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HomeMy WebLinkAboutC-3746 - PSA for Implementation Services for the OCILJ Records Management/Case Management Data Sharing Project (Coplink)• • AMENDMENT NO.. 1 TO PROFESSIONAL SERVICES AND SOFTWARE LICENSE AGREEMENT WITH KNOWLEDGE COMPUTING CORPORATION FOR IMPLEMENTATION SERVICES FOR THE OCILJ RECORDS MANAGEMENT /CASE MANAGEMENT DATA SHARING PROJECT (COPLINK) THIS AMENDMENT TO THE PROFESSIONAL SERVICES AGREEMENT, entered into this �� day of June, 2006, by and between the CITY OF NEWPORT BEACH, a municipal corporation, (hereinafter referred to as "City ") and KNOWLEDGE COMPUTING CORPORATION, an Arizona State corporation, whose principal place of business is 6601 East Grant Road, Tuscon, AZ 85715, (hereinafter referred to as "Contractor"), is made with reference to the following: RECITALS A. On January 11, 2005, City and Contractor entered into a Professional Services and Software License Agreement, hereinafter referred to as "Agreement", for implementation services for the OCILJ Records Management/Case Management Data Sharing Project, hereinafter referred to as "Project ". The Agreement was in the amount of $1,606,053. B. City desires to enter into this Amendment to reflect additional services not included in the Agreement. C. City desires to compensate Contractor for additional professional services needed for Project. D. City and Contractor mutually desire to amend Agreement, hereinafter referred to as "Amendment No. 1 ", as provided here below. NOW, THEREFORE, the parties hereto agree as follows: Contractor shall perform all services set forth in the attached "Scope of Change" dated June 14, 2006 attached hereto as Exhibit A and incorporated herein by this reference. Total additional compensation to Contractor for services performed pursuant to this Amendment No. 1, including all reimburseable items and subcontractor fees, shall be Twenty-Three Thousand Four Hundred Sixty- Six and No /100ths Dollars ($23,466) and shall be paid within thirty days after all work described in Exhibit A has been satisfactorily completed and the City has been invoiced for the work. Contract Amendment — Knowledge Computing Corporation OCILJ RMS/CMS Data Sharing Project Page 2 of 2 3. Except as expressly modified herein, all other provisions, terms, and covenants set forth in Agreement shall remain unchanged and shall be in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this Amendment on the date first above written. APPROVED AS TO FORM: -"—' Aaron C. Harp, Assistant City Attorney for the City of Newport Beach Attachment: Scope of Change CITY OF NEW RT BEACH, A Municipal C rp ration By: BE McDonell, Chief of Police for the City of Newport Beach IS By:" . " - J Robert qriffin,Vresident Knowle e Compu ' orporation By: ly ___ Chief Financial Officer Knowledge Computing Corporation 0 0 SCOPE OF CHANGE Backup Solution for COPLINK 6/1412006 FORM INFORMATION Subject: Amendment to Professional Services and Software Agreement Scope of Change: Backup Solution for Orange County Integrated Justice COPLINK node Contractor: Knowledge Computing Corporation (KCC) City: City of Newport Beach Initiated by: Stephen Lee, Deloitte Date Logged: 06/13/06 CHANGE DESCRIPTION Reason for Implement a backup solution for the Orange County Integrated Justice COPLINK Change Request: I node including hardware, software and associated services. Recommendation: Direct KCC to work with the City of Santa Ana to implement a backup solution for COPLINK data, which will then be tested by KCC for performance. 1. A duplicate copy of relevant data will be easily accessible to COPLINK users. 2. There will be limited loss of data in the case of a system failure or data Benefits: corruption. 3. In the event of data loss, the backup system will allow for the restoration of the COPLINK node and all associated data to any prior state within the last 60 There are two general options to the one proposed Alternatives, if 1. Continue to operate COPLINK without a backup solution any 2. Implement a more robust solution that provides warm or hot standby capability. (costs of this option are more than $100,000) None Page 1 o 2 CONFIDENTIAL • • Scope of Change Backup Solution for COPLINK 6/14/2006 SCOPE OF WORK Sites Affected: None of the operational sites are impacted in any way. Additional infrastructure will be installed in the OCILJ racks at Santa Ana PD. Schedule Impact: None Cost Impact: $23,466 Implications N not A suitable backup of data will not be available to users. In the event of a system Im lamented: failure or data corruption efficient restoration of data will not be possible. Scope of Work The backup solution installation will include a server with direct attached storage that will automatically be updated by the COPLINK node on a daily basis. In addition, this server will have the capability of storing two complete images of the COPLINK production database. The COPLINK infrastructure will be configured so that: • The COPLINK database will be backed up to the backup server regularly. • Each of the intermediate servers will be configured to store a minimum of 60 days of update transactions. • The backup system will be configured to allow for restoration of the COPLINK node to a prior state, i.e. the state of the node at any day in the last 60 days, to allow for restoration to a point prior to an identified corruption of the node database. As part of the implementation of the backup infrastructure Knowledge Computing Corporation (KCC) will: • Successfully test a restoration of the COPLINK node from the server database, and Support a test of restoration from a tape backup that will be led by Santa Ana personnel. KCC will as part of their maintenance contract: • Provide for a restoration test from the backup server on a semi - annual basis. and Support Santa Ana personnel in a restoration test from tape to the backup server on a semi - annual basis. The City of Santa Ana will be responsible for implementing tape backup equipment software and services to backup the COPLINK backup server. Knowledge Computing Corporation will have no responsibility for the tape backup portion of the implementation. Page 2of 2 CONFIDENTIAL I RPU16208 -DA I ESL312002.340 I ES3000 -EOC 1 ESL3120 -UNI 1 ESM6000 -SA 1 RDL3120089 -CFG 1 CPU2026 -TRM 1 DIM3120041 -1GO 4 HDP146110 -DC4 1 FDD3040 -TH3 1 CBL312001 -FLF I DVW300002 -RX 1 C81.312002 -FLC 1 ESL3120 -PCX 1 E7H100054 -C40 1 ESL3120 -SHP 1 ESL3120 -BZL 1 PWM999 -NO 1 KOF312001 -NO 1 ESL312001 -RPS 2 ESMS000 -FPt 1 WNL2172404 -AM3 1 ESL3120-VRL 1 PWC2WNO 1 CBL3120 -SCS 1 RAD3120111 -128 1 HBP3120101 -MOD 1 FCH752323 -PCX 2 CBL171 -S " Unit 1 ALP360 -2FD 1 OS1,111001 -PAC L 0 ORANGE COUNTY - Coplink ESL3120 Server with ALP360 Tape Unit ACC:1-620P 13C1312C14C13 SVR.ESL 3120 3.4 GH2 ACC:ES3000 DOC on CO ACC:ESL3120 BRAND KR DISK:ESMeK SRVR ASSIST C TRG:3120L 1XS ARO PROC:ESX026 TERM MEM:1 GB 4X256MB DISKA46138 U320 IOK CAR DISKAA4MB FLPPY ES3040 CBL:E53120 FLEX CBL FD CDR:DVD /CDR -W W 1 ROXK3 CBL:3120 CD FLEX ACC: RISER PCIX LAN HW:PRO 1K CU ACC: ESL3120 SHIP GROUP ACCES3120 BEZEL TRG:NO MOUSE TRIG NO KEYBOARD ACC:ES3120 RED PWR SUP DISK:ESMSK BLNK DSKCR 01 ACC:ESL3120 NBO 3YR AMF ACC:ESL3120 V -RAILS TRIG :PW R CRD NOT Fl CBL:31201, SCSI REAR CTRL:PERCUDC 0320 111E DISK: ESL3120 HSBP MOD CTRL2 Channel Fib Ctrl. Cable: PC Sm shortwave. LC-LC connectors. 50mircon Dual SDLT800 Rackmount. FC -AL, dual node INSTL:OSM IEC320 PWR CRD Hardware Subtotal S S S S E E S S E E E S S S S S E S E E S S S S s S E S S 13900 $ 9200 1857.00 $ 1,29200 14.00 S 900 1,11900 S 73900 278.00 E 183.00 2.250.00 S 1.48500 112.00 S 3700 48900 $ 32300 2.236.00 S 369.00 4200 . S 28.00 1400 S 900 13900 S 9200 . 1 00 S 100 - S 19500 S 129.00 S S S 5 34800 S 23000 34800 S 23000 S 14.00 S 900 1,11900 $ 73900 278.00 $ 183.00 2.250.00 $ 1.48500 112.00 S 3700 S 15.02500 S 10.81800 S S 13.00 S 9.00 S 4/26/2006 9200 . 1.29200 32300 1.47600 28 00 900 9200 1 00 W-11", 23000 23000 9.00 73900 183.00 1.48500 7400 10,81800 900 Software'. 1 WSS200304 BEN O/S W2003 SVA FOR ES3000 ENG S 499.00 S 87900 S 87900 1 WSS200304 -DEN OIS:W2003 SVR Doc/Media ENG 1 OSP2000 -20G ACC'W2K 20GO PART UPG 07C S $ S - Software Subtotal S 9".00 j 879.00 1 ST092901 -SUP PS: Storage Consulting Service Services Subtotal Software Total Professional Services Estimated Local Delivery Charge Installation Charges S 1800 00 $ 1 80000 S 1 800 00 $ 879.00 f 1.80000 S 159.00 S 1.500.00 Maintenance'. Maintenance Level IHW and SW): 9xS Next Business Day Response for 3 years rierdware Support 9xS coverage, NBD response Software Support 9x5 coverage Year 1 S 43200 Year 2 1 477 DO Maintenance Subtotal $ 1,909Ao Mamtenance Is quoled to be coterminous with existing Support contract with Orange County • . PROFESSIONAL SERVICES AND SOFTWARE LICENSE AGREEMENT BETWEEN KNOWLEDGE COMPUTING CORPORATION AND THE CITY OF NEWPORT BEACH THIS AGREEMENT is made and entered into as of this U-4ay of January, 2005; by and between the CITY OF NEWPORT BEACH, a Municipal Corporation ( "City'), and KNOWLEDGE COMPUTING CORPORATION,-,an Arizona. State corporation, whose principaLplace of business is 6601 East Grant Road, Tucson, AZ-85715 ("Contractor"), and is made with reference to the following: RECITALS A. City is a municipal corporation 'duly organized and validly existing under the laves of the State of- California °with the power to carry on, its business as it is now being conducted under the statutes of the State of California and the Charter of City. B. Effective January 23, 2004, the City was designated as'the lead agency and granhadministrator for, the monies „allocated by the federal governmenf for the Orange County Integrated, Law and'Justice Project ( OCILJ), a.Countywide effoit and multi- phase'project to integrate the diverse information, systems of all criminal justice agencies in the County; pursuant to a COPS MORE grant. These `grant monies are held by City, on • behalf of the OCILJ Steering - Committee. The OCILJ Steering Committee, chaired by Chief. of Police Bob MCDonell. of Newport Beach, makes decisions on how these funds are distributed. C. The :P.CILJ Project oS.tgerigq Committee. seeks Ao procure 'services from ;a responsible vendor to,provide•a technical and operational solution toemable the Justice agencies in the County to share information' with each oth,er'from their records management systems and related databases, and to provide a set of tools` that 'can be 'used •to analyze the data in those systems across lutisdictional ,boundaries.. This particular and-critical `phase of the OCILJ rNr jest is-i6dwn as:Ifie "RMS /CMS Irfformation Shafng Project, " °anb' is being uritle aken by�tFie C- rty:of N wpoit Beach on behalf'of the justice agencies`in a, o Oran a County, California: . D. The funds currently 'allocated under the COPS Office grant are insufficient to implement the entire'OCILJ Project and complete-the RMS /CMS Information Sharing Project phase. Santa Ana and.Anaheim have received a grant entitled °FY04 Urban Area Security Initiative" (UASI, .grant) ,from the Federal Department of Homeland Security, Office of Domestic Preparedness, through . the State of California, Office of Homeland Security, to enhance Countywide emergency preparedness. The OCILJ Project, especially the portion related to data sharing among agencies within the County, will substantially enhance homeland security by significantly improving the accessibility and speed of transfer of criminal justice and suspect data between the justice agencies within the County, thus improving investigative abilities and reducing the potential for terrorism or terrorists to go undetected. Consequently, the Santa Ana and Anaheim Urban Areas will fund through the FY2004 UASI grant a substantial portion of the project that enables data and information sharing, as well as the data analysis and intelligence tools in support of homeland security objectives. E. The RMS /CMS Information Sharing Project (hereinafter the "Project') includes the supply of required computer software and hardware as well as integration, implementation and training services. There are two objectives for the Project: To enable sharing of data from justice agencies' records management systems (RMS), case management systems (CMS) and related databases across the County in support of enhanced homeland security and criminal investigations. 2. To acquire and implement a set of data analysis /intelligence tools in support of enhanced homeland security and crime - related investigations. The Project is structured in two phases. Phase 1 is designed to establish the data sharing solution and will enable the sharing of citation data from the Orange County Superior Courts, five police records management systems (Newport Beach, Irvine, Garden Grove, Brea, and the new release of the RMS System being implemented to serve the West Covina Consortium, consisting of Cypress, Seal Beach and other Orange County agencies that elect to be served by the Consortium), and the Orange County Sheriffs Department's RMS and LARS (Local Arrest Records System, including their Mug -shot database) systems. Search and analysis tools will be acquired and deployed to allow for the flexible export of data as well as analysis within the provided toolsets. Phase 2 involves the incorporation of the approximately 17 additional remaining police RMS systems throughout the County and portions of the District Attorney and Probation Department's CMS systems into the infrastructure of the Data Solution System. Phase 2 will be performed by Contractor on an incremental, work -order basis as agencies add their RMS system to'the integration platform. F. Contractor is a privately held corporation based in Tucson, Arizona that specializes in developing knowledge management technology, particularly for law enforcement entities. The company's product line includes the COPLINK Solution Suite Software product, which provides law enforcement agencies with advanced information search and analysis capabilities (hereinafter referred to as the "Contractor Software" or "Software "). G. City, as grant administrator for the OCILJ, solicited bids from interested vendors and received a proposal from Contractor. City has reviewed the previous experience and evaluated the expertise of Contractor, and desires to retain Contractor to render professional services for the Project, and to provide the software and hardware components necessary to implement the Project, under the terms and conditions set forth in this Agreement. 2 0 0 H. Contractor possesses the skill, experience, ability, background, certification and knowledge to provide the services described in this Agreement, and City desires to engage Contractor to provide these services. 