -\ 10 ^(T-fei-O cS r2-c> £ -A Title: Vfc Q,<. t i^CuM^r C- ( Date: Q(bT M , "S-ft i 1 Signature: Fischer International Identity: Phase Two Statement of Work (SOW-08292011003) Fischer International Identity 5801 Pelican Bay Blvd. Naples, Florida 34108 +1 239-643-1500 www.Fischerl nternational.com FISCHER INTERNATIONAL Built for Business... Yours™ Document Number SOW-08292011003 Copyright © 2011 Fischer International Identity, LLC. All rights reserved. Fischer International, Fischer International Identity, Managed Identity Services, Managed Identity Services Technology, Identity as a Service, laaS, the Fischer International Logo, Global Identity Architecture, Built for Business...Yours, and all other Fischer product or service names are the trademarks and/or registered trademarks of Fischer International Identity. Fischer International Identity BUILT FOR BUSINESS...YOURS™ CITY OF CARLSBAD CALIFORNIA f Fischer Identity™ Implementation Phase One Statement of Work (SOW-08292011001) Prepared: September 28, 2011 Fischer International Identity, LLC 5801 Pelican Bay Blvd. Suite 300 Naples, FL 34108 Phone:+1239.643.1500 Fax: +1 239.643.3772 www.Fischerlnternational.com The information contained herein is Fischer International Identity, LLC Proprietary. Do Not Distribute without prior written authorization from Fischer International Identity, LLC. 1.0 Introduction This Statement of Work (SOW) describes the objectives that will be satisfied by the Identity Management solution provided by Fischer International Identity, LLC ("Fischer") to the City of Carlsbad, California ("City of Carlsbad"). This document serves as a roadmap for the execution and completion of this project. This Statement of Work is incorporated by reference to the Fischer Master Software License Agreement. Contact Information Contact information for key project participants Fischer International Identity, LLC Primary Contact Phone Number Email Address Secondary Contact Phone Number Email Address Bryan Leber (239)436-2713 btl@fischerinternational.com Brian Vinacco (239) 436-2771 blv@fischerinternational.com City of Carlsbad Project Manager Phone Number Email Address Management Contact Phone Number Email Address Lisa Vante (760) 602-2792 Lisa.Vante@carlsbadca.gov Kerry Jezisek (760) 602-2448 kerry.iezisek@carlsbadca.qov Work Location Fischer will perform the majority of the project remotely from the Fischer Headquarters located at 5801 Pelican Bay Blvd., Naples, FL 34108. When required, Fischer will perform services on-site at the City of Carlsbad facility in Carlsbad, CA. Definitions Authorized Licensee Representatives: up to ten (10) employees of Licensee who are authorized by both Licensee and Fischer to access Support Services, and submit Work Orders and Work Requests to Fischer. Project Steering Committee: a panel composed of Fischer and City of Carlsbad project stakeholders who are responsible for providing guidance and approvals, on overall project direction, objectives and costs. Fischer International Identity: Phase One Statement of Work (SOW-08292011001) 2.0 Objectives The City of Carlsbad's Phase One implementation of the Fischer Identity Management solution will focus on the following areas: • Password Reset & Synchronization • Role & Account Management • Automated Role & Account Management • Access Termination • Identity Compliance & Audit The specific solution requirements for the above modules were defined as a result of the Implementation Workshop held 8/1/2011 - 8/5/2011 at the City of Carlsbad. The remaining sections of this document outline the scope of the project. 2.1 Infrastructure Requirements Given that the City of Carlsbad has chosen an On-Premise deployment model, the following hardware and software infrastructure will be required. The acquisition and installation of the infrastructure is outside of this project scope; all infrastructure related work will be performed by the City. These requirements are defined in greater detail in the "Functional Design Requirements - Phase One" document. o Minimum Hardware Requirements • Processor: A dual/quad core Intel or AMD processor is recommended. Consult your operating system documentation for specific requirements. • Communications: TCP/IP for browser to Web server Disk Space: 50-100GB • Memory: 4-6 GB o Minimum Software Requirements • Operating System: One of the following 32-bit or 64-bit versions • Windows Server 2003 (with PowerShell downloaded and installed) • Windows Server 2008 (with PowerShell turned on) • Web Application Server: • Apache Tomcat Web application server Version 6.0.29 (included with the Identity Suite installation) • Internet Information Services (IIS) can be installed by the City of Carlsbad but Fischer is available to configure it. • Java Support: Sun Java Development Kit (JDK) 1.6.0. If not already installed, use the 32-bit version from the Third-Party Components CD (CD-0000-42-ALL). Ensure that JAVA updates are disabled. o Network Infrastructure • Port 443 opened on the firewall to this machine (must be SSL) • This can be any SSL port. If the City of Carlsbad does not want to use the standard 443 SSL port, please provide the port information to Fischer. • Outside address (i.e., NAT outside address to inside address of the server). Only if outside access is needed. • SSL Certificate Fischer International Identity: Phase One Statement of Work (SOW-08292011001) 2.2 Requirements & Assumptions The scope of this project is to implement the project objectives that are defined and detailed in the "Functional Design Requirements - Phase One" document that was delivered to the City of Carlsbad. These objectives are as follows: • Employee Automated Provisioning (Add and Modify) - real-time automatic creation of employee accounts from the source of authority • Employee Automated De-Provisioning (Termination) - real-time automatic revocation of employee accounts from the source of authority • Non-Employee Automated Provisioning (Add/Modify) - real-time automatic creation of non-employee accounts via self-service • Non-Employee Automated Disablement - real-time automatic disablement of non-employee accounts via self-service • Self-Service Request Portal - allowing users to request resources to which they are entitled, with selected requests being routed through an Approval process before provisioning is confirmed; alleviating the need for IT involvement • Password Management - password reset and synchronization, allowing end-user system accounts to have the same password • Automated 60-Day Employee Cleanup - automatic removal of unused accounts and home directories • Help Desk - enabling the IT Department to provide support functions, such as update of user information, modify/delete of security questions, resetting of passwords, validation of accounts • Self-Service Kiosk - enabling end-users to manage their security question answers and passwords; quick & easy access to reset passwords • Automatic Notifications to beneficiaries of provisioning events, such as provision request approvals and denials, Fischer will apply relevant changes to the following directories and accounts: • Carlsbad Active Directory Account • Each user's Home Directory • Vault Active Directory Account • CAD Active Directory Account • Distribution/security groups, as determined for each beneficiary • HP-UX (NIS) Account Fischer has the following assumptions for a successful implementation: • City of Carlsbad will provide a production hardware platform (server, networking, etc) for an on-site deployment. This platform will host all of the necessary components for the Fischer Identity product suite; these components will be required for Fischer to accomplish the above objectives. • Pursuant to Section 1.2.10 of the Master Software License Agreement, City of Carlsbad will provide Fischer with written notice that the system on which the Licensed Materials will be installed (Authorized Computer System) meets the minimum technical requirements specified in Section 2.1 of this SOW. • City of Carlsbad will provide Fischer remote access to the production platforms as required to accomplish the implementation outlined in this SOW. • City of Carlsbad will provide Fischer with a documented set of test cases in order to successfully test/show the solution is accomplishing the above objectives. The test cases for Phase One must be presented to Fischer no later than October 24, 2011. Fischer International Identity: Phase One Statement of Work (SOW-08292011001) Note: City of Carlsbad has chosen to use its production platform for testing of the Fischer Identity Management solution. The implementation of a separate platform for the purposes of testing is outside the scope of this Statement of Work (SOW). 2.3 Implementation Methodology Fischer will use the following implementation methodology to ensure that all project objectives are accomplished in an effective and efficient manner. • Discovery Workshop (completed as the Implementation Workshop) • Solution Implementation • Solution Validation • Solution Training and Knowledge Transfer Discovery Workshop (Completed) The Discovery Workshop's purpose is to define all desired and applicable solution requirements. During the workshop sessions held at the City (8/1/2011 - 8/5/2011), all affected technology areas were represented. The workshop was comprised of two efforts. • The 1st effort: an on-site meeting to define the solution requirements and gather the associated information. The workshop agenda was distributed prior to the workshop for the City of Carlsbad review and acceptance. • The 2nd effort: develop a detailed "Functional Design Requirements - Phase One" document. This document includes the detailed solution requirements and associated product configurations which define the scope of the project. Fischer has provided an implementation project plan including timelines that clearly identifies project tasks and milestones. Solution Implementation Fischer will implement all of the requirements and objectives of the solution per the "Functional Design Requirements - Phase One" document. Solution Validation The test cases provided by the City of Carlsbad will be used to determine if project requirements and objectives have been achieved. Solution Training and Knowledge Transfer Fischer will train the primary and backup City of Carlsbad, IdM Administrators on the implemented solution upon acceptance of the solution by the City. See Section 2.5. Fischer International Identity: Phase One Statement of Work (SOW-08292011001) 2.4 Scenarios The scenarios contained here are a result of the Discovery Workshop and are for reference purposes only. Scenario #1 - Employee User Provisioning For all employees the Source of Authority (SOA) will be a supplied database tableWiew for user provisioning. Fischer will trigger off of this tableWiew via an MSSQL Database trigger in order to successfully provision employee users. Since there will be a trigger on the database, user provisioning will be real-time once an employee record is entered into the tableWiew. Scenario #2 - Non-Employee User Provisioning For all non-employees (i.e., Temps, Contractors, Vendors, and Volunteers) the Source of Authority (SOA) will be the Fischer Self-Service Authenticated "Create User Dialog" feature. Employees with "MGT" in their profile or who are of Division 17A, 17B, 17C, 17D, or 21C-3 will have the ability to start the provisioning process for a non-employee. Scenario #3 - Employee user De-Provisioning (Termination) For all employees the Source of Authority (SOA) will be a supplied database tableWiew for user de- provisioning. Fischer will trigger off of this tableWiew via an MSSQL Database trigger in order to successfully de-provision employee users. User de-provisioning will be real-time, as the supplied database