1. Contractor has entered into a subcontracting agreement with Unisys to provide the computer hardware necessary for the Project. The principal member of Contractor for purposes of the Project -shall be Bradley Cochran, Deployment Manager for Knowledge Computing Corp. NOW,, THEREFORE, it is mutually agreed by and between the undersigned parties as follows- TERM: The term of this Agreement shall commence on the 1 1 day of January 2005, and for service under Phase 1, shall ferminate do the TOT" day of November 2005, unless terminated earlier as set forth herein. The tern of this Agreement for services under Phase 2 shall begin upon the successful completion and final acceptance by °City of services performed under Phase 1, and shall continue for a period of five.years thereafter, unless terminated earlier asset forth herein. .SERVICES TO-BE PERFORMED: Contractor shall-diligentlyperform alfthe servicesin both Phase 1 and Phase 2' as described Wand modified by this Agreement, the Scope of Work° attached hereto as Exhibit A, and'in the Contractor's °Proposal -for:a Records Management System Data Sharirig Solution dated September '15, 2004 (hereinpifer the *Proposal'), attached hereto as °Exhibit B and incorporated herein by reference. `°" The'City may elect tobelete certairstasks ofthe'servicesat its sole discretion. Contractor shall warrant services performed and 'provide maintenance and support`seivii:es fora penijl'of three (3) years from`ftie da(e offinal acceptance of!§eryices perforred under Pfiiie,° 1 of this -Ag eemen't; and ofvndividual systems installed Under Phase 2, according °to the terms described in Exhibit$ A and 6. 2.1 Contractor agrees to provide, among other things, the latest release of the COPLINK software available at the time ° of -installation of the Project, which shall include modifications of the Administrative Tools available °to audit COPLINK use' to the satisfaction of City, by insuring they are configured in such a way as to allow them to be interpreted by the casual user of the system. 2.2 Contractor agrees to provide City with the computer hardware to implement the Project, which is described more fully in Appendix E of 3 Contractor's Proposal. City reserves the right to substitute the hardware configuration specified by the Contractor in its Proposal with a comparable manufacturer as part of final System Design discussions. 2.3 Contractor agrees to provide what is described as "Coplink Light" software for use in a mobile computing environment as part of this Agreement. 3. TIME OF PERFORMANCE Time is of the essence in the performance of services under this Agreement and the services shall be performed to completion according to the schedule outlined in the Proposal. The failure by Contractor to perform the services by this deadline may result in termination of this Agreement by City. Notwithstanding the foregoing, Contractor shall not be responsible for delays due to causes beyond Contractor's reasonable control. However, in the case of any such delay in the services to be provided for the'Project, each party hereby agrees to provide notice to the other party so that all delays can be addressed. 3.1 Contractor shall submit all requests for extensions of time for performance in writing to the Project Administrator not later than ten (10) calendar days after the start of the condition that purportedly causes a delay. The Project Administrator shall review all such requests and may grant reasonable time extensions for unforeseeable delays that are beyond Contractor's control. 3.2 For all time periods not specifically set forth herein, Contractor shall respond in the most expedient and appropriate manner under the circumstances, by either telephone, fax, hand - delivery or mail. 3.3 Contractor and City understand that Phase 2 will likely stretch over a period of several years. RMS systems will be integrated into the final system design as they come on line and stabilize, and the agencies that own them are ready to embark on the integration. As agencies are ready to add their RMS system to the final system platform, a work order will be issued for one or more RMS systems. Work orders may overlap and there may be lulls in implementation activity should agencies not be ready to move their systems to the integrated environment. 4. COMPENSATION TO CONTRACTOR AND BILLING: City shall pay Contractor for both Phase 1 and Phase 2 services on a fixed- price, milestone basis in accordance with the provisions of this Section, the Scope of Work attached as Exhibit A and the Proposal attached hereto as Exhibit B. In no event shall Contractor's compensation exceed the total contract price of One Million, One Hundred Twenty-Three Thousand, Nine Hundred Twenty- Seven Dollars and Seventy-Two Cents ($1,123,927.72) for Phase 1 of this Project without additional authorization from City. Contractor agrees to accept 4 Q • 0 the specified compensation, as more fully set forth herein, as full compensation and remuneration for all costs of services in Phase 1 of the Project, including direct and indirect charges, supervision, labor, equipment, warranties, training, machinery, travel costs, mileage and any other expenses incurred by Contractor. No additional compensation for Phase 1 shall be made during the term of this Agreement without the prior written approval of City. Contractor agree to perform all Phase 2 work for an amount not to exceed the amount of Four Hundred Eighty -Two Thousand, One Hundred Twenty-Five Dollars and Twenty-Eight Cents ($482,126.28), which will be authorized by City on a work -order basis, as provided herein. 4.1 Payment milestones for Phase 1 of the Project shall be as provided below. Terms used are as defined in the Scope of Work: 4.2 Contractor shall submit invoices in accordance with the milestone payment schedule outlined above. Contractor's invoices shall include the name of agency /department where services were provided, a brief description of the services performed and /or the specific milestone in the Scope of Work to which it relates, the date the services wore performed, and a description of any reimbursable expenditures. City shall pay Contractor no later than sixty (60) days after approval of the invoice by City staff. 4.3 City shall reimburse Contractor only for those costs or expenses specifically approved in this Agreement, or specifically approved in advance by City. 4.4 Contractor shall not receive any compensation for Extra Work performed without the prior written authorization of City. As used herein, "Extra Work" means any work that is determined by City to be necessary for the proper completion of the Project, but which is not included within the Proposal and which the parties did not reasonably anticipate would be necessary at the execution of this Agreement. 5 a Milestone Percent of Contract Value 1 Contract signing "5% 2 Acceptance of System Design Documents 10% 3 Installation and demonstration of hardware and Coplink application (with a test database) in a sta in facii ity in Southern California or Arizona. 15% 4 Demonstration of successful search and analysis on data from each system on system in Staging Facility 3% per system to maximum of 24% of contract value 5 Installation of system in OCILJ designated facility 10% 6 Preliminary Acceptance 10% 7 Provisional Acceptance 10% 8 Final Acceptance Balance of Contract Value 4.2 Contractor shall submit invoices in accordance with the milestone payment schedule outlined above. Contractor's invoices shall include the name of agency /department where services were provided, a brief description of the services performed and /or the specific milestone in the Scope of Work to which it relates, the date the services wore performed, and a description of any reimbursable expenditures. City shall pay Contractor no later than sixty (60) days after approval of the invoice by City staff. 4.3 City shall reimburse Contractor only for those costs or expenses specifically approved in this Agreement, or specifically approved in advance by City. 4.4 Contractor shall not receive any compensation for Extra Work performed without the prior written authorization of City. As used herein, "Extra Work" means any work that is determined by City to be necessary for the proper completion of the Project, but which is not included within the Proposal and which the parties did not reasonably anticipate would be necessary at the execution of this Agreement. 5 a 4.5 Mutually agreed costs for Extra Work shall be added to the total contract price for the applicable phase. Payment shall be incorporated into the milestone payment schedule in the same percentages as outlined for the original contract. 4.6 Notwithstanding any other provision of this Agreement, when payments made by City equal 90% of the total Phase 1 contract price provided for in this Agreement, no further payments shall be made until City has accepted the final Phase 1 work under this Agreement. 4.7 Phase 2 will be contracted on a work -order basis as agencies add their RMS system to the integration platform. Payments for Phase 2 work shall be based on the Phase 2 pricing included in Exhibit B, Contractor's proposal, and shall utilize a payment schedule with a milestone model as documented above. 4.8 Contractor acknowledges and agrees that in no event shall City's general fund monies be used to pay for services in either Phase 1 or 2 of the Project. City is acting solely as the administrator of the COPS MORE grant funds, which are held in trust by City on behalf of the OCILJ Steering Committee. In the event these funds are inadequate to pay for the costs of the Project, Contractor acknowledges and agrees that neither City nor its general fund shall be required to make up the shortfall. 5. SOFTWARE LICENSE Contractor hereby grants to City, a perpetual, non - exclusive and non- transferable license to use for the internal business purposes of City and participants in the OCILJ as designated by City any and all Contractor Software provided to City under this Agreement in accordance with the terms and conditions set forth in this Agreement. 6. PROJECT MANAGER Contractor shall designate a Project Manager, who shall coordinate all phases of the Project. This Project Manager shall be available to City at all reasonable times during the Agreement term. Contractor has designated Bradley Cochran to be its Project Manager. Contractor shall not remove or reassign the Project Manager or any personnel listed in Exhibit B or assign any new or replacement _ personnel to the Project without the prior written consent of City. City's approval shall not be unreasonably withheld with respect to the removal or assignment of non -key personnel. Contractor, at the sole discretion of City, shall remove from the Project any of its personnel assigned to the performance of services upon written request of City. Contractor warrants that it will continuously furnish the necessary personnel to complete the Project on a timely basis as contemplated by this Agreement. 6 7. ADMINISTRATION 0 This Agreement will be administered by the Newport Beach Police Department. Captain Paul Henisey shall be the Project Administrator and shall have the authority to act for City under this Agreement. The Project Administrator or his authorized representative shall represent City in all matters pertaining to the services to be rendered pursuant to this Agreement. 8. CITY'S RESPONSIBILITIES In order to assist Contractor in the execution of its responsibilities under this Agreement, City agrees to, where applicable: Provide access to, and upon request of Contractor, one copy of existing relevant information on file at City. City will provide all such materials in a timely manner so as not to cause delays in Contractor's work schedule. 9. STANDARD OF CARE 9.1 All of the services shall be performed by Contractor or under Contractor's supervision. Contractor represents that it possesses the professional and technical personnel required to perform the services required by this Agreement, and that it will perform all services in a manner commensurate with community professional standards. All services shall be performed by qualified and experienced personnel who are not employed by City, nor have any contractual relationship with City. 9.2 Contractor represents and warrants to City that it has or shall obtain all licenses, permits, qualifications, insurance and approvals of whatsoever nature that are legally required of Contractor to practice its profession. Contractor further represents and warrants to City that Contractor shall, at its sole cost and expense, keep in effect or obtain at all times dWring the term of this Agreement, any and all licenses, permits, insurance and other approvals that are legally required of Contractor to practice its profession. 9.3 Contractor shall not be responsible for delay, nor shall Contractor be responsible for damages or be in default or deemed to be in default by reason of strikes, lockouts, accidents, or acts of God, or the failure of City to furnish timely information or to approve or disapprove Contractor's work promptly, or delay or faulty performance by City, contractors, or governmental agencies. 10.. HOLD HARMLESS To the fullest extent permitted by law, Contractor shall indemnify, defend and hold harmless City, its City Council, boards and commissions, officers, agents and employees (collectively, the "Indemnified Parties) from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, II without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a Claim; collectively, "Claims'), which may arise from or in any manner relate, directly or indirectly, to any work performed or services provided under this Agreement including, without limitation, defects in workmanship or materials and /or design defects [if the design originated with Contractor]) or Contractor's presence or activities conducted on the Project, including the negligent and /or willful acts, errors and/or omissions of Contractor, its principals, officers, agents, employees, vendors, suppliers, consultants, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable or any or all of them. Notwithstanding the foregoing, nothing herein shall be construed to require Contractor to indemnify the Indemnified Parties from any Claim arising from the sole negligence or willful misconduct of the Indemnified Parties. Nothing in this indemnity shall be construed as authorizing any award of attorney's fees in any action on or to enforce the terms of this Agreement. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Contractor. 11. INDEPENDENT CONTRACTOR It is understood that City retains Contractor on an independent contractor basis and Contractor is not an agent or employee of City. The manner and means of conducting the work are under the control of Contractor, except to the extent they are limited by statute, rule or regulation and the expressed terms of this Agreement. Nothing in this Agreement shall be deemed to constitute approval for Contractor or any of Contractor's employees or agents, to be the agents or employees of City. Contractor shall have the responsibility for and control over the means of performing the work, provided that Contractor is in compliance with the terms of this Agreement. Anything in this Agreement that may appeal to give City the right to direct Contractor as to the details of the performance or to exercise a measure of control over Contractor shall mean only that Contractor shall follow the desires of City with respect to the results of the services. 12. COOPERATION Contractor agrees to work closely and cooperate fully with City's designated Project Administrator and any other agencies, cities and other governmental entities that may have jurisdiction or interest in the work to be performed. City agrees to cooperate with the Contractor on the Project. 13. CITY. POLICY Contractor shall discuss and review all matters relating to policy and Project direction with City's Project Administrator in advance of all critical decision points in order to ensure the Project proceeds in a manner consistent with City goals and policies. 8 %ti 0 • 14. PROGRESS Contractor is responsible for keeping the Project Administrator and /or his duly authorized designee informed on a regular basis regarding the status and progress of the Project, activities performed and planned, and any meetings that have been scheduled or are desired. 15. INSURANCE Without limiting Contractor's indemnification of City, and prior to commencement of work, Contractor shall obtain, provide and maintain at its own expense during the term of this Agreement, a policy or policies of liability insurance of the type and amounts described below and in a form satisfactory to City. A. Certificates of Insurance. Contractor shall provide certificates of insurance with original endorsements to City as evidence of the insurance coverage required herein. Insurance certificates must be approved by City's Risk Manager prior to commencement of performance or issuance of any permit. Current certification of insurance shall be kept on file with City at all times during the term of this Agreement. B. Signature. A person authorized by the insurer to bind coverage on its behalf shall sign certification of all required policies. C. Acceptable Insurers. All insurance policies shall be issued by an insurance company currently authorized by the Insurance Commissioner to transact business of insurance in the State of California, with an assigned policyholders' Rating of A (or higher) and Financial Size Category Class VII (or larger) in accordance with the latest edition of Best's Key Rating Guide, unless otherwise approved by the CITY's Risk Manager. C D. Coverage Requirements. i. Workers' Compensation Coverage. Contractor shall maintain Workers' Compensation Insurance and Employer's Liability Insurance for his or her employees in accordance with the laws of the State of California. In addition, Contractor shall require each subcontractor to similarly maintain Workers' Compensation Insurance and Employer's Liability Insurance in accordance with the laws of the State of California for`all of the subcontractor's employees. Any notice of cancellation or non - renewal of all Workers' Compensation policies must be received by City at least thirty (30) calendar days prior to such change. The insurer shall agree to waive all rights of subrogation against City, its officers, agents, employees and volunteers for losses arising from work performed by Contractor for City. 4 E. ii. General Liability Coverage. Contractor shall maintain commercial general liability insurance in an amount not less than one million dollars ($1,000,000) per occurrence for bodily injury, personal injury, and property damage, including without limitation, contractual liability. If commercial general liability insurance or other form with a general aggregate limit is used, either the general aggregate limit shall apply separately to the work to be performed under this Agreement, or the general aggregate limit shall be at least twice the required occurrence limit. iii. Automobile Liability Coverage. Contractor shall maintain automobile insurance covering bodily injury and property damage for all activities of the Contractor arising out of or in connection with work to be performed under this Agreement, including coverage for any owned, hired, non -owned or rented vehicles, in an amount not less than one million dollars ($1,000,000) combined single limit for each occurrence. iv. Professional Errors and Omissions Insurance. Consultant shall maintain. professional errors and omissions insurance, which covers the services to be performed in connection with this Agreement in the minimum amount of one million dollars ($1,000,000). Endorsements. Each general liability and automobile liability insurance policy shall be endorsed with the following specific language: The City, its elected or appointed officers, officials, employees, agents and volunteers are to be covered as additional insureds with respect to liability arising out of work performed by or on behalf of the Contractor. This policy shall be considered primary insurance as respects to City, its elected or appointed officers, officials, employees, agents and volunteers as respects to all claims, losses, or liability arising directly or indirectly from the Contractor's operations or services provided to City. Any insurance maintained by City, including any self - insured retention City may have, shall be considered excess insurance only and not contributory with the insurance provided hereunder. iii. This insurance shall act for each insured and additional insured as though a separate policy had been written for each, except with respect to the limits of liability of the insuring company. iv. The insurer waives all rights of subrogation against City, its elected or appointed officers, officials, employees, agents and volunteers. 10 lk 9 V. Any failure to comply with reporting provisions of the policies shall not affect coverage provided to City, its elected or appointed officers, officials, employees, agents or volunteers. vi. The insurance provided by this policy shall not be suspended, voided, canceled, or reduced in coverage or in limits, by either party except after thirty (30) calendar days written notice has been received by City. F. Timely Notice of Claims. Contractor shall give City prompt and timely notice of claim made or suit instituted arising out of or resulting from Contractor's performance under this Agreement. G. Additional Insurance. Contractor shall also procure and maintain, at its own cost and expense, any additional kinds of insurance, which in its own judgment may be necessary for its proper protection and prosecution of the work. 16. PROHIBITION AGAINST ASSIGNMENTS AND TRANSFERS Except as specifically authorized under this Agreement, the services to be provided under this Agreement shall not be assigned, transferred, contracted or subcontracted out without the prior written approval of City. Any of the following shall be construed as an assignment: The sale, assignment, transfer or other disposition of any of the issued and outstanding capital stock of Contractor, or of the interest of any general partner or joint venturer or syndicate member or cotenant if Contractor is a partnership or joint- venture or syndicate or cotenancy, which shall result in changing the control of Contractor. Control means fifty percent (50 %) or more of the voting power, or twenty -five percent (25 %) or more of the assets of the corporation, partnership or joint venture. 17. SUBCONTRACTING City and Contractor agree that subcontractors may be used to complete the work outlined in the Scope of Services. The subcontractors authorized by City to perform work on this Project include Unisys, and. are identified in Exhibit B. Contractor shall be fully responsible to City for all acts and omissions of the subcontractors. Nothing in this Agreement shall create any contractual relationship between .City and subcontractor nor shall it create any obligation on the part of City to pay or to see to the payment of any monies due to any such subcontractor other than as otherwise required by law. Except as specifically authorized herein, the services to be provided under this Agreement shall not be otherwise assigned, transferred, contracted or subcontracted out without the prior written approval of City. 11 6 18. OWNERSHIP / INTELLECTUAL PROPERTY (A) Contractor has created, acquired or otherwise has rights in, and may, in connection with the performance of services hereunder, employ, provide, modify, create, acquire or otherwise obtain rights in, various concepts, ideas, methods, methodologies, procedures, processes, know -how, techniques, models, templates, the generalized features of the structure, sequence and organization of software, user interfaces and screen designs, general purpose consulting and software tools, utilities and routines, and logic, coherence and methods of operation of systems (collectively, "Contractor Technology "). To the extent that Contractor uses any of its intellectual or other property in connection with the performance of its services, Contractor shall retain all right, title and interest in and to such property, and, except for the license expressly granted, City shall acquire no right, title or interest in or to such property. (B) City has permanent ownership of all directly connected and derivative materials first produced under this Agreement in connection with the Services by Contractor for delivery to the City, excluding any Contractor Technology contained therein. All documents, reports and other incidental or derivative work or materials furnished hereunder shall become and remain the sole property of the City and may be used by the City as it may require without additional cost to the City. Contractor without the express written consent of the City shall use none of the documents, reports and other incidental or derivative .work or furnished materials except in providing the Services hereunder. All materials, documents, data or information obtained from City data files or any City medium furnished to Contractor in the performance of this Agreement will at all times remain the property of the City. (C) City shall have the right to use the trademarks and name of Contractor, but shall not have the right to use the names of the inventors of the Contractor's Software without the written consent of the party whose name is desired to be used. 19. COMPUTER DELIVERABLES All system and project management documentation including (but not limited to: design documents, as -built documentation, working papers, test results, training materials and other written documents shall be delivered in hard copy and transmitted to City in an electronic version using Microsoft Office Products, including Microsoft Word, Excel and Project readable by City. 20. SOURCE CODE ESCROW All application source code authored by the Contractor shall be placed in a source code escrow account acceptable to the City. All updates to the software provided to the City and its assigns and agents shall be placed into the account as long as 12 the City and its assigns have a valid maintenance support arrangement with the Contractor. In the event that the Contractor becomes insolvent or is found to be in breach of its support agreement with the City, the City shall be given access to the source code in escrow and shall have the right to contract with another vendor for the ongoing maintenance and enhancement of its installation. 21. WARRANTY AND ONGOING MAINTENANCE SUPPORT benefit of City that, for a period of 90 days from the date of final acceptance, and after each update or revision thereof, all COPLINK Software products and ETL (ExtractfTransfer /Load) services will substantially conform to the representation* made in the Contractor's Proposal. Equipment provided by Unisys as part of the subcontracting Agreement between Contractor and Unisys is subject to standard Unisys product warranties and licensing. 21.2 Warranty of Title: Contractor represents and warrants that it owns the Software, or has a right to license the Software, as described in this Agreement and Exhibit B. 21.3 Annual Maintenance Plan: Contractor shall maintain and support the Software subject to the terms outlined in the Scope of Services, attached hereto as Exhibit A. City has opted to purchase the three -year warranty package outlined in Contractor's Proposal. 21.4 Response Times: During the warranty period, the Contractor shall provide 4 -hour on -site response to a system deficiency that affects 10 or more workstations, or one server or impacts average transaction time by more than 20 %. Staff must be available to respond Monday through Friday from 8 am to 5 pm, Pacific Standard Time. € 21.5 Routine Maintenance: During the warranty period, Contractor will visit the site at least once every 12 weeks, and at that time verify that all system components are operating within specifications and upgrade all system components to the latest -available software release. Operating systems need not be upgraded as new releases are issued but all maintenance patches available must be installed on the servers on the monthly visits. 22. ACCEPTANCE OF DELIVERABLES For each project deliverable, Contractor will present the OCILJ Project Coordinator with a Deliverable Acceptance Statement. The project coordinator should sign and return a copy of this form to the Unisys Project Manager. If the OCILJ does not return a signed copy, or a written description of any perceived deficiencies in the service within fifteen (15) days after receipt of the Deliverable Acceptance Statement, then the services will be deemed accepted. 13 N'l 23. CONFIDENTIALITY (A) Contractor agrees to maintain the confidentiality of its records pursuant to all statutory laws relating to privacy and confidentiality as now in existence or as hereafter amended or changed. "Confidential Information" shall include criminal history information and records, Contractor's research and development plans and reports, the computer code for the Contractor Software (both source and object code), the functionality or manner of operation of any computer code (including without limitation screen designs and flows), or any other designs, techniques, methods, specifications, drawings, sketches, processes, trade secrets, product information, print -outs, formulae, samples,. prototypes, systems and components, marketing or promotional information, and any other information marked confidential or accompanied by correspondence indicating such information is confidential exchanged between the parties hereto. All records and information concerning any and all matters referred to Contractor by the City shall be considered and kept confidential by Contractor and Contractor's staff, agents, subcontractors, and employees. Information obtained by a party in the performance or receipt of the Services under this Agreement ( "Confidential Information ") shall be treated as confidential and shall not be used by the other party for any purpose other than the performance or receipt of the Services under this Agreement. (B) Each party shall maintain the Confidential Information of the other party in confidence using at least the same degree of care as it employs in maintaining in confidence its own proprietary and confidential information, but in no event less than a reasonable degree of care. Confidential Information shall not include information which (i) shall have otherwise become publicly available other than as a result of disclosurq by the receiving party in breach hereof, (ii) was disclosed to the receiving party on a non - confidential basis from a source other than the disclosing party, which the receiving party believes is not prohibited from disclosing such information as a result of an obligation in favor of the disclosing party, (iii) is developed by the receiving party independently of, or was known by the receiving party prior to, any disclosure of such information made by the disclosing party, -or (iv) is disclosed with the written consent of the disclosing party. A receiving party also may disclose Confidential Information to the extent required by an order of a court of competent jurisdiction, administrative agency or governmental body, or by any law, rule or regulation, or by subpoena, summons or other administrative or legal process. (C) Contractor's employees assigned to this Project must meet character standards as demonstrated by background investigation and reference checks, coordinated by City. 14 it 24. INTELLECTUAL PROPERTY INDEMNITY The Contractor shall defend and indemnify City, its agents, officers, representatives and employees, against any and all liability, including costs, for infringement of any United States' letters patent, trademark, or copyright infringement, including costs, contained in Contractor's Deliverables and specifications provided under this Agreement. 