tableWiew will be updated the same day as the termination is supposed to take effect. Since there is a trigger on the database, the trigger will initiate the process the moment the database record is updated. The Personnel Action column will be used to determine that the termination process should begin. Scenario #4 - Non-Employee User De-Provisioning (Disable Access) For all non-employees (i.e., Temps, Contractors, Vendors, and Volunteers) the source of authority (SOA) for user de-provisioning will be the Fischer Self-Service Authenticated "Remove Access" feature. Employees with "MGT" in their profile or who are of Division 17A, 17B, 17C, 17D, or 21 C-3 will have the ability to start the de-provisioning process for a non-employee. Scenario #5 - End User Profile Attribute Update End users of the Fischer product should be able to modify some of their own profile attributes without approval. The modifiable attributes for an end user are: • Home Phone • Mobile Phone • Fax Number • Location Fischer International Identity: Phase One Statement of Work (SOW-08292011001) Scenario #6 - Phone Number Update via Information Technology Personnel When the Information Technology (IT) department has provisioned a phone number for an end user, IT personnel will then log into the Fischer Self-Service Authenticated user interface and update the end user's phone number attribute from within the "Users" tab. Once the change has been submitted, the Identity Modify workflow will be initiated, which will update the Carlsbad Active Directory telephoneNumberattribute. After the update is successful a post process will be initiated which will update the PhoneNumber column in the supplied database table/view and also generate the FlatFile in the following format: EMPLOYEEID||PHONENUMBER|. Scenario #7 - End User Cleanup process There will need to be a terminated user cleanup process. The process will be initiated using the end date of the user's profile that is stored within Fischer. The following will be completed in the end user cleanup process: • 60 days post termination: delete the user's Carlsbad Active Directory account from the termination OU. • 730 days post termination: delete the user's home directory from the network storage location defined by the City of Carlsbad. • 60 days post termination: delete the user's HP-UX account (if applicable). Scenario #8 - Resource Request via Self-Service Authenticated End users will be able to request additional resources from the Fischer Self-Service Authenticated user interface. Both employees and non-employees will have the ability to request additional resources from the user interface. Employees with "MGT" in their profile or who are of Division 17A, 17B, 17C, 17D, or21C-3 will have the ability to request for themselves or on behalf of someone else. Scenario #9 - Legacy Employee Load All legacy employees will have all of their accounts and entitlements loaded into the Fischer solution. Also, during the Discovery Workshop it was determined that every user within the solution should automatically get a Vault Active Directory account. This means that during the load process, if the end user does not have a Vault Active Directory account, Fischer will create that account with the same sAMAccountName as the user's City of Carlsbad Active Directory account. Also, by default there are some entitlements the user should have by virtue of being in a certain division. If the user is missing any of those entitlements, Fischer will assign the user as a member of those entitlements in any of the Active Directory domains. Additionally, users must have a network ID (i.e., Carlsbad Active Directory) to access the new Lawson portal. Fischer will create a network ID for any user that does not currently have one. Scenario #10 - User Rename The Fischer solution must support user renames. For instance, if someone marries and submits the name change to HR for update; the name change record will be updated into the supplied database table\view, which will initiate the rename process. Since the user already exists in the product, Fischer will check to see if there is a different last name. The rename process will be initiated if the last name is determined to be different. Fischer International Identity: Phase One Statement of Work (SOW-08292011001) Scenario #11 - Transfer from Non-Employee to Employee The Fischer solution must support the transition of an individual from non-employee to employee. From time to time a non-employee will be hired on as an employee of the City of Carlsbad. Initially the non-employee would have an Employee ID of TYPE-0001. Once the non-employee is hired as a City employee, they would be given an Employee ID from the HR application. In order to attempt to achieve this requirement, there has been a consensus that Fischer will compare the employees First Name and Last Name to see if any non- employee type has the same first name and last name. If there is a match, there will be an email sent to IT and the processing will stop in order for IT to confirm to see if this match is actually a non-employee to employee match. If it is, particular information will be updated in the Employee SOA table that Fischer is triggering off of. If it is not, the flag will be marked that they are not the same and the processing will continue as normal. Also, within this process they will have the user' Employee ID updated within the Fischer profile if the user is a non-employee turned employee. Scenario #12 - Employee User Modification Employee user modifications should be supported within the solution. Most employee user modifications will come from the supplied database tableWiew. However, certain items (i.e., Phone, Home Phone, Fax, Location and Mobile Phone) will be updated via the Self-Service Authenticated user interface. Scenario #13 - Non-Employee User Modification Non-employee user modifications should be supported within the solution. All changes to a non-employee will be completed from within the Self-Service Authenticated user interface, under the "Users" tab. Employees with "MGT" in their profile or who are of Division 17A, 17B, 11C, 17D, or 21C-3 will have the ability to change information such as Last Name, Department, Division, Position, Location, etc. If the name changes, it will follow the aforementioned rename process. Note: The detailed requirements for the above scenarios have been provided in the delivered "Functional Design Requirements - Phase One". Fischer International Identity: Phase One Statement of Work (SOW-08292011001) 2.5 Training and Knowledge Transfer The purpose of Phase One training is to provide a basic understanding of the licensed Fischer Identity™ product modules and the solution configuration implemented for requirements outlined in this SOW. Fischer will use the implemented solution to review all necessary components and configurations as they pertain to the implemented solution. This training will be provided to the City of Carlsbad throughout the solution vetting and acceptance processes, and will be conducted remotely via the WebEx Online Meeting Center. 2.6 Deliverables Phase One deliverables, as defined in the "Functional Design Requirements - Phase One" are as follows: • Product Installation & Server Configuration • Solution Configuration • Solution Testing and Validation 2.7 Change Control The "Change Control Process" is the process that governs changes to the scope of the Services during the term of this SOW. The Change Control Process will apply to new Services components as well as to enhancements of existing Services. A written "Project Change Request" will be the vehicle for communicating any desired changes to the Services. It will describe the proposed change to Services scope, pricing, resources, tasks, and deliverables; the reason for the change; related assumptions and City of Carlsbad's responsibilities; and the schedule and price impacts of the change. The Fischer Project Manager will draft the Project Change Request document based on discussions with the City of Carlsbad and Fischer project team. Only changes included in a Project Change Request, accepted by both the City of Carlsbad and Fischer, will be implemented. Change Control Procedures This procedure will provide a method to monitor and control variances to the original design specification and to define the impact of that change in time, dollars and project objectives. Identification Reported issues or requested changes generally fall into one of the following categories: 1. Application malfunction ("bug") 2. Revision to approved specifications 3. Extensions of existing functionality 4. Core product modification to provide new functionality 'Bug' fixes will be identified through these Change Control Procedures and are the responsibility of Fischer International Identity in accordance with the signed Fischer Identity Master Software License Agreement. If not related to contractual requirements as outlined in the Project Guidelines, all other issues will be subjected to the Procedures below for resolution. Fischer International Identity: Phase One Statement of Work (SOW-08292011001) Responsibility The City and Fischer will determine who will manage the change control process at the beginning of the project (the Project Steering Committee). Procedures Any Project Team member may report an identified issue or change request. All issues will follow these guidelines for resolution: 1. An email detailing the issue will be submitted to the Fischer Project Leader or the City Project Lead most familiar with the reason for the request. 2. The City Project Lead will analyze the change request and take one of the following actions: a. Refer the request to the Fischer Project Lead for 'bug' evaluation and determination. b. Continue with Change Control Procedures by referring to Project Steering Committee. c. Deny the request by mutual agreement. 3. The Project Steering Committee will review the change request and determine, by mutual agreement, if the issue is a contractual requirement or a change to project scope. If the Project Steering Committee is unable to reach mutual agreement on the nature of the issue, the matter will be escalated to Fischer and the City Executive Sponsors. 4. On agreement by the Project Steering Committee that the change request affects project scope, the Fischer Project Lead will the create a Fischer "Project Change Request "for required design work, and must be approved by the Project Steering Committee before proceeding. 5. Resources will be assigned by the Project Steering Committee to: a. Determine scope of the change. b. Determine project impact. c. Recommend action. d. Estimate in days, dollars and project objectives each task associated with the change; this information is to be included in a specification that includes a requirements definition, a conceptual design and a detail design. e. Submit specification(s) and cost estimate(s) to the City for approval. 6. The Project Steering Committee will determine if additional resources are required to affect the change request and ensure their availability. Upon approval, the Project Steering Committee will create an engagement authorization for new tasks, redirect the project team as necessary, schedule appropriate resources, and reflect impact of changes on the project plan. 7. The approved change request will be closed and transferred to the open action item list for status monitoring. Fischer International Identity: Phase One Statement of Work (SOW-08292011001) 3.0 Project Staffing Fischer will provide the services of the following consultant(s). Project Lead / Solution Architect / Implementation Specialist(s) • The Fischer Project Lead will be the point of contact for this SOW. He / she will manage requirements and timelines and provide project updates on a regular basis. • The Fischer Solution Architect will be responsible for ensuring that the solution outlined in the delivered "Functional Design Requirements - Phase One", will meet and satisfy all of the necessary City of Carlsbad requirements and objectives. • The Fischer Implementation Specialist(s) will be responsible for implementing the solution outlined in the delivered "Functional Design Requirements - Phase One". City of Carlsbad will provide the services of the following project participant(s). Project Lead • The City of Carlsbad Project Lead will become a member of the project team, and provide a conduit for Fischer to the necessary City of Carlsbad resources. 