25. RECORDS Contractor shall keep records and invoices in connection with the work to be performed under this Agreement. Contractor shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures and disbursements charged to City, for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Contractor under this Agreement. All such records and invoices shall be clearly identifiable. Contractor shall allow a representative of City to examine, audit and make transcripts or copies of such records and invoices during regular business hours. Contractor shall allow inspection of all work, data, Documents, proceedings and activities related to the Agreement for a period of three (3) years from the date of final payment to Contractor under this Agreement. 26. WITHHOLDINGS City may withhold payment to Contractor of any disputed sums until satisfaction of the dispute with respect to such payment. Such withholding shall not be deemed to constitute a failure to pay according to the terms of this Agreement. Contractor shall not discontinue work as a result of such withholding. Contractor shall have an immediate right to appeal to the City Manager or his/her designee with respect to such disputed sums. Contractor shall be entitled to receive interest on any withheld sums at the rate of return that City earned on its investments during the time period, from the date of withholding of any amounts found to have been improperly withheld. 27. ERRORS AND OMISSIONS In the event of errors or omissions that are due to the negligence or professional inexperience of Contractor which result in expense to City greater than what would have resulted if there were not errors or omissions in the work accomplished by Contractor, the additional expense shall be borne by Contractor. Nothing in this paragraph is intended to limit City's rights under any other sections of this Agreement. 28. CITY'S RIGHT TO EMPLOY OTHER CONTRACTORS City reserves the right to employ other consultants or contractors in connection with the Project. 15 `� 29. CONFLICTS OF INTEREST The Contractor or its employees may be subject to the provisions of the California Political Reform Act of 1974 (the "Act "), which (1) requires such persons to disclose any financial interest that may foreseeably be materially affected by the work performed under this Agreement, and (2) prohibits such persons from making, or participating in making, decisions that will foreseeably financially affect such interest. If subject to the Act, Contractor shall conform to all requirements of the Act. Failure to do so constitutes a material breach and is grounds for immediate termination of this Agreement by City. Contractor shall indemnify and hold harmless City for any and all claims for damages. resulting from Contractor's violation of this Section. 30. NOTICES All notices, demands, requests or approvals to be given under the terms of this Agreement shall be given in writing, to City by Contractor and conclusively shall be deemed served when delivered personally, or on the third business day after the deposit thereof in the United States mail, postage prepaid, first -class mail, addressed as hereinafter provided. All notices, demands, requests or approvals from Contractor to City shall be addressed to City at: Captain Paul Henisey Newport Beach Police Department 870 Santa Barbara Drive Newport Beach, CA, 92658 -7000 (949) 644 -3650 Fax 644 -3693 All notices, demands, requests or approvals from City to Contractor shall be addressed to Contractor at: Attention: Mr. Thomas O'Neil Vice President of Operations Knowledge Computing Corporation 6601 East Grant Road Tucson, AZ 85715 (520) 574 -1519 x118 Fax 31. TERMINATION In the event that either party fails or refuses to perform any of the provisions of this Agreement at the time and in the manner required, that party shall be deemed in default in the performance of this Agreement. If such default is not cured within a period of two (2) calendar days, or if more than two (2) calendar days are reasonably required to cure the default and the defaulting party fails to 16 -2�p give adequate assurance of due performance within two (2) calendar days after receipt of written notice of default, specifying the nature of such default and the steps necessary to cure such default, the non - defaulting party may terminate the Agreement forthwith by giving to the defaulting party written notice thereof. Notwithstanding the above provisions, City shall have the right, at its sole discretion and without cause, of terminating this Agreement at any time by giving seven (7) calendar days prior written notice to Contractor. In the event of termination under this Section, City shall pay Contractor for services satisfactorily performed and costs incurred up to the effective date of termination for which Contractor has not been previously paid. On the effective date of termination, Contractor shall deliver to City all reports, Documents and other information developed or accumulated in the performance of this Agreement, whether in draft or final form. 32. COMPLIANCE WITH ALL LAWS Contractor shall at its own cost and expense comply with all statutes, ordinances, regulations and requirements of all governmental entities, including federal, state, county or municipal, whether now in force or hereinafter enacted. In addition, all work prepared by Contractor shall conform to applicable City, county, state and federal laws, rules, regulations and permit requirements and be subject to approval of the Project Administrator and City. 33. WAIVER A waiver by either party of any breach, of any term, covenant or condition contained herein shall not be deemed to be a waiver of any subsequent breach of the same or any other term, covenant or condition contained herein, whether of the same or a different character. 34. INTEGRATED CONTRACT This Agreement represents the full and complete understanding of every kind or nature whatsoever between the parties hereto, and all preliminary negotiations and agreements of whatsoever kind or nature are merged herein. No verbal agreement or implied covenant shall be held to vary the provisions herein. 35. CONFLICTS OR INCONSISTENCIES In the event there are any conflicts, ambiguities or inconsistencies between this Agreement, the Scope of Services and the Proposal or any other exhibits attached thereto, the order of precedence in interpretation shall be as follows: The terms of this Agreement shall govern first, the terms of the Scope of Work shall govern second, and the terms of the Contractor's Proposal shall govern third. City specifically rejects and does not agree to the following provisions included in Contractor's Proposal: Paragraphs 6, 8, 9, 10, 17 and 26 of Appendix H, 17 4 0 0 "Technical and General Assumptions." These provisions are not part of this Agreement. Each party and its counsel have participated fully in the review and revision of this Agreement. Any rule of construction to the effect that ambiguities are to be resolved against the drafting party shall not apply in interpreting this Agreement. 36. AMENDMENTS This Agreement may be modified or amended only by a written document executed by both Contractor and City and approved as to form by the City Attorney. 37. SEVERABILITY If any term or portion of this Agreement is held to be invalid, illegal, or otherwise unenforceable by a court of competent jurisdiction, the remaining provisions of this Agreement shall continue in full force and effect. 38. CONTROLLING LAW AND VENUE The laws of the State of California shall govern this Agreement and all matters relating to it and any action brought relating to this Agreement shall be adjudicated in a court of competent jurisdiction in the County of Orange. 39. EQUAL OPPORTUNITY EMPLOYMENT Contractor represents that it is an equal opportunity employer and it shall not discriminate against any subcontractor, employee or applicant for employment because of race, religion, color, national origin, handicap, ancestry, sex or age. 40. PUBLICATION AND PRESS RELEASES Contractor shall have the right to issue a press release(s) that references the Project immediately upon execution of this Agreement. City must approve the press release(s) prior to issuance. Contractor may also publish general details about any successful investigations that resulted from the use of its software applications, subject to privacy and security law, regulations and policies. City must approve any such references. 41. COUNTERPARTS This Agreement may be signed in any number of counterparts. IN WITNESS WHEREOF, the parties have caused this Agreement to be executed on the day and year first written above. 18 v 0 APPROVED AS TO FORM: L Ro to Clauson, City Attorney for the City of Newport Beach Attachments: 9 CITY OF NEWPORT A Municipal gbrporat for the City of CONTRACTOR: Beach By: Robe reside Knowledge Compu nrporation Exhibit A — Scope of Work Exhibit B — Proposal for a Records Management System Data Sharing Solution, dated September 15, 2044 F: users/cat/ shared /agALK Knowledge Computing Corporation Contractdoc 19 n 0 0 Exhibit A — Scope of Work This section outlines the services, equipment, software and tools to be provided by the Integrated Justice System Vendor in the execution of the contract. The services and products described apply to the Integrated Justice System Search Tool, integrated data system and Analysis Tools. For the purposes of the scope of work, the Orange County Integrated Law & Justice Steering Committee considers all of these subsystems integral parts of a single system, hereafter referred to as the OCILJ Data Sharing Solution. The delivered system must meet the functional and technical requirements as detailed in Section REQ, Requirements. There are two components to the system. The first is an integration and data sharing solution that extracts data from existing records management systems and makes that information available to all participating agencies through a search user interface. The second component is a set of analysis tools that allows staff from the various agencies to manipulate and analyze the data extracted from the RMS, CAD and various other systems that may be added to the overall integration solution over time. For the purposes of this document, the scope of work may be divided into two phases. Phase 1 includes full implementation of the OCILJ Data Sharing Solution (data integration, search and analysis tools) including data integration of 3 -7 police agency records management systems within Orange County and the court's citation database. Phase 2 includes the addition of the remaining police agencies into the integrated system and will be conducted on an incremental basis. Provision and implementation of the analysis tools is expected to be completed in Phase 1 of the project. A number of team members from each justice agency will be involved with the overall project. Actual team members will be selected at a later date, for the purposes of this document they are referred to as the Orange County Integrated Law & Justice ( OCILJ) Working Group. The members of this team will fluctuate with the project s6hedule, depending on the timing of the work for a specific agency. The overall deciding body of the project includes officials from all involved police and justice agencies, referred to as the OCILJ Steering Committee. The scope of work will include the integration of data from court's citation database and a number of police agency records management systems; hereafter referred to as Phase 1 sites that will implement solution. The following sites are currently being considered for inclusion in Phase 1. Phase 1 Sites! No Agency Records Management System 1 Brea Tiburon 2 West Covina Consortium West Covina 3 Garden Grove PD Custom RMS 4 Irvine Intergraph 5 Newport Beach Northrop Grumman PRC 6 Orange County Sheriff Visionair 20 2 � s 7 Oran a County Sheriff Arrest and Booking System Mu shots 8 Orange County Superior Court OC Court's Citation Database A final selection of Phase 1 sites will be determined at contract depending on the level of cooperation required and achieved with the RMS vendor and pricing and budget considerations. Vendors should base their pricing on the assumption that at least 3 Police RMS systems will be included in Phase 1. Phase 2 Sites: No Agency Records Management System 1'. Huntington Beach PD Intergraph 2. Fullerton PD West Covina Services Group 3. Westminster PD Alliance PD, C run Corp. 4. Tustin PD West Covina Services Group 5. Los Alamitos PD West Covina Services Group 6. Fountain Valley PD West Covina Services Group 7. Buena Park PD Spillman 8. La Palma PD West Covina Services Group 9. Santa Ana PD Custom built 10. La Habra PD West Covina Services Group 11. Orange PD Visionair RMS 3.0.5 12. Costa Mesa PD Motorola PrinTrak 13. 