4.0 Estimated Project Costs Based on the requirements defined in the "Functional Requirements Document- Phase One" the professional services cost for this project is: $84,465.63. The projected effort involved for implementing the solution as outlined in this SOW is 450 hours. Any activities that are beyond the scope of this SOW will be invoiced at the rate of US$250.00 per hour and will require the City of Carlsbad's prior written approval, via the project change control process, before execution. Travel Policy: The projected travel and associated expenses for this SOW is: $5,000.00 for 2 on-site visits. To minimize costs Fischer will make every effort to remotely perform the activities contained in this SOW. If additional travel, if required, will require pre-approval by the City. Fischer will provide an estimate to the City of Carlsbad of expenses, based on the dates required. Any required travel related to this engagement shall adhere to the City's Travel Policy dated 04/04/06. Travel will be invoiced as incurred. Fischer International Identity: Phase One Statement of Work (SOW-08292011001) 10 5.0 Project Timeline The estimated project timeline is listed below. Fischer will commence the project within 3 business days of receiving and acceptance of the "Phase One" SOW from the City of Carlsbad. Deliverable Executed Agreement Product Installation & Server Configuration Solution Configuration Joint Solution Testing and Validation Project Completion Key Dates 10/11/11 10/28/11 11/8/11 11/14/11 12/5/11 6.0 Project Acceptance This project will be considered "Accepted" per the process below. Fischer will place the solution in the City of Carlsbad's production environment after determining that the solution meets the requirements specified in this SOW; Fischer will also provide City of Carlsbad with written notification. The City of Carlsbad shall have 10 business days after receiving written notification to validate the solution and provide Fischer with written notification of acceptance or non-acceptance. The solution is deemed to be accepted if the City of Carlsbad's does not provide written notification within that period. If not accepted, the City of Carlsbad's shall provide written notice thereof to Fischer specifying the reason for non- acceptance. Fischer will use its commercially reasonable best efforts to promptly correct the issues related to non-acceptance. 7.0 Statements and Payment Fischer will invoice the City of Carlsbad for Professional Services as the deliverable milestones are achieved per the table below. Milestone On Licensee's Execution of this Agreement On Product Installation & Server Configuration On Solution Configuration On Completion of Solution Testing and Validation On Acceptance Total % of Total 20% 20% 20% 20% 20% 100% Amount Due $16,893.13 $16,893.13 $16,893.13 $16,893.12 $16,893.12 $84,465.63 Date 10/11/11 10/28/11 11/8/11 11/14/11 12/5/11 Statements will be sent to the following address: Kerry Jezisek City of Carlsbad 1635 Faraday Ave Carlsbad, CA 92008-1949 Fischer International Identity: Phase One Statement of Work (SOW-08292011001)11 8.0 Statement of Work Acceptance This Statement of Work may be accepted by either of the following methods: • Complete the signature page below and return a scan of the entire agreement • Send an email indicating acceptance of the SOW, and include the electronic version of the SOW as an attachment. City of Carlsbad hereby acknowledges and accepts the requirements as outlined in this document. This document is accepted this 12th day of October, 201 1 Please confirm acceptance of these terms via signature below or return email. City of Carlsbad California Contact: Gordon Peterson Title: Tn-Fm-ma-f-i nn T^f-hnnl nrjy F)i Date: Signature: Fischer International Identity. LLC Contact: Title: Date: 0 CJT Signature: Fischer International Identity: Phase One Statement of Work (SOW-08292011001)12 Fischer International Identity 5801 Pelican Bay Blvd. Naples, Florida 34108 +1 239-643-1500 www.Fischerlnternational.com FISCHER INTE RNATIONAL Built for Business... Yours™ Document Number SOW-08292011001 Copyright © 2011 Fischer International Identity, LLC. All rights reserved. Fischer International, Fischer International Identity, Managed Identity Services, Managed Identity Services Technology, Identity as a Service, laaS, the Fischer International Logo, Global Identity Architecture, Built for Business... Yours, and all other Fischer product or service names are the trademarks and/or registered trademarks of Fischer International Identity. Fischer International Identity BUILT FOR BUSINESS...YOURS™ CITY OF CARLSBAD CALIFORNIA Fischer Identity™ Implementation Product Training Statement of Work (SOW-08292011002) Prepared: September 28, 2011 r- Fischer International Identity, LLC 5801 Pelican Bay Blvd. Suite 300 Naples, FL 34108 Phone: +1 239.643.1500 Fax: +1 239.643.3772 www.Fischerlnternational.com The information contained herein is Fischer International Identity, LLC Proprietary. Do Not Distribute without prior written authorization from Fischer International Identity, LLC. 1.0 Introduction This Statement of Work (SOW) describes the objectives that will be satisfied by the product training provided by Fischer International Identity, LLC ("Fischer") to the City of Carlsbad California ("City of Carlsbad"). This document will serve as a roadmap for the execution and completion of this project. This Statement of Work is incorporated by reference to the Fischer Master Software License Agreement. Contact Information Contact information for key project participants Fischer International Identity, LLC Primary Contact Phone Number Email Address Secondary Contact Phone Number Email Address Bryan Leber (239)436-2713 btl@fischerinternational.com Brian Vinacco (239) 436-2771 blv@fischerinternational.com City of Carlsbad Project Manager Phone Number Email Address Management Contact Phone Number Email Address Lisa Vante (760) 602-2792 Lisa.Vante@carlsbadca.qov Kerry Jezisek (760) 602-2448 kerrv.iezisek@carlsbadca.qov Work Location Training will be conducted by Fischer remotely via WebEx from the Fischer Headquarters located at 5801 Pelican Bay Blvd., Naples, FL 34108. If required, Fischer will perform training on-site at the City of Carlsbad facility in Carlsbad, CA. Travel costs will be quoted separately, if travel is required. The City of Carlsbad students may also attend training at Fischer's Headquarters. Definitions • Authorized Licensee Representatives: up to ten (10) employees of Licensee who are authorized by both Licensee and Fischer to access Support Services, and submit Work Orders and Work Requests to Fischer. • Project Steering Committee: a panel composed of Fischer and City of Carlsbad project stakeholders who are responsible for providing guidance and approvals, on overall project direction, objectives and costs. Fischer International Identity: Product Training Statement of Work (SOW-08292011002) 2.0 Objectives The objective of this SOW is to provide general product training to the City of Carlsbad on the v4.2 Fischer Identity Product Suite release; as implemented at the City of Carlsbad. This training will give identified City of Carlsbad staff the appropriate knowledge to administer, troubleshoot and extend the functionality of the Identity Management solution, as implemented by Fischer, into the organization. 2.1 Infrastructure Requirements Training will be provided over a consecutive two week period, and is comprised of two self-contained sessions. The training may be conducted either on-site at Fischer headquarters in Naples, FL, or remotely via the WebEx Online Training Center. If training is conducted at the City of Carlsbad's premise, the City of Carlsbad is responsible for providing the following facilities: • Conference Room • Conference Phone • White Board • Projection System • Internet Connection • Training environment infrastructure: o Fischer Product Suite o 1 -3 Target Application Servers o Participant's workstations Note: training-related information technology requirements will be provided after the training location is determined. If training is delivered at the City of Carlsbad's premise, the City will be responsible for providing network access and a system/laptop for each participant. Fischer will be responsible for configuring the infrastructure to support content delivery, and at no additional cost to the City of Carlsbad. Fischer does not anticipate any additional infrastructure to be required; the City of Carlsbad has demonstrated the ability to meet the above requirements. 2.2 Prerequisites City of Carlsbad will be responsible for: • Providing a training environment which supports accessibility to WebEx Online Training Center and audio capability • Ensuring that training participants have a general working knowledge of and ability to interact with both databases and directory services. Note: Any new Session Two participants must have an understanding of the information already covered in the Session One training. Fischer International Identity: Product Training Statement of Work (SOW-08292011002) 2.3 Training Overview Session One The focus of this session is on general support and troubleshooting activities of the Fischer Product Suite. The session addresses: Installing the Environment - by the end of this section students will be able to: • Install the Web Application Server • Install the Identity Components • Identity Server • Provisioning Server Administer Client Organization's Administrative User Interface - by the end of this section students will be able to: • Customize the Add/Modify Profile pages for all Organizations. • Add, Modify, and Delete a User Profile. • Systems: Groups, Password Policies, Dictionary • Server: Workflows, Triggers, WF Instances, Provisioning Events, HA, GIG Listing, Logs, Resources. • Configuration: Configuration, Security Q&A, Notifications • Security Policies • Provisioning Policies • Add Additional Accounts to Users Profile • Create Security Question and Answer Policies Self-Service User Interface Overview - by the end of this section students will be able to: • Create Identity Users • Submit User Initiated Requests: • Password Reset • Request Access • Change Access • Helpdesk: Validate Accounts, Answer Security Questions, Reset Passwords. Workflow & Connectivity Studio - by the end of this section students will be able to: • Create Workflow Process • Unit Test Workflow Process • Deploy Workflow • Solution Test Workflow Process Global Identity Gateway - by the end of this section students will be able to: • Install Global Identity Gateway • Register Global Identity Gateway • Configure Connected Systems to use Global Identity Gateway Fischer International Identity: Product Training Statement of Work (SOW-08292011002) Session Two The focus of this session is to train participants to implement and extend their implemented configuration of Fischer Identity™. The session addresses: Privileged Account Access - by the end of this section students will be able to: • Configuration • Define Account Types • Configure System Owners • Configure Privileged Accounts • Configure Request Users • Request Access • Revoke Access • Remove Access • Post Process Workflow Support Rule-based Provisioning - by the end of this section students will be able to: • Implement logic based workflow rules to determine provisioning activities Enterprise Business Roles and Role Engineering - by the end of this section students will be able to: • Configure Provisioning Policies to grant access based on profile information General Troubleshooting Activities - by the end of this section students will be able to: • Analyze & Review Server Logs • Configure Server Processing Thresholds • Workflow Analysis • Provisioning Events Review If the above Session Two topics have been delivered and time is available, the following topics may also be delivered. • Self-Registration o Configure the ability for a user to register themselves to the Fischer Identity Product • Self-Claiming o Configure the ability for an end user to claim the accounts they wish to manage the password for. • Password Management o Review the implementation approach to providing a Password Management only solution. • User Attribute Management o Configure the ability for users to manage their own profile information o Configure the ability for users to manage other users profile information • Global Variables and Functions o Define workflow objects that can be used by multiple processes Note: Any new Session Two participants must have an understanding of the information already covered in the Session One training. Fischer International Identity: Product Training Statement of Work (SOW-08292011002) 2.4 Deliverables Fischer will deliver the following for up to five students: • Training sessions delivered Monday thru Friday, 9am - 5pm ET • Session One Training, as defined above, plus a session training agenda • Session Two Training, as defined above, plus a session training agenda • Training materials 2.5 Change Control The "Change Control Process" is the process that governs changes to the scope of the Services during the term of this SOW. The Change Control Process will apply to new Services components as well as to enhancements of existing Services. A written "Project Change Request" will be the vehicle for communicating any desired changes to the Services. It will describe the proposed change to Services scope, pricing, resources, tasks, and deliverables; the reason for the change; related assumptions and City of Carlsbad's responsibilities; and the schedule and price impacts of the change. The Fischer Project Manager will draft the Project Change Request document based on discussions with the City of Carlsbad and Fischer project team. Only changes included in a Project Change Request, accepted by both the City of Carlsbad and Fischer, will be implemented. Change Control Procedures This procedure will provide a method to monitor and control variances to the original design specification and to define the impact of that change in time, dollars and project objectives. Identification Reported issues or requested changes generally fall into one of the following categories: 1. Application malfunction ("bug") 2. Revision to approved specifications 3. Extensions of existing functionality 4. Core product modification to provide new functionality 'Bug' fixes will be identified through these Change Control Procedures and are the responsibility of Fischer International Identity in accordance with the signed Fischer Identity Master Software License Agreement. If not related to contractual requirements as outlined in the Project Guidelines, all other issues will be subjected to the Procedures below for resolution. Fischer International Identity: Product Training Statement of Work (SOW-08292011002) Responsibility The City and Fischer will determine who will manage the change control process at the beginning of the project (the Project Steering Committee). Procedures Any Project Team member may report an identified issue or change request. All issues will follow these guidelines for resolution: 1. An email detailing the issue will be submitted to the Fischer Project Leader or the City Project Lead most familiar with the reason for the request. 2. The City Project Lead will analyze the change request and take one of the following actions: a. Refer the request to the Fischer Project Lead for 'bug' evaluation and determination. b. Continue with Change Control Procedures by referring to Project Steering Committee. c. Deny the request by mutual agreement. 3. The Project Steering Committee will review the change request and determine, by mutual agreement, if the issue is a contractual requirement or a change to project scope. If the Project Steering Committee is unable to reach mutual agreement on the nature of the issue, the matter will be escalated to Fischer and the City Executive Sponsors. 4. On agreement by the Project Steering Committee that the change request affects project scope, the Fischer Project Lead will the create a Fischer "Project Change Request "for required design work, and must be approved by the Project Steering Committee before proceeding. 5. Resources will be assigned by the Project Steering Committee to: a. Determine scope of the change. b. Determine project impact. c. Recommend action. d. Estimate in days, dollars and project objectives each task associated with the change; this information is to be included in a specification that includes a requirements definition, a conceptual design and a detail design. e. Submit specification(s) and cost estimate(s) to the City for approval. 6. The Project Steering Committee will determine if additional resources are required to affect the change request and ensure their availability. Upon approval, the Project Steering Committee will create an engagement authorization for new tasks, redirect the project team as necessary, schedule appropriate resources, and reflect impact of changes on the project plan. 7. The approved change request will be closed and transferred to the open action item list for status monitoring. Fischer International Identity: Product Training Statement of Work (SOW-08292011002) 3.0 Project Staffing Fischer will provide the services of the following consultant(s). Technical Trainer • The Fischer Technical Trainer will be responsible for delivering all necessary materials required to meet the objectives of this training session. He/she will be the point of contact for this Statement of Work and will manage requirements and timelines and provide project updates on a regular basis. City of Carlsbad will provide the services of the following project participant(s). Training Coordinator • The Training Coordinator will be responsible for ensuring that both the City of Carlsbad environment and training participants have all of the necessary equipment and schedules to attend the training sessions. He/she will also be the point of contact for the Fischer Technical Trainer. Training Participants • The Training Participants will gain the necessary technical knowledge needed to implement and support the v4.2 Fischer Identity Product suite. 4.0 Estimated Project Costs Based on the requirements defined in this SOW the professional services cost for this project is: $15,000.00. The projected effort involved for implementing the solution as outlined in this SOW will be 80 hours. Any activities that are beyond the scope of this SOW will be invoiced at the rate of US$250.00 per hour and will require the City of Carlsbad's prior written approval before execution. Travel Policy: Travel and associated expenses are not included in this SOW. Fischer will make every effort to remotely perform the activities contained in this SOW to minimize costs. When travel is required, Fischer will attempt to provide an estimate to the City of Carlsbad of expenses when possible, based on the dates required. Any required travel related to this engagement shall adhere to the City's Travel Policy dated 04/04/06. Travel will be invoiced as incurred. Fischer International Identity: Product Training Statement of Work (SOW-08292011002) 5.0 Project Timeline While the duration of each training session is one-week, the projected completion date cannot be provided at this time. Dates will be provide when mutually agreed to by Fischer and the City of Carlsbad. Deliverable Executed Agreement Session One Training Session Two Training Key Dates 10/11/11 Following completion of the Phase Two project Following completion of Session One Training 6.0 Project Acceptance This project will be considered "Accepted" upon the conclusion of Session Two Training. 7.0 Statements and Payment Fischer will invoice the City of Carlsbad for Professional Services as the deliverable milestones are achieved per the table below. Deliverable On Licensee's Execution of this Agreement On completion of Session One Training On completion of Session Two Training On Acceptance Total % of Total 10% 30% 30% 30% 100% Amount Due $1,500.00 $4,500.00 $4,500.00 $4,500.00 15,000.00 Delivery Date 10/11/11 tbd tbd tbd Statements will be sent to the following address: Kerry Jezisek City of Carlsbad 1635 Faraday Ave Carlsbad, CA 92008-1949 Fischer will commence the training outlined in this SOW on completion of the Phase Two project. Fischer International Identity: Product Training Statement of Work (SOW-08292011002) 8.0 Statement of Work Acceptance This Statement of Work may be accepted by either of the following methods: • Complete the signature page below and return a scan of the entire agreement • Send an email indicating acceptance of the SOW, and include the electronic version of the SOW as an attachment. City of Carlsbad hereby acknowledges and accepts the requirements as outlined in this document. This document is accepted this 12th day of October, 2011 Please confirm acceptance of these terms via signature below or return email. City of Carlsbad California Contact: Gordon Peterson Title: In form a-hi on TRrhnnl ogy Pi Date: Signature: Fischer International Identity. LLC Contact: Title: Date: Signature: Fischer International Identity: Product Training Statement of Work (SOW-08292011002) Fischer International Identity 5801 Pelican Bay Blvd. Naples, Florida 34108 +1 239-643-1500 www.Fischerlnternational.com Document Number SOW-08292011002 FISCHER INTERNATIONAL Built for Business... YoursO Copyright © 2011 Fischer International Identity, LLC. All rights reserved. Fischer International, Fischer International Identity, Managed Identity Services, Managed Identity Services Technology, Identity as a Service, laaS, the Fischer International Logo, Global Identity Architecture, Built for Business...Yours, and all other Fischer product or service names are the trademarks and/or registered trademarks of Fischer International Identity. *,:-!