1 nahei I Currently in procurement 14. Placentia PD 15. Laguna Beach I West Covina Services Group While Phase 1 sites will have their data shared in Phase 1, all of the participating justice agencies will be able to search, view and analyze the shared data during Phase 1. e SOW 1 —General SOW7 -1 Location of Work The primary work location shall be in facilities provided by the Orange County Integrated Law & Justice agencies in the State of California. The Vendor can complete much of the work in their own facilities. However, all requirements workshops, project management meetings, training and integration and acceptance testing shall occur at the Primary Work Location. These requirements are applicable to both Phase 1 and Phase 2. SOW1 -2 Vendor Project Manager The Vendor shall assign a Vendor Project Manager to this project. The Vendor Project Manager will be the single point of contact responsible for all work undertaken by the Vendor. The Vendor Project Manager shall be on site in Orange County as needed through the duration of the project. During implementation and up to provisional acceptance the Vendor Project Manager must be on site in Orange County at least 4 days every two weeks unless agreed to by the OCILJ Project Manager. At no time during the project, shall the project 21 manager be on site less than 2 days in a calendar month. These requirements are applicable to both Phase 1 and Phase 2. SOW1 -3 System Staff on Site Support For Phase 1, programmers and systems specialists capable of making any required changes to the system shall be on site on a full time basis for the duration of system integration testing, and on a half time basis through to provisional acceptance of Phase 1. Support personnel capable of restoring the system shall be available within 4 hours through Final Acceptance of the system. The same requirements apply to Phase 2 incremental projects. SOW 2 — Services SOW2 -1 Inception For Phase 1, the Vendor shall meet with the Orange County Integrated Law & Justice project management as often as necessary over the period of 3 weeks to finalize the project plan, schedule initial meetings and workshops and agree and document project processes, procedures and reporting systems. For costing purposes, the Vendor should expect to meet onsite at least 3 days per week. For Phase 2, the Vendor shall meet with the Orange County Integrated Law & Justice project management as often as necessary, for each RMS system to be integrated, to finalize the project plan, schedule initial meetings and workshops and agree and document project processes, procedures and reporting systems. For costing purposes, the Vendor should expect to meet for 3 days for each site. This meeting period will commence within 3 weeks of the vendor being notified that OCILJ wishes to add an RMS system to the integration solution. Requirements for the number of days spent onsite for the Inception services are included here for cost purposes. Actual time requirements for Inception services may vary. SOW2 -2 Site Surveys In conjunction with the inception meetings, the Vendor shall visit all sites included in the phase and work with technical personnel at that agency as well as the agency's RMS vendor to fully validate their approach and design for integration with the data at that site. During these visits the Vendor shall determine the installation requirements for the OCILJ Data Sharing Solution components to be installed and the suitability of the facilities and infrastructure of the sites to house the system and associated equipment. The findings of these examinations will be compiled by the Vendor and submitted to the OCILJ Steering Committee. OCILJ police agencies will implement physical plant electrical and network facilities to support the system based on the report provided by the Vendor. SOW2 -3 Requirements Validation Workshops The Vendor shall conduct requirements validation workshops to walk through all of the Orange County Integrated Law & Justice requirements and determine the required configuration details. Workshops will need to be held for each site that 22 �U will be included in the OCILJ Data Sharing Solution. Logistics for the workshops shall be managed by the Orange County Integrated Law & Justice team members. These requirements are applicable to both Phase 1 and Phase 2. SOW2 -4 System Design Documentation Following the requirements validation workshops the Vendor shall develop design documents detailing the configuration and any custom development. The documentation must be detailed enough for reviewers to understand the function and appearance of all screens. This documentation shall be submitted to the OCILJ Steering Committee for a 1 week review period. During the review period the Vendor shall update the project plan to reflect the configuration and customization effort. Following the OCILJ Steering Committee's review, the Vendor and the OCILJ Working Group shall finalize the design documents and project schedule. These requirements are applicable to both Phase 1 and Phase 2. SOW2 -6 Development and Customization The Vendor shall perform the customizations outlined in the finalized System Design Documentation described above. These requirements are applicable to both Phasel and Phase 2. SOW2 -6 Configuration The Vendor shall undertake all configuration of the data sharing application, the Search Tool, and Analysis Tools to meet the requirements as defined in the workshops and design documentation. These requirements are applicable to both Phase 1 and Phase 2. SOW2 -7 Interfaces The Vendor shall be responsible for implementing all aspects of the interfaces described in the requirements. The Vendor will be responsible for implementing the legacy system end of the interfaces, working with OCILJ staff to understand technical interface requirements and for liaising with RMS vendors to facilitate interfaces with OCILJ RMS's. As appropriate, the Vendor will utilize existing OCILJ relationships with RMS vendors. Each OCILJ agency intends to provide support for establishing relationships with RMS vendors and building the interfaces for this project, but that support may not always be guaranteed. In cases where select police agency Records Management System vendors do not allow direct alterations for interfaces, the Vendor will liaise with RMS vendors for the creation of required interfaces. These requirements are applicable to both Phase 1 and Phase 2. _ SOW2 -8 Integration Primary integration of the solution with outside systems will be the responsibilities of the Vendor. The Vendor shall be fully responsible for full integration, of the data sharing solution with the Search tool, Analysis Tools and current police agency RMSs. The Vendor will also be responsible for integrating the Data Sharing Solution with the ELETE system and the Orange County Court's citation database. The Vendor shall actively work with Orange County police agencies and courts, their staff, and any other contractors employed by 23 justice agencies within the county to support the integration of the Records Management Systems. These requirements are applicable to both Phase 1 and Phase 2. In some cases, the Data Sharing project team may experience problems with the integration, such as a lack of cooperation from an RMS vendor. OCILJ and the Vendor will utilize all reasonable resources to resolve integration problems. However, if the problem persists or the solution is cost - prohibitive, OCILJ reserves the right to change the sites that will be part of Phase 1. SOW2 -9 Server Installation The Vendor will work with OCILJ agencies to understand existing infrastructure available for use on this project. In the event that more servers are required, the Vendor shall install, configure, test and commission all server equipment and infrastructure required to support the system. The development server shall be installed and commissioned at the Primary Work Location prior to acceptance of the System Design Documentation by the OCILJ Steering Committee. The production environments must be installed and commissioned 8 weeks prior to commencement of Data Sharing Solution Testing. In a number of cases, several police agencies may already own adequate hardware and server software. This hardware will be identified in Inception. These requirements are applicable to both Phase 1 and Phase 2. SOW2 -10 Workstation Software Installation Systems that require the installation of workstation software are discouraged. In the event that a vendor solution requires workstation speck software be installed, the Vendor shall install all workstation software to support the application including any client application software. The Vendor can assume that Microsoft Windows NT, XP, 2000, 2003 and all standard Windows components already exist on all workstations, including Internet Explorer. These requirements are applicable to both Phase 1 and Phase 2. e During Phase 1, up to 500 workstations at up to 10 different locations may be required. During Phase 2, the Vendor should assume that an average of 100 workstations will be required for each additional RMS system incorporated into the solution. SOW2 -11 Project Management The Vendor Project Manager shall maintain a detailed schedule of activities for his/her team and update the schedule on a weekly basis until Provisional Acceptance of the system. The updated schedule shall, along with progress reports, be forwarded to the OCILJ Project Manager on a weekly basis. The Vendor Project Manager shall present the current status of the work at a meeting in Orange County every 2 weeks through the life of the project. Progress reports shall include a table listing all delivery milestones along with the originally scheduled date and the current target date and the number of changes to the date. 24 �� The Project Management requirements are applicable to both Phase 1 and Phase 2. SOW 3 — Equipment and Software SOW3 -1 Complete Solution The Vendor shall offer a complete solution including all hardware and software required to operate the production system. The Integrated Justice Working Group has a number of Windows 2000 servers and Microsoft SQL Server licenses. During negotiations and design, discussions will be undertaken to determine if the solution can be operated on the Group's existing infrastructure. SOW3 -2 Primary Server and Infrastructure Environment The Vendor shall provide, deliver, install, configure and test the complete production server hardware and software environment in the selected data center location. All warranty and licensing agreements associated with this infrastructure must be in the name of the OCILJ Working Group or their designate. SOW3 -3 Development 1 Test Server Environment The Vendor shall consult with the OCILJ Working Group and Steering Committee to ascertain the availability of development and test servers. If new equipment will be required, the Vendor shall provide, deliver, install, configure and test the complete development server hardware and software environment in the selected data center location. All warranty and licensing agreements associated with this infrastructure must be in the name of the OCILJ Working Group or their designate. The Development and Test environment will be used by Vendor personnel to configure and do preliminary testing of the system prior to commissioning. The system must be sized to support the development and configuration that will be performed by the Vendor and must scalp to the requirements for Phase 2. SOW3- 4 Development Workstations The Vendor shall determine the number of required development workstations in the inception phase of Phase 1. The Vendor shall provide, deliver, install, configure and test the development workstations and a development local area network infrastructure to be used by Vendor personnel. After the completion of Phase 1, the development workstations will continue to be used for Phase 2. Any additional workstation requirements for Phase 2 will be determined in the Phase 2 inception phase. All warranty and licensing agreements associated with _ this infrastructure must be in the name of the Orange County Integrated Law & Justice Working Group or their designate. SOW35 User Workstations The Vendor shall provide specifications for user workstations as outlined in the submission requirements. If additional or altered specifications are created as a result of changes for Phase 2 implementation, the Vendor will reissue specifications for user workstations. 25 /fL 9 0 SOW3 -6 System Software The Vendor shall provide, deliver, install, configure and test all Data Sharing Solution system software. The Vendor will be responsible for installing any client software that is required other than standard browsers on all workstations at Phase 1 sites and Phase 2 sites. All warranty and licensing agreements associated with this infrastructure must be in the name of the Orange County Integrated Law & Justice Working Group or their designate. SOW3 -7 Data Integration and Web Development Tools The Vendor's responsibilities in this area are limited to providing the applications configuration and web development tools used to meet the requirements of the Data Sharing Solution defined in the System Design Documentation, and providing training and documentation on any proprietary products and tools supplied. SOW3 -8 Third Party Software The Vendor shall provide, deliver, install, configure and test all third party software that is required to support the operation of the Data Sharing Solution on all of the server components as well as any items that are required other than those provided with Microsoft Windows XP /NT /2000/2003 or later operating systems on the workstations. All warranty and licensing agreements associated with this software must be in the name of the Orange County Integrated Law & Justice Working Group or their designate. SOW3 -9 System Management Software The Vendor shall provide, deliver, install, configure and test all software that is required to effectively manage the server infrastructure and the applications. All warranty and licensing agreements associated with this software must be in the name of the Orange County Integrated Law & Justice Working Group, or their designate. SOW 4 — Acceptance and Testing SOW44 Acceptance Acceptance of the Data Sharing Solution shall be conducted in a multistage process in Phase 1 and Phase 2. SOW4 -2 Preliminary Acceptance Preliminary Acceptance shall be granted following the acceptable completion of Data Sharing Solution Testing and clearance of all deficiencies identified during Data Sharing Solution Testing. These requirements are applicable to both Phase 1 and Phase 2. SOW4 -3 Provisional Acceptance Provisional Acceptance shall be granted following the acceptable completion of user acceptance testing and clearance of all deficiencies identified during user acceptance testing. 26 V SOW4 -4 Final Acceptance Final Acceptance in Phase 1 shall be granted after 16 weeks of operation without a system outage affecting more than 10 workstations or reducing system throughput by more than 20 %. Final Acceptance in Phase 2 will follow similar guidelines but will be staggered, according to the project schedule. SOW4 -5 Data Sharing Solution Testing This testing shall be conducted on each site Production System, prior to the commencement of system Integration Testing. If the solution consists of one central system for all sites, this testing will consist of individual testing for each site. The Vendor shall be responsible for developing and submitting a testing plan for approval by the OCILJ Steering Committee at least 4 weeks prior to commencing the testing. This testing shall completely test the operation of the Data Sharing Solution at/for each site. The testing shall also include load testing that confirms satisfactory operation with 100 concurrent users simulated. In addition to the testing proposed by the Vendor, the OCILJ Working Group may submit additional tests that must be completed by the vendor. Requirements for Data Sharing Solution Testing are applicable to both Phase 1 and Phase 2. SOW4 -6 System Integration Testing System integration testing shall be conducted by the Vendor. The testing shall be conducted on the Production system prior to the commencement of training or user acceptance testing. The testing shall exercise all integration points and interfaces. The Vendor's primary responsibilities during this testing will be verifying operation of the Data Sharing Solution for all Phase 1 sites and repeating the system load test on the production system with all Phase 1 interfaces active. For Phase 2, system integration testing will also be conducted by the Vendor. The manner in which System Integration Testing will be conducted in Phase 2 will be determined in the Inception Phase. SOW4 -7 User Acceptance Testing User Acceptance Testing shall be conducted following the System Integration Testing on the Production System. The testing will be conducted by the Vendor. The Vendor shall have personnel on site throughout the testing to address deficiencies and operational issues that arise. User acceptance testing will only be performed in Phase 1. However, if changes are introduced into the system as part of Phase 2 implementation, a subset user acceptance testing phase will be conducted. SOW 5 — Training SOW5-1 General Training Philosophy The Vendor shall develop and conduct all primary system training. Train the trainer courses shall not be used to train users for initial system startup. The OCILJ Working Group shall provide training rooms with furniture and network connection to the production server location. The OCILJ Steering Committee will designate between 2 and 10 personnel that will become staff trainers following acceptance of the system. These personnel will work with the Vendor to provide 27 �� 0 input into the operational aspects of the training materials and will be the primary reviewers of the training materials. They will also sit in the courses as instructor trainees to develop an understanding for how the material should be delivered. For Phase 2, training will be conducted by the OCILJ staff trainers. SOWS -2 User Training The Vendor shall develop and deliver a primary user training course to up to 100 users. Two classes shall be conducted simultaneously in 20 person classrooms. The curriculum must be sufficient to allow users with a basic understanding of the police agency's business to become proficient in the use of the system to conduct their day to day activities. SOW6-3 Administrator Training The Vendor shall develop and conduct a course suitable for system administrators. This course will be delivered two times in classes of up to 5 people. This course should contain detailed explanations of the technical administration of the Data Sharing Solution, including management of security. This service will primarily be provided as part of Phase 1. However, should a significant number of administrator resources be identified in Phase 2, additional administrator training courses may be required. SOW 6 — Documentation SOW6 -1 General Documentation The Vendor shall provide complete product documentation (such as standard docs that accompany a purchased server computer) for all software and hardware components provided to the OCILJ Working Group as part of this contract. This requirement is applicable to Phase 1 and Phase 2 work. SOW6 -2 Data Sharing Solution Systems Documentation Two hard copies and one electronic copy of all Data Sharing Solution system documentation shall be provided in Phase 1. If changes to the Data Sharing Solution systems documentation result from work performed in Phase 2, two hard copies and one electronic copy of updated Data Sharing Solution systems documentation will be provided in Phase 2. Data Sharing Solution systems documentation includes all project planning and execution deliverables. SOW6 -3 User Documentation The Vendor shall provide all user documentation in an electronic format simultaneously accessible to all users in or affiliated with OCILJ police agencies. The documentation must be sufficiently detailed and complete so that a computer literate user could use it to learn all functions of the system. The documentation must incorporate instructions on how to use all features customized and configured for this installation. The documentation available after Phase 2 implementation or an incremental implementation in Phase 2 will reflect any changes resulting from Phase 2 work. 28 i • SOW6 -4 Training Documentation The vendor shall create two user manuals, one for using the Search Tool and another for using the Analysis Tools. Each training manual must be a substantive document that provides material for training all functionality within the solution. These training manuals must be approved by the project management prior to being released to end users. The Vendor, shall provide at least 30 copies of each training manual to be distributed to personnel as they receive training on the use of the system. The Vendor shall also provide the OCILJ Working Group with editable electronic versions of these manuals in order that they may be updated and additional copies made for future training of new employees. The manuals must include a quick reference section that users may use on an ongoing basis as well as training exercises, examples of functions and instructions for basic operation of the system. It is expected that these quick references will be a supplement or subset of the online training materials specified above. Should changes to the training documentation be required as a result of Phase 2 changes, the Vendor shall provide 50 updated copies of a training manual to the OCILJ Working Group. SOW6 -5 Technical Documentation The Vendor shall provide 2 sets of all hardware and third party software technical documentation . for each site on which these items are installed. The Vendor shall provide 2 sets of technical documentation describing configuration, database mapping integration techniques, systems management and technical support procedures for the Data Sharing Solution for each site. These requirements apply to both Phase 1 and Phase 2. If changes to the technical documentation result,from Phase 2 work, and those changes are applied to the Phase 1 implementation, updated technical documentation will be provided to the Phase 1 sites. SOW6 -6 Database Documentation Wherever databases are established or significant work is done understanding existing databases, the Vendor shall compile documentation on the database structure and schema suitable to support ongoing support and further extension and expansion of these databases. This documentation shall be left with the OCILJ Working Group for use as they see fit in the ongoing operation, maintenance and expansion of the system. SOW6 -7 Data Mapping Documentation Data originating from each data source will be transformed (if required) and mapped to a corresponding Global Justice XML defined element. The Vendor must create and maintain documentation for each data source that includes the database fields mapped to the GJXML fields and the required transformations. This documentation will be a living document, and will continue to be updated as 29 3�1 E the project progresses. Over time, ownership of the documentation will pass to the OCILJ Working Group. The exact dates will be determined at a later date. SOW 7 — Warranty and Ongoing Maintenance Support SOW7 -1 Warranty Support A system and installation warranty must be provided as part of the purchase of the system. Options for a one year and a three year warranty are required as part of the pricing submission. SOW7 -2 Warranty Components In addition to standard warranty provisions, for the purposes of this project, warranty is defined to include: • Annual software licensing during the warranty period • Telephone support • On site callout based outage support • Periodic preventative maintenance and monitoring visits • Upgrades to the latest version of application software as part of preventative maintenance SOW7 -3 Response times During the warranty period the Vendor shall provide 4 hour on site response to a system deficiency that affects 10 or more workstations, or one server or impacts average transaction time by more than 20 %. Staff must be available to respond Monday through Friday from 8 am to 5 pm. SOW7 -4 Routine Maintenance During the Warranty period, the Vendor will visit the site at least once every 12 weeks, and at that time verify that all system components are operating within specifications and upgrade all system components to the latest available software release. Operating systems need not be upgraded as new releases are issued but all maintenance patches available must be installed on the servers on the monthly visits. SOW7 -5 Phase 2 Warranty Considerations For Phase 2, and each site that is integrated into the Data Sharing Solution, the Vendor shall offer options for 1year or 3 year warranties as outlined for Phase 1. No additional routine maintenance site visits are required as part of the Phase 2 warranties. SOW7 -6 Ongoing Maintenance Support The Vendor is expected to offer a range of ongoing support options for the OCILJ Steering Committee's consideration in the event that the Steering Committee opts to not select the 3 year warranty. One of those options may be a full on -site support option. SOW 8 — Work Not Included 30 -3`k The OCILJ police agencies have information technology groups and have been using the services of various consultants to serve the justice community for some time. The following services associated with this project will be undertaken by a combination of separate consultants and the OCILJ police agency information technology personnel and are not the responsibility of the Vendor. SOW8 -1 Change Management Program The Vendor is not responsible for implementing or operating a change management or stakeholder communications program. These activities will be undertaken by OCILJ and its consultants. SOW8 -2 Networking Facilities The OCILJ Working Group will implement all local and wide area network facilities other than those specifically requested in the Scope of Work. The Vendor's responsibilities are limited to specifying the improvements required to network infrastructure during proposal submission and as a result of the design effort and site visits. . SOW8 -3 Physical Plant and Electrical Service The OCILJ Working Group will implement all physical plant and electrical services based on the requirements the Vendor presents as a result of the site visits. SOW 9 — Proposal Revisions Through the evaluation process a number of items were reviewed and as a result, the following will apply: SOW9 -1 Revised Hardware Solution The CONTRACTOR will provide an alternate hardware solution as outlined below as a replacement for the Unisys Server initially proposed. Revised Hardware Solution to be delivered by KCC f Unisys SOW9 -2 Enhanced System Audit Functionality The CONTRACTOR will enhance their system audit functionality in conjunction with this project. The new functionality will include a plain language explanation of each transaction (search) conducted as well as a hyperlink that will immediately reproduce that transaction and display the result set to the user. It is understood that the result set will be based on data current in the system at time of execution. 31 CITY OF NEWPORT BEACH CITY COUNCIL STAFF REPORT Agenda Item No. 6 January 11, 2005 TO: HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL FROM: Paul Henisey, Support Services Division Commander Bob McDonell, Chief of Police SUBJECT: APPROVAL OF CONTRACT WITH KNOWLEDGE COMPUTING CORPORATION TO PURCHASE DATA SHARING SOLUTION RECOMMENDATION: Award bid and approve the attached contract to purchase Phases 1 and 2 of a Records Management System (RMS) Information Sharing solution from Knowledge Computing Corporation in the amount of $1,606,053, to be funded from ILJ UASI Grant Funds Account #7017- C1820802. Authorize the Mayor to execute the contract on behalf of the City. 2. Approve the attached "Sub- grantee Agreements to transfer or purchase equipment or services using Urban Area Security Initiative (UASI) Grant Funds" from the Cities of Santa Ana and Anaheim, and authorize the Police Chief to execute the agreements on behalf of the City. DISCUSSION: Background: On March 9, 2004, Council approved the acceptance of approximately $1.9 million in grant funds for administrative purposes, on behalf of the Orange County Integrated Law and Justice Project (ILJ), which is comprised of the entire Criminal Justice System in Orange County. In that prior communication, Council was advised that we were requested to administer the grants for the Project by the Orange County Chiefs' and Sheriffs Association as a result of some difficulties being experienced by the County of _Orange in facilitating the approval of various elements of the Integrated Law and Justice Project. During the past year, the City of Newport Beach became part of the 2004 Urban Area Strategic Initiative (UASI) Grant from the Department of Homeland Security and administered by the Cities of Anaheim and Santa Ana for all of Orange County. In the Anaheim /Santa Ana UASI Strategy Report, a number of the stated goals and objectives Contract Approval — Integrated Law & Justice Project January 11, 2005 Page 2 correspond to the efforts of the ILJ Project. The number one goal identified in the report is to, "Assess existing capabilities to develop and implement a County -wide real-time system for collection, analysis and dissemination of disparate data and information." This particular section identifies the use of consultants and existing work groups to assess capabilities and prioritize recommendations. It identifies the need to coordinate with subcommittees to evaluate various technologies and to obtain the necessary technology to support County-wide systems for the collection and dissemination of information. A part of the strategy also includes the analysis of information as it relates to terrorism or the use of Weapons of Mass Destruction (WMD). The ILJ Steering Committee, in conjunction with Deloitte Consulting, has been working on developing a plan for the integration and sharing of information systems throughout the Criminal Justice System in Orange County as part of the ILJ Strategic Plan. The plan includes such aspects as determining a governance structure, identifying infrastructure and information systems currently in use or planned for the future, developing a pilot project involving a representative sample of agencies, finalizing the design and selecting a solution, and County-wide implementation. An ILJ evaluation team was established to work with the Deloitte Consultant to develop a Request for Proposal to acquire an RMS information sharing solution among all law enforcement agencies in Orange County. The RFP was released on August 10, 2004, and all responses were due by September 15, 2004. A Bidders Conference was held on August 20, 2004, at the Newport Beach Police Department to address any questions. A total of nine proposals were submitted from the following vendors. or teams of vendors: • Avenade (Abbey Group, Forensic Logic) • Crossflo • Fatpot Technology • Global Software (i2, Microsoft, Critical Technology) • Knowledge Computing (Coplink, Unisys) • Oracle (CDI, i2) • Sierra (Templar, Visual Analytics, OpenNetworks) • SRAIOrion (Imagis) • Speedtrack During the initial screening, three proposals were suspended from further evaluation -due to either incomplete responses or shortcomings in the level of compliance to the specifications in the RFP. The three vendors eliminated at this stage were Global Software, Crossflo and Speedtrack. The remaining six vendors were invited to provide demonstrations to a second evaluation team of approximately 14 representatives from the various Criminal Justice Agencies, including four police chiefs. The invitation to Fatpot was later withdrawn when they changed their proposed solution. The five demonstrations were scheduled over a one -week period in October 2004. 