•- c Fischer International Identity BUILT FOR BUSINESS... YOURS™ €^ CITY OF - CARLSBAD CALIFORNIA Fischer Identity™ Implementation Phase Two Statement of Work (SOW-08292011003) Prepared: September 28, 2011 Fischer International Identity, LLC 5801 Pelican Bay Blvd. Suite 300 Naples, FL 34108 Phone:+1239.643.1500 Fax:+1239.643.3772 www.Fischerlnternational.com The information contained herein is Fischer International Identity, LLC Proprietary. Do Not Distribute without prior written authorization from Fischer International Identity, LLC. 1.0 Introduction This Statement of Work (SOW) describes the objectives that will be satisfied by the Identity Management solution provided by Fischer International Identity, LLC ("Fischer") to the City of Carlsbad California ("City of Carlsbad"). This document serves as a roadmap for the execution and completion of this project. This Statement of Work is incorporated by reference to the Fischer Master Software License Agreement. Contact Information Contact information for key project participants Fischer International Identity, LLC Primary Contact Phone Number Email Address Secondary Contact Phone Number Email Address Bryan Leber (239)436-2713 btl@fischerinternational.com Brian Vinacco (239) 436-2771 blv@fischerinternational.com City of Carlsbad Project Manager Phone Number Email Address Management Contact Phone Number Email Address Lisa Vante (760) 602-2792 Lisa.Vante@carlsbadca.qov Kerry Jezisek (760) 602-2448 kerrv.iezisek@carlsbadca.qov Work Location Fischer will perform the majority of the project remotely from the Fischer Headquarters located at 5801 Pelican Bay Blvd., Naples, FL 34108. When required, Fischer will perform services on-site at the City of Carlsbad facility in Carlsbad, CA. Definitions Authorized Licensee Representatives: up to ten (10) employees of Licensee who are authorized by both Licensee and Fischer to access Support Services, and submit Work Orders and Work Requests to Fischer. Project Steering Committee: a panel composed of Fischer and City of Carlsbad project stakeholders who are responsible for providing guidance and approvals, on overall project direction, objectives and costs. Fischer International Identity: Phase Two Statement of Work (SOW-08292011003) 2.0 Objectives The City of Carlsbad's Phase Two implementation of the Fischer Identity Management solution will focus on expanding the use of the Fischer Identity Management features outlined below. • Password Reset & Synchronization • Role & Account Management • Automated Role & Account Management • Access Termination • Identity Compliance & Audit The specific solution requirements for the above modules were defined as a result of the Implementation Workshop held on 8/1/2011 - 8/5/2011. The remaining sections of this document outline the scope of the project. 2.1 Infrastructure Requirements No additional hardware or software is required for Phase 2, Fischer will use the infrastructure established in the "Phase One" project, e specific requirements for this project are defined in greater detail in the "Functional Design Requirements - Phase Two" document. 2.2 Requirements & Assumptions The scope of this project is to implement the project objectives that are defined and detailed in the "Functional Design Requirements - Phase Two" document that was delivered to the City of Carlsbad. These objectives are as follows: • Additional Resources (approximately 291) o Resources requestable from Self-Service Request Portal (202) o Automated resources based on role based provisioning (89) • Legacy Resource Load • Non-Employee End Dates defaulted to sixty (60) days, which includes an email to the manager at day 50 • Implement High Privileged Account Management (HPAM) for five (5) target systems. Fischer has the following assumptions for a successful implementation: • City of Carlsbad has accepted the Phase One solution of this project. • City of Carlsbad will provide remote access to the production platform as required to accomplish the implementation outlined in this SOW. • City of Carlsbad will provide Fischer with a documented set of test cases in order to successfully test/show the solution is accomplishing the above objectives. The test cases for Phase One must be presented to Fischer no later than December 09, 2011. Note: City of Carlsbad has chosen to use its production platform for testing of the Fischer Identity Management solution. The implementation of a separate platform for the purposes of testing is outside the scope of this Statement of Work (SOW). Fischer International Identity: Phase Two Statement of Work (SOW-08292011003) 2.3 Implementation Methodology Fischer will use following implementation methodology to ensure that all project objectives are accomplished in an effective and efficient manner. • Discovery Workshop • Solution Implementation • Solution Validation • Solution Training and Knowledge Transfer Discovery Workshop (Completed) The Discovery Workshop's purpose is to define all desired and applicable solution requirements. During the workshop sessions held at the City (8/1/2011 - 8/5/2011), all affected technology areas were represented. The workshop was comprised of two efforts. • The 1st effort: an on-site meeting to define the solution requirements and gather the associated information. The workshop agenda was distributed prior to the workshop for the City of Carlsbad review and acceptance. • The 2nd effort: develop a detailed "Functional Design Requirements - Phase One" document. This document includes the detailed solution requirements and associated product configurations which define the scope of the project. Fischer has provided an implementation project plan including timelines that clearly identifies project tasks and milestones. Solution Implementation Fischer will implement all of the requirements and objectives of the solution per the "Functional Design Requirements - Phase Two" document. Solution Validation The test cases provided by the City of Carlsbad will be used to determine if project requirements and objectives have been achieved. Solution Training and Knowledge Transfer Fischer will train the primary and backup City of Carlsbad, IdM Administrators on the implemented solution upon acceptance of the solution by the City. See Section 2.5. Fischer International Identity: Phase Two Statement of Work (SOW-08292011003) 2.4 Scenarios The scenarios contained here are a result of the Discovery Workshop and are for reference purposes only. Scenario #1 - Resource Request via Self-Service Authenticated The City of Carlsbad has indicated a need for end users to request additional 202 resources from the Fischer Self-Service Authenticated user interface. Both employees and non-employees will have the ability to request additional resources from the user interface. An employee that has "MGT" in their profile or is part of Division 17A, 17B, 17C, 17D, or21C-3 will have the ability to either request for themselves or "On Behalf Of (OBO) someone else (i.e., any other user within the solution). Scenario #2 - Legacy Resource Load The City of Carlsbad has indicated that all legacy resources will be assigned to the correct beneficiary. Fischer will develop a process that will load the legacy resources that a user has (i.e., additional active directory groups and other application resources). The City of Carlsbad must present Fischer a way of matching users to applications if it is not related to Active Directory groups. Resources are requested from the Fischer Self-Service Authenticated user interface. To ensure a successful resource load to a user's profile, Fischer will create a workflow process that will find and associate all of the user's entitlements based on the user profile. Scenario #3 - Non-Employee End Dates The City of Carlsbad has indicated that by default, it would like to have the end date for all resources the end user received for any user that is not an employee (vendors, contractors, temps, etc.) set to 60 days from the date their Identity Account was created. Additional resources will have the same end date as the associated Identity Account. For example, today if a non-employee is created, the end date would be set sixty (60) days out from today. If an additional resource is requested for this same non-employee next week, the resource's end date would be set for the same date as the Identity Account; this ensures that the resource does not out live the Identity Accont.An auto generated email is sent to the manager of the non-employee at day fifty (50); this email informs the manager that extension of the non-employee's end date will require log in to the Fischer Self-Service Authenticated user interface. Once accessed, the non- employee's end dates forall assignedresources may be extended. Scenario #4 - Automatic Role Based Resources There will be an additional 89 resources that will be given to end user's based on role attribute (i.e., Division, Department, etc). When Fischer receives users' information from the source of authority(provide example systems) if a user's attribute (i.e., Division, Department, Jobcode, etc) matches a resource policy then they will be granted that resource policy automatically. Scenario #5 - High Privileged Account Management (HPAM) The implementation of High Privileged Account Management (HPAM) will be included for five (5) target systems. The target system typesinclude UNIX SSH and Active Directory. Fischer will implement the configurations within the Admin Ul and include System Owner training (end user), which will illustrate the configurations that must be completed by the System Owner to fully configure HPAM. Note: The detailed requirements for the above scenarios have been provided in the delivered "Functional Design Requirements - Phase Two". Fischer International Identity: Phase Two Statement of Work (SOW-08292011003) 2.5 Solution Training and Knowledge Transfer The purpose of Phase Two training is to provide a basic understanding of the licensed Fischer Identity™ product modules and the solution configuration implemented for requirements outlined in this SOW. Fischer will use the implemented solution to review all necessary components and configurations as they pertain to the implemented solution. This training will be provided to the City of Carlsbad throughout the solution vetting and acceptance processes, and will be conducted remotely via the WebEx Online Meeting Center. 2.6 Deliverables Fischer will deliver the following as defined in the "Functional Design Requirements - Phase Two": • Solution Configuration • Solution Testing and Validation • Solution Documention 2.7 Change Control The "Change Control Process" is the process that governs changes to the scope of the Services during the term of this SOW. The Change Control Process will apply to new Services components as well as to enhancements of existing Services. A written "Project Change Request" will be the vehicle for communicating any desired changes to the Services. It will describe the proposed change to Services scope, pricing, resources, tasks, and deliverables; the reason for the change; related assumptions and City of Carlsbad's responsibilities; and the schedule and price impacts of the change. The Fischer Project Manager will draft the Project Change Request document based on discussions with the City of Carlsbad and Fischer project team. Only changes included in a Project Change Request, accepted by both the City of Carlsbad and Fischer, will be implemented. Change Control Procedures This procedure will provide a method to monitor and control variances to the original design specification and to define the impact of that change in time, dollars and project objectives. Identification Reported issues or requested changes generally fall into one of the following categories: 1. Application malfunction ("bug") 2. Revision to approved specifications 3. Extensions of existing functionality 4. Core product modification to provide new functionality 'Bug' fixes will be identified through these Change Control Procedures and are the responsibility of Fischer International Identity in accordance with the signed Fischer Identity Master Software License Agreement. If not related to contractual requirements as outlined in the Project Guidelines, all other issues will be subjected to the Procedures below for resolution. Fischer International Identity: Phase Two Statement of Work (SOW-08292011003) Responsibility The City and Fischer will determine who will manage the change control process at the beginning of the project (the Project Steering Committee). Procedures Any Project Team member may report an identified issue or change request. All issues will follow these guidelines for resolution: 1. An email detailing the issue will be submitted to the Fischer Project Leader or the City Project Lead most familiar with the reason for the request. 