0 Contract Approval — Integrated Law & Justice Project January 11, 2005 Page 3 A list of criteria was developed by Deloitte to assist the evaluation committee in comparing and analyzing each of the demonstrations. The evaluation committee observed each of the demonstrations and then ranked the various vendors according to the criteria. After compiling the rankings from each team member, it was determined that the Knowledge Computing Company with their Coplink solution achieved a higher score in 9 out of the 11 categories and a significantly higher total score than any of the other vendors. The Coplink solution was clearly the preference of the evaluation committee members following the demonstrations. Of the five finalists, Knowledge Computing Company also submitted the lowest bid at $1.6 million for both Phase 1 and Phase 2 of the RFP. The order of bids for both phases is as follows: 1. Knowledge Computing - $1,606,053 2. Avenade - $3,656,347 3. Sierra Systems - $4,219,563 4. SRA - $4,279,057 5. Oracle - $5,121,431 Following the demonstrations, the analysis of the rankings and review of the pricing, the evaluation team identified Knowledge Computing Company as the preferred vendor. Members of the evaluation team and our Deloitte Consultant initiated reference contacts and site visits. Several agencies using the Coplink product were contacted and all responded favorably to questions about Knowledge Computing and the Coplink software. Eight members of the evaluation team also participated in site visits to the Phoenix Police Department, Tucson Police Department, and the Knowledge Cofputing Company's corporate offices in Tucson, Arizona. At each site, members of the evaluation team were impressed with the data sharing capabilities and the analysis portion of the software. Following the site visits, there was a unanimous recommendation on the part of the team members to entet into contract negotiations with Knowledge Computing on behalf of the Orange County Integrated Law and Justice Steering Committee. The funding for the Phase 1 portion of the contract will come from the Santa Ana /Anaheim UASI grant funds. This grant provides 100% of the funds necessary for Phase 1 of the project and requires no local matching funds. Phase 2 of the project will _also be funded. with 2004 UASI Grant funds, even if a grant extension is required to allow use of those resources, assuming the contract cannot be concluded before the November 30, 2005, expiration of the grant. If the extension is not granted (which is not likely), funding will be allocated from the next round of approximately $20 million of UASI Grants just announced and scheduled to be released to Santa Ana and Anaheim in 2005 or, alternately, from the COPS Technology grants identified in the beginning of this report. Contract Approval — Integrated Law & Justice Project January 11, 2005 Page 4 CONCLUSION: This report summarizes a lengthy and thorough process to identify the requirements definition and bid specifications for a comprehensive data sharing and analysis program to serve the Criminal Justice System in Orange County. The results of that process were also thoroughly analyzed and as a result, we are requesting authorization to approve the attached contract and award bid to Knowledge Computing Corporation for Phase- -1 and Phase 2 of the RMS Information Sharing, Project in the amount of $1,606,053 and funded from the Orange County ILJ UASI Grant Account #7017 - C1820802. The Integrated Law & Justice Project Steering Committee has also recommended approval of the bid award. Environmental Review: None required. Funding Availability: All funds required for this Project are Federal grant funds, authorized for expenditure under the Santa Ana /Anaheim UASI Grant Program. Both the City Of Anaheim and the City of Santa Ana have reviewed the proposed Contract between the City of Newport Beach on behalf of the Orange County Integrated Law and Justice Steering Committee and Knowledge Computing Company, and have concurred with the recommendation for approval of the expenditure. Submitted by: Paul He e , Ca Support Services Division Attachments: Approved by: Bob McDonell CHIEF OF POLICE 1. Proposed Contract with Knowledge Computing Company 2. UASI Sub - grantee Agreement with City of Anaheim 3. UASI Sub - grantee Agreement with City of Santa Ana .� .• 0 ­.. C -31qu PROFESSIONAL SERVICES AND SOFTWARE LICENSE AGREEMENT BETWEEN KNOWLEDGE COMPUTING CORPORATION AND THE CITY OF NEWPORT BEACH THIS AGREEMENT is made and entered into as of this U-Aay of January, 2005, by and between the CITY OF NEWPORT BEACH, a Municipal Corporation ("City'), and KNOWLEDGE COMPUTING CORPORATION,- an Arizona State corporation, whose principal place of business is 6601 East Grant Road, Tucson, AZ•85715 ("Contractor"), and1 made with reference to the following: RECITALS A: City is a municipal corporation duly organized and validly °existing under the laws of the State Of California -with the °power'to Cary on•its• business as it °i's now being conducted under the statutes of the State of 'California and the Charter of City. B. Effective January. 23, 2004, the City was designated as'lhe lead agency and grant. administrator for- I[W,monies allocated by the federal °government for the Orange County Integrated Law and Alt6ioe Project ( OCILJ), a Countywide effort and multi- phaseproject to integrate the diverse information sy-s�lems of all criminal justice agencies in the County, pursuant to a COPS MORE grant. These 'grant monies are held by City on -behalf of the ° OCILJ Steering Committee. The OCILJ Steering Committee; chaired by'dhief of Police Bob' M,6Donell of Newport Beach, makes decisions on °how these funds 'are distributed. C The :OGJLJ Project ,Steerigg,•,Cominittee ;seeks 3o ,procarc services from a :responaible.vendbr to,provide,6 technical and operational �solutibn td.enable the J.usice agencies in the "County to share information�with each dttie'r from their reepids management systems and related databases, and to provide a set,of - tool�yhit can be,-used to, analyze the date. -in thdvw-, yst6rr% across° Junsdictlonal' .boundaries: This. particular and critical phase of 'the OCILJ P eons <knnwn,aslhe "RMS /CMS`Irfformation�Shanng Project" a "na is being u"' ndeake�l4b the C- itydof N�vv oral Beachron behalf .4 he, ush¢e a encies1n . A p' I s Oran' a Coun Califomia: D. The funds currently allocated under the COPS Office grant are insufficient to .implement the entire . OCILJ Project and complete. the RMSICMS Information Sharing Project phase. Santa Ana and Anaheim have received a grant entibed °FY04° Urban `Area Secu#ty Initiative" (UASI. grant) from the Federal Department of Homeland Security, Office of Domestic Preparedness, through .. the =State of California, Office of Homeland Security, to; enhance Countywide ,emergency preparedness. The OCILJ Project, especially the portion related to data sharing among agencies within the County, will substantially enhance homeland security by significantly improving the accessibility and speed of transfer of criminal justice and suspect data between the justice agencies within the County, thus improving investigative abilities and reducing the potential for terrorism or terrorists to go undetected. Consequently, the Santa Ana and Anaheim Urban Areas will fund through the FY2004 UASI grant a substantial portion of the project that enables data and information sharing, as well as the data analysis and intelligence tools in support of homeland security objectives. E. The RMS /CMS Information Sharing Project (hereinafter the "Project") includes the supply of required computer software-and hardware as well as integration, implementation and,training services. There are two objectives for the Project: 1. Jo enable sharing of data from justice agencies' records management systems (RMS), case management systems (CMS) and-related databases across4h. a County in support ofeenhanced homeland security and criminal investigations. 2. To acquire and implement a set of data analysisrntelligence tools in support.of enhanced homeland security and crime - related investigations. The Project•is•struciured in two phases. Phase fis'designed to establish the data sharing- solution and will enable the sharing_ of citation data from the Orange County Superior. Courts, five police records management systems (Newport Beach, Irvine, Garden Grove, Brea, and the new release of the RMS System being implemented to °serve the West .Covina, Consortium, consisting of `Cypress, ,Seai Beach and other Orange County, agencies aIhat elect to be served -by the r� • Consortium), and the Orange 'County SherffRs,,Department's RMS and TARS (Local Arrest,zRecords System, including 1heir.?Mug -shot database) systems. exp r� a ld :0hat0is ;tools,willibs accju ed and ;deployed to,allow�for tfie .ilexitile Sea ort of data as we1l.as analysis wrthmtje provided- toolsets. Phase• 2 involves the incorporation of,ttie approximately 17 addi'tlonal� remaining police'RMS- systems throughout•tiie County and portions of ihe•District`Attorney and -Probation Department's CMS °systems° lnto ,the infrastructure -of--the -Data Splution System . Phase 2 will tie petfot0ed'by Contractor on ,an °incremental, work4order�as�is as agencies,iddtttieir. —k systerh'to•the integibtionplatform. F Contractor s' a privaltely held corpofalion based in •,Tucson;- Arrzona'Ahat- specializes :ih developing knowiedge :mahagetnent "technology,; particularly for law enforcement entities. The company's product line includes the COPLINK Solution Suite Software product, which 'provides law enforcement agencies with advanced information search and analysis capabilities (hereinafter referred to asrthe "Contractor Software' or .'Software'). G. •City, as .grant, administrator for the OCILJ, solicited bids from interested vendors- and. received a proposal 'from- Contractor. City has 'reviewed the previous experience and evaluated the expertise of Contractor, and desires to retain Contractor to render professional services for the Project, and to provide the software and hardware components necessary to implement the Project, under the terms and conditions set forth in this Agreement. 2 44 H. Contractor possesses the skill, experience, ability, background, certification and knowledge to provide the services described in this Agreement, and City desires to engage Contractor to provide these services. 1.= Contractor has entered into a subcontracting agreement with Unisys to provide the computer hardware necessary for the Project. J. The principal member of Contractor for purposes of the Project shall be Bradley Cochran, Deployment Manager for Knowledge Computing Corp. NO.W, THEREFORE, it is mutually agreed by and between the undersigned parties as follows: 1. TERM: / The term of this Agreement shall commence on the Lm day of January 2005, and for service under Phase 1, shall - terminate on the 30 day of November 2005, unless terminated earlier as setfoiih herein. ` The term of this Agreement' for services under Phase 2 shall begin upon the successful completion' and final acceptance°by City of services performed under Phase 1,,and shall continue for a period of five.years thereafter, unless terminated ,ea diet as set forth herein. 2. :SERVJCES TO,BE PERFORMED: °. Con tractot shall. diligentlydierfofrn°`all =the seniices %in� both' Phase 1 and _Phase 2° as described in-and rhodified,by this Agreement, -the, Scope•,of Work­�altached° �ttereto.as Exhibit A, and'inthe °Contractors;Propgsal�for.a Records - Management, System Data Sharing Sbfution °dated September °45; 2004 (hereinofter -the "Rroposalj, attached;hetelo as- Exhibit B and incorporated herein -by reference.° "fhe`City°m'ay elect`to2lalete certain to "sKs ofthe °services'at- its'sole discretion. Contractor shall warrant services ;peifonned .aid °: provide maintenance and h�x pportservices•for<a perld.d:of;thfpe (3) years frdm "lt e,date.of`final acceptance ' 'of ` >;rvicers ° peffbti17ei1 �unde� PhAe -1 '" fU & �Ag�e "emeh`t; and of'vndividual systems installed Under `Phase °2;. according to the,terms described in, Ezhi6ils A and `B. 21 Contractor agrees.to provide, among other things, the latest release of the COpLINK -software available at the time ,,of, installation of the Project, which shall include modifications of the Administrative Tools available'to audit COPLINK use ° °to the- satisfaction of City, by insuring they are configured in such a way as to allow them to be interpreted by the casual user of the system. 2.2 Contractor agrees to provide City with the computer hardware to implement the Project. which is described more fully in Appendix E of 3 Contractors Proposal. City reserves the right to substitute the hardware configuration specified by the Contractor in its Proposal with a comparable manufacturer as part of final System Design discussions. 2.3 Contractor agrees to provide what is described as "Coplink Light" software for use in a mobile computing environment as part of this Agreement. 3. TIME OF PERFORMANCE Time is of the essence in the performance of services under this Agreement and the services shall be performed to completion according to the schedule outlined in,the Proposal. The failure by Contractor to perform the services by this deadline may result in termination of this Agreement by City. Notwithstanding -the foregoing, Contractor shall riot'be responsible for delays due to causes beyond Contractor's reasonable control. However, in the case of any such delay in the services to be provided for the Project, each party hereby agrees to providemotice to the other party. so that all delays can be addressed. 3:1 Contractorshall submi't=all requests for extensions of time forperfonnance in writing,to,,the Project Administrator not later than ten (10) calendar days afterthe start of the condition that purportedly causes a delay. The Project Administrator shall review all such requests and may grant reasonable time ,extensions for .unforeseeable delays that are beyond Contractors control. 3.2 for ell' time periods -not spe�calty- set forth herein, Contractor shall re$pCtd in the most expedient' and appropriate - manner under the circumstances, by either telephone, fax, hand=delivery or`mail. 13 Contractot° and City understand that Phase 2'• Will likely °stretch over a period of, several years. RMS systems -will be °integrated into the final syste "m` design'as'they :com2;on line Ad stabilise, `anil`lhe' ericies`that ovrn,theln are readyto.erril5ark..04he Integration.. As;agencies are ready to atfd -thele RMS sytteihitci,IK6' halsystem °platform, 6;,Work -oidef Will °be r issued tbr,one or modest MS syslem5'.• Work :orders„niay',.over lap an'd ihefe maybe tubs in.3mplementauori activitY.should agencies not•beready to move,their systems to the integrated environment 4." *COMPENSATION:TO CONTRACTORrANQBILLING: City shall pay Contractor for both.Phaseo 1 and Phase 2 services on a fixed -price, milestone basis in accordance with the provisions of this Section, 'the Scope of, Work attached 'as Exhibit and •the Proposal attached hereto as Exhibit B. In no event shall Contractors compensation exceed the total contract price of Ono Million, One Hundred Twenty -Three Thousand, Nine Hundred Twenty- Seven, Dollars and Seventy -Two Cents ($1,123,927.72) for Phase 1 of this Project without additional authorization from City. Contractor agrees to accept 4 a the specified compensation, as more fully set forth herein, as full compensation and remuneration for all costs of services in Phase 1 of the Project, including direct and indirect charges, supervision, labor, equipment, warranties, training, machinery, travel costs, mileage and any other expenses incurred by Contractor. No additional compensation for Phase 1 shall be made during (fie term of this Agreement without the prior written approval of City. Contractor agree to perform all Phase 2 work for an amount not to exceed the amount of Four Hundred Eighty.