2. The City Project Lead will analyze the change request and take one of the following actions: a. Refer the request to the Fischer Project Lead for 'bug' evaluation and determination. b. Continue with Change Control Procedures by referring to Project Steering Committee. c. Deny the request by mutual agreement. 3. The Project Steering Committee will review the change request and determine, by mutual agreement, if the issue is a contractual requirement or a change to project scope. If the Project Steering Committee is unable to reach mutual agreement on the nature of the issue, the matter will be escalated to Fischer and the City Executive Sponsors. 4. On agreement by the Project Steering Committee that the change request affects project scope, the Fischer Project Lead will the create a Fischer "Project Change Request "for required design work, and must be approved by the Project Steering Committee before proceeding. 5. Resources will be assigned by the Project Steering Committee to: a. Determine scope of the change. b. Determine project impact. c. Recommend action. d. Estimate in days, dollars and project objectives each task associated with the change; this information is to be included in a specification that includes a requirements definition, a conceptual design and a detail design. e. Submit specification(s) and cost estimate(s) to the City for approval. 6. The Project Steering Committee will determine if additional resources are required to affect the change request and ensure their availability. Upon approval, the Project Steering Committee will create an engagement authorization for new tasks, redirect the project team as necessary, schedule appropriate resources, and reflect impact of changes on the project plan. 7. The approved change request will be closed and transferred to the open action item list for status monitoring. Fischer International Identity: Phase Two Statement of Work (SOW-08292011003) 3.0 Project Staffing Fischer will provide the services of the following consultant(s). Project Lead / Solution Architect / Implementation Specialist(s) • The Fischer Project Lead will be the point of contact for this SOW. He / she will manage requirements and timelines and provide project updates on a regular basis. • The Fischer Solution Architect will be responsible for ensuring that the solution outlined in the delivered "Functional Design Requirements - Phase One", will meet and satisfy all of the necessary City of Carlsbad requirements and objectives. • The Fischer Implementation Specialist(s) will be responsible for implementing the solution outlined in the delivered "Functional Design Requirements - Phase One". City of Carlsbad will provide the services of the following project participant(s). Project Lead • The City of Carlsbad Project Lead will become a member of the project team, and provide a conduit for Fischer to the necessary City of Carlsbad resources. 4.0 Estimated Project Costs Based on the requirements defined in the "Functional Requirements Document- Phase Two" the professional services cost for this project is: $54,672 The projected effort involved for implementing the solution as outlined in this SOW will be 292 hours. Any activities that are beyond the scope of this SOW, inclusive of changes to the SOW or enhanced / additional solution efforts will be invoiced at the rate of $250.00 USD per hour and will require the City of Carlsbad's prior written approval before execution. Travel Policy: The projected travel and associated expenses for this SOW is: $5,000.00 or 2 on-site visits. To minimize costs Fischer will make every effort to remotely perform the activities contained in this SOW. When travel is required, Fischer will attempt to provide an estimate to the City of Carlsbad of expenses for pre approval when possible.. Any required travel related to this engagement shall adhere to the City's Travel Policy dated 04/04/06. Travel and associated will be invoiced as incurred. 5.0 Project Timeline The estimated project timeline is listed below. Fischer will commence the project within 5 business days of receiving and acceptance of the Phase One SOW from the City of Carlsbad. Deliverable Executed Agreement Solution Configuration Joint Solution Testing and Validation Project Acceptance Key Dates 10/11/11 1/3/12 1/6/12 1/27/12 Fischer International Identity: Phase Two Statement of Work (SOW-08292011003) 6.0 Project Acceptance This project will be considered "Accepted" per the process below. Fischer will place the solution in the City of Carlsbad's production environment after determining that the solution meets the requirements specified in this SOW; Fischer will also provide City of Carlsbad with written notification. The City of Carlsbad shall have 10 business days after receiving written notification to validate the solution and provide Fischer with written notification of acceptance or non-acceptance. The solution is deemed to be accepted if the City of Carlsbad's does not provide written notification within that period. If not accepted, the City of Carlsbad's shall provide written notice thereof to Fischer specifying the reason for non-acceptance. Fischer will use its commercially reasonable best efforts to promptly correct the issues related to non-acceptance. 7.0 Statements and Payment Fischer will invoice the City of Carlsbad for Professional Services as the deliverable milestones are achieved per the table below. Milestone On Licensee's Execution of this Agreement On Solution Configuration On Completion of Solution Testing and Validation On Acceptance Total % of Total 25% 25% 25% 25% 100% Amount Due $13,667.97 $13,667.97 $13,667.97 $13,667.96 $54,671.87 Date 10/11/11 1/3/12 1/6/12 1/27/12 Statements will be sent to the following address: Kerry Jezisek City of Carlsbad 1635 Faraday Ave Carlsbad, CA 92008-1949 Fischer International Identity: Phase Two Statement of Work (SOW-08292011003) 8.0 Statement of Work Acceptance This Statement of Work may be accepted by either of the following methods: • Complete the signature page below and return a scan of the entire agreement • Send an email indicating acceptance of the SOW, and include the electronic version of the SOW as an attachment. City of Carlsbad hereby acknowledges and accepts the requirements as outlined in this document. This document is accepted this 12th day of October, 2011 Please confirm acceptance of these terms via signature below or return email. City of Carlsbad California Contact: Gordon Peterson Title: Information Technology Director Date: Signature: Fischer International Identity. LLC Contact: Title: £ Date: QpC 4 > 2-C» I Signature: Fischer International Identity: Phase Two Statement of Work (SOW-08292011003) Fischer International Identity 5801 Pelican Bay Blvd. Naples, Florida 34108 +1 239-643-1500 www.Fischerlnternational.com FISCHER INTERNATIONAL Built for Business... Yours™ Document Number SOW-08292011003 Copyright © 2011 Fischer International Identity, LLC. All rights reserved. Fischer International, Fischer International Identity, Managed Identity Services, Managed Identity Services Technology, Identity as a Service, laaS, the Fischer International Logo, Global Identity Architecture, Built for Business...Yours, and all other Fischer product or service names are the trademarks and/or registered trademarks of Fischer International Identity. II Fischer International Identity BUILT FOR BUSINESS...YOURS™ CITY OF ^ CARLSBAD CALIFORNIA Fischer Identity™ Implementation Phase One Statement of Work (SOW-08292011001) Prepared: September 28, 2011 Fischer International Identity, LLC 5801 Pelican Bay Blvd. Suite 300 Naples, FL 34108 Phone:+1239.643.1500 Fax: +1 239.643.3772 www.Fischerlnternational.com The information contained herein is Fischer International Identity, LLC Proprietary. Do Not Distribute without prior written authorization from Fischer International Identity, LLC. 1.0 Introduction This Statement of Work (SOW) describes the objectives that will be satisfied by the Identity Management solution provided by Fischer International Identity, LLC ("Fischer") to the City of Carlsbad, California ("City of Carlsbad"). This document serves as a roadmap for the execution and completion of this project. This Statement of Work is incorporated by reference to the Fischer Master Software License Agreement. Contact Information Contact information for key project participants Fischer International Identity, LLC Primary Contact Phone Number Email Address Secondary Contact Phone Number Email Address Bryan Leber (239)436-2713 btl@fischerinternational.com Brian Vinacco (239) 436-2771 blv@fischerinternational.com City of Carlsbad Project Manager Phone Number Email Address Management Contact Phone Number Email Address Lisa Vante (760) 602-2792 Lisa.Vante@carlsbadca.qov Kerry Jezisek (760) 602-2448 kerrv.iezisek@carlsbadca.qov Work Location Fischer will perform the majority of the project remotely from the Fischer Headquarters located at 5801 Pelican Bay Blvd., Naples, FL 34108. When required, Fischer will perform services on-site at the City of Carlsbad facility in Carlsbad, CA. Definitions Authorized Licensee Representatives: up to ten (10) employees of Licensee who are authorized by both Licensee and Fischer to access Support Services, and submit Work Orders and Work Requests to Fischer. Project Steering Committee: a panel composed of Fischer and City of Carlsbad project stakeholders who are responsible for providing guidance and approvals, on overall project direction, objectives and costs. Fischer International Identity: Phase One Statement of Work (SOW-08292011001) 2.0 Objectives The City of Carlsbad's Phase One implementation of the Fischer Identity Management solution will focus on the following areas: • Password Reset & Synchronization • Role & Account Management • Automated Role & Account Management • Access Termination • Identity Compliance & Audit The specific solution requirements for the above modules were defined as a result of the Implementation Workshop held 8/1/2011 - 8/5/2011 at the City of Carlsbad. The remaining sections of this document outline the scope of the project. 2.1 Infrastructure Requirements Given that the City of Carlsbad has chosen an On-Premise deployment model, the following hardware and software infrastructure will be required. The acquisition and installation of the infrastructure is outside of this project scope; all infrastructure related work will be performed by the City. These requirements are defined in greater detail in the "Functional Design Requirements - Phase One" document. o Minimum Hardware Requirements • Processor: A dual/quad core Intel or AMD processor is recommended. Consult your operating system documentation for specific requirements. • Communications: TCP/IP for browser to Web server • Disk Space: 50-100GB « Memory: 4-6 GB o Minimum Software Requirements • Operating System: One of the following 32-bit or 64-bit versions • Windows Server 2003 (with PowerShell downloaded and installed) • Windows Server 2008 (with PowerShell turned on) • Web Application Server: • Apache Tomcat Web application server Version 6.0.29 (included with the Identity Suite installation) • Internet Information Services (IIS) can be installed by the City of Carlsbad but Fischer is available to configure it. • Java Support: Sun Java Development Kit (JDK) 1.6.0. If not already installed, use the 32-bit version from the Third-Party Components CD (CD-0000-42-ALL). Ensure that JAVA updates are disabled. o Network Infrastructure • Port 443 opened on the firewall to this machine (must be SSL) • This can be any SSL port. If the City of Carlsbad does not want to use the standard 443 SSL port, please provide the port information to Fischer. • Outside address (i.e., NAT outside address to inside address of the server). Only if outside access is needed. • SSL Certificate Fischer International Identity: Phase One Statement of Work (SOW-08292011001) 2.2 Requirements & Assumptions The scope of this project is to implement the project objectives that are defined and detailed in the "Functional Design Requirements - Phase One" document that was delivered to the City of Carlsbad. These objectives are as follows: • Employee Automated Provisioning (Add and Modify) - real-time automatic creation of employee accounts from the source of authority • Employee Automated De-Provisioning (Termination) - real-time automatic revocation of employee accounts from the source of authority • Non-Employee Automated Provisioning (Add/Modify) - real-time automatic creation of non-employee accounts via self-service • Non-Employee Automated Disablement - real-time automatic disablement of non-employee accounts via self-service • Self-Service Request Portal - allowing users to request resources to which they are entitled, with selected requests being routed through an Approval process before provisioning is confirmed; alleviating the need for IT involvement • Password Management - password reset and synchronization, allowing end-user system accounts to have the same password • Automated 60-Day Employee Cleanup - automatic removal of unused accounts and home directories • Help Desk - enabling the IT Department to provide support functions, such as update of user information, modify/delete of security questions, resetting of passwords, validation of accounts • Self-Service Kiosk - enabling end-users to manage their security question answers and passwords; quick & easy access to reset passwords • Automatic Notifications to beneficiaries of provisioning events, such as provision request approvals and denials, Fischer will apply relevant changes to the following directories and accounts: • Carlsbad Active Directory Account • Each user's Home Directory • Vault Active Directory Account • CAD Active Directory Account • Distribution/security groups, as determined for each beneficiary • HP-UX (NIS) Account Fischer has the following assumptions for a successful implementation: • City of Carlsbad will provide a production hardware platform (server, networking, etc) for an on-site deployment. This platform will host all of the necessary components for the Fischer Identity product suite; these components will be required for Fischer to accomplish the above objectives. • Pursuant to Section 1.2.10 of the Master Software License Agreement, City of Carlsbad will provide Fischer with written notice that the system on which the Licensed Materials will be installed (Authorized Computer System) meets the minimum technical requirements specified in Section 2.1 of this SOW. • City of Carlsbad will provide Fischer remote access to the production platforms as required to accomplish the implementation outlined in this SOW. • City of Carlsbad will provide Fischer with a documented set of test cases in order to successfully test/show the solution is accomplishing the above objectives. The test cases for Phase One must be presented to Fischer no later than October 24, 2011. Fischer International Identity: Phase One Statement of Work (SOW-08292011001) Note: City of Carlsbad has chosen to use its production platform for testing of the Fischer Identity Management solution. The implementation of a separate platform for the purposes of testing is outside the scope of this Statement of Work (SOW). 2.3 Implementation Methodology Fischer will use the following implementation methodology to ensure that all project objectives are accomplished in an effective and efficient manner. • Discovery Workshop (completed as the Implementation Workshop) • Solution Implementation • Solution Validation • Solution Training and Knowledge Transfer Discovery Workshop (Completed) The Discovery Workshop's purpose is to define all desired and applicable solution requirements. During the workshop sessions held at the City (8/1/2011 - 8/5/2011), all affected technology areas were represented. The workshop was comprised of two efforts. • The 1st effort: an on-site meeting to define the solution requirements and gather the associated information. The workshop agenda was distributed prior to the workshop for the City of Carlsbad review and acceptance. • The 2nd effort: develop a detailed "Functional Design Requirements - Phase One" document. This document includes the detailed solution requirements and associated product configurations which define the scope of the project. Fischer has provided an implementation project plan including timelines that clearly identifies project tasks and milestones. Solution Implementation Fischer will implement all of the requirements and objectives of the solution per the "Functional Design Requirements - Phase One" document. Solution Validation The test cases provided by the City of Carlsbad will be used to determine if project requirements and objectives have been achieved. Solution Training and Knowledge Transfer Fischer will train the primary and backup City of Carlsbad, IdM Administrators on the implemented solution upon acceptance of the solution by the City. See Section 2.5. Fischer International Identity: Phase One Statement of Work (SOW-08292011001) 2.4 Scenarios The scenarios contained here are a result of the Discovery Workshop and are for reference purposes only. Scenario #1 - Employee User Provisioning For all employees the Source of Authority (SOA) will be a supplied database tableWiew for user provisioning. Fischer will trigger off of this tableWiew via an MSSQL Database trigger in order to successfully provision employee users. Since there will be a trigger on the database, user provisioning will be real-time once an employee record is entered into the tableWiew. Scenario #2 - Non-Employee User Provisioning For all non-employees (i.e., Temps, Contractors, Vendors, and Volunteers) the Source of Authority (SOA) will be the Fischer Self-Service Authenticated "Create User Dialog" feature. Employees with "MGT" in their profile or who are of Division 17A, 17B, 17C, 17D, or 21C-3 will have the ability to start the provisioning process for a non-employee. Scenario #3 - Employee user De-Provisioning (Termination) For all employees the Source of Authority (SOA) will be a supplied database tableWiew for user de- provisioning. Fischer will trigger off of this tableWiew via an MSSQL Database trigger in order to successfully de-provision employee users. User de-provisioning will be real-time, as the supplied database tableWiew will be updated the same day as the termination is supposed to take effect. Since there is a trigger on the database, the trigger will initiate the process the moment the database record is updated. The Personnel Action column will be used to determine that the termination process should begin. Scenario #4 - Non-Employee User De-Provisioning (Disable Access) For all non-employees (i.e., Temps, Contractors, Vendors, and Volunteers) the source of authority (SOA) for user de-provisioning will be the Fischer Self-Service Authenticated "Remove Access" feature. Employees with "MGT" in their profile or who are of Division 17A, 17B, 17C, 17D, or 21 C-3 will have the ability to start the de-provisioning process for a non-employee. Scenario #5 - End User Profile Attribute Update End users of the Fischer product should be able to modify some of their own profile attributes without approval. The modifiable attributes for an end user are: • Home Phone • Mobile Phone • Fax Number • Location Fischer International Identity: Phase One Statement of Work (SOW-08292011001) Scenario #6 - Phone Number Update via Information Technology Personnel When the Information Technology (IT) department has provisioned a phone number for an end user, IT personnel will then log into the Fischer Self-Service Authenticated user interface and update the end user's phone number attribute from within the "Users" tab. Once the change has been submitted, the Identity Modify workflow will be initiated, which will update the Carlsbad Active Directory telephoneNumberattribute. After the update is successful a post process will be initiated which will update the PhoneNumber column in the supplied database table/view and also generate the FlatFile in the following format: EMPLOYEEID||PHONENUMBER|. Scenario #7 - End User Cleanup process There will need to be a terminated user cleanup process. The process will be initiated using the end date of the user's profile that is stored within Fischer. The following will be completed in the end user cleanup process: • 60 days post termination: delete the user's Carlsbad Active Directory account from the termination OU. • 730 days post termination: delete the user's home directory from the network storage location defined by the City of Carlsbad. • 60 days post termination: delete the user's HP-UX account (if applicable). Scenario #8 - Resource Request via Self-Service Authenticated End users will be able to request additional resources from the Fischer Self-Service Authenticated user interface. Both employees and non-employees will have the ability to request additional resources from the user interface. Employees with "MGT" in their profile or who are of Division 17A, 17B, 17C, 17D, or21C-3 will have the ability to request for themselves or on behalf of someone else. Scenario #9 - Legacy Employee Load All legacy employees will have all of their accounts and entitlements loaded into the Fischer solution. Also, during the Discovery Workshop it was determined that every user within the solution should automatically get a Vault Active Directory account. This means that during the load process, if the end user does not have a Vault Active Directory account, Fischer will create that account with the same sAMAccountName as the user's City of Carlsbad Active Directory account. Also, by default there are some entitlements the user should have by virtue of being in a certain division. If the user is missing any of those entitlements, Fischer will assign the user as a member of those entitlements in any of the Active Directory domains. Additionally, users must have a network ID (i.e., Carlsbad Active Directory) to access the new Lawson portal. Fischer will create a network ID for any user that does not currently have one. Scenario #10 - User Rename The Fischer solution must support user renames. For instance, if someone marries and submits the name change to HR for update; the name change record will be updated into the supplied database table\view, which will initiate the rename process. Since the user already exists in the product, Fischer will check to see if there is a different last name. The rename process will be initiated if the last name is determined to be different. Fischer International Identity: Phase One Statement of Work (SOW-08292011001) Scenario #11 - Transfer from Non-Employee to Employee The Fischer solution must support the transition of an individual from non-employee to employee. From time to time a non-employee will be hired on as an employee of the City of Carlsbad. Initially the non-employee would have an Employee ID of TYPE-0001. Once the non-employee is hired as a City employee, they would be given an Employee ID from the HR application. In order to attempt to achieve this requirement, there has been a consensus that Fischer will compare the employees First Name and Last Name to see if any non- employee type has the same first name and last name. If there is a match, there will be an email sent to IT and the processing will stop in order for IT to confirm to see if this match is actually a non-employee to employee match. If it is, particular information will be updated in the Employee SOA table that Fischer is triggering off of. If it is not, the flag will be marked that they are not the same and the processing will continue as normal. Also, within this process they will have the user' Employee ID updated within the Fischer profile if the user is a non-employee turned employee. Scenario #12 - Employee User Modification Employee user modifications should be supported within the solution. Most employee user modifications will come from the supplied database tableWiew. However, certain items (i.e., Phone, Home Phone, Fax, Location and Mobile Phone) will be updated via the Self-Service Authenticated user interface. Scenario #13 - Non-Employee User Modification Non-employee user modifications should be supported within the solution. All changes to a non-employee will be completed from within the Self-Service Authenticated user interface, under the "Users" tab. Employees with "MGT" in their profile or who are of Division 17A, 17B, 17C, 17D, or21C-3 will have the ability to change information such as Last Name, Department, Division, Position, Location, etc. If the name changes, it will follow the aforementioned rename process. Note: The detailed requirements for the above scenarios have been provided in the delivered "Functional Design Requirements - Phase One". Fischer International Identity: Phase One Statement of Work (SOW-08292011001) 2.5 Training and Knowledge Transfer The purpose of Phase One training is to provide a basic understanding of the licensed Fischer Identity™ product modules and the solution configuration implemented for requirements outlined in this SOW. Fischer will use the implemented solution to review all necessary components and configurations as they pertain to the implemented solution. This training will be provided to the City of Carlsbad throughout the solution vetting and acceptance processes, and will be conducted remotely via the WebEx Online Meeting Center. 2.6 Deliverables Phase One deliverables, as defined in the "Functional Design Requirements - Phase One" are as follows: • Product Installation & Server Configuration • Solution Configuration • Solution Testing and Validation 2.7 Change Control The "Change Control Process" is the process that governs changes to the scope of the Services during the term of this SOW. The Change Control Process will apply to new Services components as well as to enhancements of existing Services. A written "Project Change Request" will be the vehicle for communicating any desired changes to the Services. It will describe the proposed change to Services scope, pricing, resources, tasks, and deliverables; the reason for the change; related assumptions and City of Carlsbad's responsibilities; and the schedule and price impacts of the change. The Fischer Project Manager will draft the Project Change Request document based on discussions with the City of Carlsbad and Fischer project team. Only changes included in a Project Change Request, accepted by both the City of Carlsbad and Fischer, will be implemented. Change Control Procedures This procedure will provide a method to monitor and control variances to the original design specification and to define the impact of that change in time, dollars and project objectives. Identification Reported issues or requested changes generally fall into one of the following categories: 1. Application malfunction ("bug") 2. Revision to approved specifications 3. Extensions of existing functionality 4. Core product modification to provide new functionality 'Bug' fixes will be identified through these Change Control Procedures and are the responsibility of Fischer International Identity in accordance with the signed Fischer Identity Master Software License Agreement. If not related to contractual requirements as outlined in the Project Guidelines, all other issues will be subjected to the Procedures below for resolution. Fischer International Identity: Phase One Statement of Work (SOW-08292011001) Responsibility The City and Fischer will determine who will manage the change control process at the beginning of the project (the Project Steering Committee). Procedures Any Project Team member may report an identified issue or change request. All issues will follow these guidelines for resolution: 1. An email detailing the issue will be submitted to the Fischer Project Leader or the City Project Lead most familiar with the reason for the request. 2. The City Project Lead will analyze the change request and take one of the following actions: a. Refer the request to the Fischer Project Lead for 'bug' evaluation and determination. b. Continue with Change Control Procedures by referring to Project Steering Committee. c. Deny the request by mutual agreement. 3. The Project Steering Committee will review the change request and determine, by mutual agreement, if the issue is a contractual requirement or a change to project scope. If the Project Steering Committee is unable to reach mutual agreement on the nature of the issue, the matter will be escalated to Fischer and the City Executive Sponsors. 4. On agreement by the Project Steering Committee that the change request affects project scope, the Fischer Project Lead will the create a Fischer "Project Change Request "for required design work, and must be approved by the Project Steering Committee before proceeding. 5. Resources will be assigned by the Project Steering Committee to: a. Determine scope of the change. b. Determine project impact. c. Recommend action. d. Estimate in days, dollars and project objectives each task associated with the change; this information is to be included in a specification that includes a requirements definition, a conceptual design and a detail design. e. Submit specification(s) and cost estimate(s) to the City for approval. 6. The Project Steering Committee will determine if additional resources are required to affect the change request and ensure their availability. Upon approval, the Project Steering Committee will create an engagement authorization for new tasks, redirect the project team as necessary, schedule appropriate resources, and reflect impact of changes on the project plan. 7. The approved change request will be closed and transferred to the open action item list for status monitoring. ,dl Identity: Phase One Statement of Work (SOW-08292011001) 3.0 Project Staffing Fischer will provide the services of the following consultant(s). Project Lead / Solution Architect / Implementation Specialist(s) • The Fischer Project Lead will be the point of contact for this SOW. He / she will manage requirements and timelines and provide project updates on a regular basis. • The Fischer Solution Architect will be responsible for ensuring that the solution outlined in the delivered "Functional Design Requirements - Phase One", will meet and satisfy all of the necessary City of Carlsbad requirements and objectives. • The Fischer Implementation Specialist(s) will be responsible for implementing the solution outlined in the delivered "Functional Design Requirements - Phase One". City of Carlsbad will provide the services of the following project participant(s). Project Lead • The City of Carlsbad Project Lead will become a member of the project team, and provide a conduit for Fischer to the necessary City of Carlsbad resources. 4.0 Estimated Project Costs Based on the requirements defined in the "Functional Requirements Document- Phase One" the professional services cost for this project is: $84,465.63. The projected effort involved for implementing the solution as outlined in this SOW is 450 hours. Any activities that are beyond the scope of this SOW will be invoiced at the rate of US$250.00 per hour and will require the City of Carlsbad's prior written approval, via the project change control process, before execution. Travel Policy: The projected travel and associated expenses for this SOW is: $5,000.00 for 2 on-site visits. To minimize costs Fischer will make every effort to remotely perform the activities contained in this SOW. If additional travel, if required, will require pre-approval by the City. Fischer will provide an estimate to the City of Carlsbad of expenses, based on the dates required. Any required travel related to this engagement shall adhere to the City's Travel Policy dated 04/04/06. Travel will be invoiced as incurred. Fischer International Identity: Phase One Statement of Work (SOW-08292011001) 10 5.0 Project Timeline The estimated project timeline is listed below. Fischer will commence the project within 3 business days of receiving and acceptance of the "Phase One" SOW from the City of Carlsbad. Deliverable Executed Agreement Product Installation & Server Configuration Solution Configuration Joint Solution Testing and Validation Project Completion Key Dates 10/11/11 10/28/11 11/8/11 11/14/11 12/5/11 6.0 Project Acceptance This project will be considered "Accepted" per the process below. Fischer will place the solution in the City of Carlsbad's production environment after determining that the solution meets the requirements specified in this SOW; Fischer will also provide City of Carlsbad with written notification. The City of Carlsbad shall have 10 business days after receiving written notification to validate the solution and provide Fischer with written notification of acceptance or non-acceptance. The solution is deemed to be accepted if the City of Carlsbad's does not provide written notification within that period. If not accepted, the City of Carlsbad's shall provide written notice thereof to Fischer specifying the reason for non- acceptance. Fischer will use its commercially reasonable best efforts to promptly correct the issues related to non-acceptance. 7.0 Statements and Payment Fischer will invoice the City of Carlsbad for Professional Services as the deliverable milestones are achieved per the table below. Milestone On Licensee's Execution of this Agreement On Product Installation & Server Configuration On Solution Configuration On Completion of Solution Testing and Validation On Acceptance Total % of Total 20% 20% 20% 20% 20% 100% Amount Due $16,893.13 $16,893.13 $16,893.13 $16,893.12 $16,893.12 $84,465.63 Date 10/11/11 10/28/11 11/8/11 11/14/11 12/5/11 Statements will be sent to the following address: Kerry Jezisek City of Carlsbad 1635 Faraday Ave Carlsbad, CA 92008-1949 Fischer International Identity: Phase One Statement ofWork (SOW-08292011001)11 8.0 Statement of Work Acceptance This Statement of Work may be accepted by either of the following methods: • Complete the signature page below and return a scan of the entire agreement • Send an email indicating acceptance of the SOW, and include the electronic version of the SOW as an attachment. City of Carlsbad hereby acknowledges and accepts the requirements as outlined in this document. This document is accepted this 12th day of October, 2011 Please confirm acceptance of these terms via signature below or return email. City of Carlsbad California Contact: Gordon Peterson Title: Information Technology Director Date: Signature: Fischer International Identity. LLC Contact: Title: Date: QcT Signature: Fischer International Identity: Phase One Statement of Work (SOW-08292011001)12 Fischer International Identity 5801 Pelican Bay Blvd. Naples, Florida 34108 +1 239-643-1500 www.Fischerlnternational.com Document Number SOW-08292011001 FISCHER INTERNATIONAL Built for Business... Yours™ Copyright © 2011 Fischer International Identity, LLC. All rights reserved. Fischer International, Fischer International Identity, Managed Identity Services, Managed Identity Services Technology, Identity as a Service, laaS, the Fischer International Logo, Global Identity Architecture, Built for Business...Yours, and all other Fischer product or service names are the trademarks and/or registered trademarks of Fischer International Identity.