-Two Thousand, =One Hundred Twenty -Five Dollars and Twenty=Eight Cents ($482;125.28)1 which will be authorized by City ' on a work -order basis, as provided herein. 4.1. Payment milestones for Phase 1 of the Project shall be as provided below. Temps used are as defined in the Scope of Work:' 4.2 Contractor paynienf si name of ' Shall submit and,;a, descnit�on,o1 Contractor no la`terci� City sf4f. 4.3 City shall reimburse specifically approved advance by City. ° ,. involces, in adcocdance wiUi We. mifestone 1- above. Contractors invoices shall lnclude - the 'ent ' where services bwere , provided, a °brff,.. perfotmed andtor the; speck milestorierin the relates, the date therservices,:w.ere pei%rrf�ed; re irYibursable exV,6nditufes `'City s�i�h>iSay� xty.(60)'day "s °afterapproval of the invoice%b� Contractor only for Ihose costs or expenses in this Agreement,` or specifically 'approved in 4.4 Contractor shall not receive any compensation for -E without the prior written authorization of City. As Work" means any work that is determined by.Crty to proper completion of the Project, but which is no Proposal and which the parties did not reasonably necessary at the execution of this Agreement. 5 xtra Work•performed used herein, OE:xtra be necessary for the included within the anticipate would be i Milestone Percent of Contract Value 1 Contract signing 5% 2 mice tance of�S stem'Desi n Documents 10% 3 Installation and demonstration of hardware and Coplink application (with =a test databa -se) in °a '`sta 'ing facifity in Southern California or Arizona. 15% 4 Demonstration of sucedssful,search and analysis on data from each system on system in Staging F.acilit 3% per system`to maximum of 24% of contract value 5 Installation oP5 stem in OCILJ designated facil 10°fo 6 Preliminary. Acee tance 10% 7 " <RTovisiohal`ACCe tan'ce 10 °Jo ': FBalance of Contradt�.V'.alue' ` 4.2 Contractor paynienf si name of ' Shall submit and,;a, descnit�on,o1 Contractor no la`terci� City sf4f. 4.3 City shall reimburse specifically approved advance by City. ° ,. involces, in adcocdance wiUi We. mifestone 1- above. Contractors invoices shall lnclude - the 'ent ' where services bwere , provided, a °brff,.. perfotmed andtor the; speck milestorierin the relates, the date therservices,:w.ere pei%rrf�ed; re irYibursable exV,6nditufes `'City s�i�h>iSay� xty.(60)'day "s °afterapproval of the invoice%b� Contractor only for Ihose costs or expenses in this Agreement,` or specifically 'approved in 4.4 Contractor shall not receive any compensation for -E without the prior written authorization of City. As Work" means any work that is determined by.Crty to proper completion of the Project, but which is no Proposal and which the parties did not reasonably necessary at the execution of this Agreement. 5 xtra Work•performed used herein, OE:xtra be necessary for the included within the anticipate would be i 0 0 4.5 Mutually agreed costs for Extra Work shall be added to the total contract price for the applicable phase. Payment shall be incorporated into the milestone payment schedule in the same percentages as outlined for the original contract. 4.6 Notwithstanding any other provision of this Agreement, when payments made by City equal 90% of the total Phase 1 contract price provided for in this =Agreement, no furthet payments shall be made until City has accepted the final Phase 1 work under this !Agreement. 4.7 Phase -2 will be contracted on a work -order basis as agencies add their RMS system to the integration platform. Payments for Phase 2 work shall be based on the Phase 2 pricing included in Exhibit B, Contractors proposal, and shall utilize a payment schedule with a milestone model as documented above. 4.8 Contractor acknowledges and agrees that in•no event shall City's general 'fund monies be used to pay .for services in either Phase 1 .,or 2 of the Projects 'City is ,aeting solely as the administrator of*, the COPS MORE grant funds, which are held in trust by City' on behalf of the OCILJ Steering Committee: In the` event these funds are inadequate to pay for the`costs of the Project, Contractor acknowledges and agrees,that neither City nor its general fund shall be required to make up the shortfall. 5. SOFTWARE;L- ICENSE - Contfactor `;her�etiy`, !grants,=•oto City; a perpetual; non exclusive and non - 1rahsf0r6b *'-license °4o use )forA a internal -business !purposes of 'City and psrtictpahis'in the OC1LJ i�sdesignated „by, City any and all Contractor Software p QG d_ -to City`,Jnder (his Agreement in accordance with 'the teyns'and conditions set forth 'in. this Agreement. 6•: TOWEGT40ANAGER ti COptfibt"o "rashall desgnate`a,P.,roject Manager, who shall coordinate all•phases,of V, Prgfect. This .-I rojetit-Manager -shall be available to ;City ift bli'reasonable limes during the Agreement`term.. Contractor has,designated Bradley Cochran tT,bbAts Project Manager. Gontractoc shall not remove or :rea's&Igrr4he:Rroject Manager, or any personnel: listed in Exhibit B or assign any inew or replacement personnel to the Project without the, prior written °consent- of:City. City's approval shall not be unreasonably withheld with respect to, the removal•or assignment of -non-key personnel. Contractor, at the sole discretion of City, shall remove from the Project any of its personnel assigned to the performance of services upon written request of City. Contractor warrants that it will continuously furnish the necessary personnel to complete the Project on a timely basis as contemplated by this Agreement. 6 s 7. ADMINISTRATION This Agreement will be administered by the Newport Beach Police Department. Captain Paul Henisey shall be the Project Administrator and shall have the authority to act for City under this Agreement The Project Administrator or his authorized representative shall represent City in all matters pertaining to the services to be rendered pursuant to this Agreement. 8. CITY'S RESPONSIBILITIES In order to assist Contractor in the execution of its responsibilities under this Agreement, Cityy agrees to, where applicable: Provide access to, and upon request of Contractor, one copy of °existing relevant information on file at City. City will provide all such materials in a timely manner so as not to cause delays in Contractors work schedule. 9. STANDARD OF CARE 9.1 • All of the services shall'be performed by Contractor or under, Contractor's supervision. Contractor•represents (hat it,possesses the professional and technical personnel required' to perform the services required by this Agreement, and that , it will perform all services in' a manner commensurate with community professional standards. All services shall be sperformed by qualified and experienced personnel who are not employed by City, nor have any contractual relationship with City. 9.2 Contractor represents and warrants to,City that it has or shall obtain all lidenses,:permits, ,qufilifications, °insurance and approvals of.;whats'oever nafuje1hat are legally;, required of�Co`ntractoe to= practice, its profession. Contractor further represents- and•warrants-to City that Contractor shall,, at its sole'cost and expense, keep in'effect or obtain at all times°during the term of this Agreement, any and all licenses; permits, insurance, and other approvals that are'legaIlk required *of Contractor to pfactice'its profe dn. 9:3 Contractor, shall not be responsible for delay, nor ' shall Contractor be responsible °•for damages or be ln'.Mefault or deemed to' beam'defaulf,by reason of.stnkes, - lockouts, accidents, or•acis of God,,or ttie failurd ". " "City to fumish timely Information or to approve or disapprove Contractor's work promptly, or delay or faulty performance by . City, contractors, or governmental agencies. 10. HOMHARMLESS To the fullest extent permitted by law. Contractor shall indemnify; -defend and hold harmless City, its City Council, boards and commissioft offoers, agents and employees (collectively, the 'Indemnified'Pariles) from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, 0 0 without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a Claim; collectively, *Claims), which may arise from or in any manner relate, directly or indirectly, to any work performed or services provided under this Agreement including, without limitation, defects in workmanship or materials and /or design defects (if the design originated with Contractor)) or Contractor's presence or activities conducted on the Project, including the negligent and /or willful acts, errors and /or omissions of Contractor, its principals, officers, agents, employees, vendors, suppliers, consultants, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable or any or all of them. Notwithstanding the foregoing, nothing herein °shall' be construed to require Contractor to indemnify the Indemnified Parties•from °any Claim,adsing'from the sole negligence or willful misconduct of the Indemnified Parties. Nothing in this Indemnity shall be construed as authorizing any award of attorneys fees in any action on onto enforce the terms of this Agreement: This indemnity shall apply to all claims and liability regardless 'of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification' to be provided by the Contractor. 11. INDEPENDENT CONTRACTOR It is understood that City retains Contractor on an independent contractor basis and Contractor is not an agent or employee of City. .The•manner and means of conducting the work are under the 'control of Contractor, except :to• the extent they are limited by statute, rule or regulation .and °the .expressed• terms .of this Agreement Nothing�in, this �Agreement`thall be deeined'to. constitute approval fo "r Contractor orany:of Contractors empioyeesg:o ggehts;,to beAhe agertts;or. ,employees- ol'City, .Contractor shall havethe_ respoosit ,iW,=forand'conttot;,over the means of performingahe work, provided that-,Contractor is in compliance Mdh the terms of this Agreement,Anything in this Agreem Atthat may-appear to, ive City the right to direct Contractor as to the details, of the performance�or to exercise a measure of control over Contractor shall °mean only 7thatc Contractor shall follow We desires of City with respect to the results of the services. .12 COOPERATION Contractor agrees to work closely and cooperate fully with City's designated Project Administrator and any other agencies, cities and other governmental entities that may have jurisdiction or interest in the work to be performed. `City agrees to cooperate with the Contractor on the Project. 13, CITY POLICY Contractor shall discuss and review all matters relating to policy and Project direction with City's Project Administrator in advance of all critical decision points in order to ensure the Project proceeds in a manner consistent with City goals and policies. 8 �ti 14. PROGRESS Contractor is responsible for keeping the Project Administrator and /or his duly authorized designee informed on a regular basis regarding the status and progress of the Project, activities performed and planned, and any meetings that have been scheduled or are desired. 15. INSURANCE Without limiting Contractors indemnification of City, and prior to commencement of work, Contractor shall obtain, provide and maintain at its own expense during the-term of this Agreement, a policy or policies of liability insurance of the 'type ° and amounts described below and in a form satisfactory to City. A. CRIPAICates of Insurance. Contractor shall provide certificates of insurance with original endorsements to City as evidence of the insurance coverage required herein. Insurance certificates must- be approved by City's Risk Manager prior to commencement of perfonnance or issuance of any permit. Current certification of.insurance shall be.kept on file with City at all times during the term of this Agreement. B. Signature. A person authorized by the insurer to bind coverage on its behalf shall sign certification of all required policies. C. Acceptable Insurers. All insurance policies shall be issued by an insurance company curr ii. General Liability Coverage. Contractor shall maintain commercial general liability insurance in an amount not less than one million dollars ($1,000,000) per occurrence for bodily injury, personal injury, and property damage, including without limitation, contractual liability. If commercial general liability insurance or other form with a general aggregate limit is used, either the general aggregate limit shall apply separately to the work to be performed under this Agreement, or the general aggregate limit shall be at least twice the required occurrence limit. Automobile Liability Coverage. Contractor shall maintain automobile insurance covering :bodily injury and property damage for-all activities of the Contractor arising °out of or in connection with. work to be performed under this Agreement, including coverage for any owned, hired, non -owned or rented vehicles, In an amount not less than one million dollars ($1,000,000) combined single limit for each occurrence. iv. Professional Errors and Omissions Insurance. Consultant shall maintain professional errors and omissions insurance, which covers the services to be performed in connection -with 'this Agreement in the minimum amount of one million dollars ($1,000,000). E. Endorsements. Each general liability and automobile liability insurance policy shall be endorsed with the following specific language: �`� ; • is The City, its elected or appointed officers, officials, employees,,. agents and volunteers•are•to•be,covered as additional insureds with'° respect to liability arising out -of work performed by or on behalf of the Contractor. This ,policy shall be considered primary insurance as respects to City,.its elected or appointed officers, officials, employees, agents and volunteers as respects to 611'- clainms., losses, or liability arising ,directlyor. indirectly from the Contractor's operations of services provided -to City. Any insurance maintained by City, in any self=insured retention City may have, shall be considei`ed excess insurance only and not contributory with the insurance provided hereunder. iii. This:insurance. shall act for each insured and additional insured as though a separate policy-had been written for each, except with respect to the limits of liability of the insuring company. iv. The insurer waives all rights of subrogation against City, its elected or appointed officers, officials, employees, agents and volunteers. 10 ,n. V. Any failure to comply with reporting provisions of the policies shall not affect coverage provided to City, its elected or appointed officers, officials, employees, agents or volunteers. vi. The insurance provided by this policy shall not be suspended, voided, canceled, or reduced in coverage or in limits, by either party except after thirty (30) calendar days written notice has been received by City. F. Tmely Notice of Claims. Contractor shall give City prompt and timely notice of claim made or suit instituted arising out of or resulting from Contra ctoes'performance under this Agreement. G. Addiflonif Insurance: ,Contractor shall also procure and maintain, at Its own cost and expense, any additional kinds of insurance, which in its own judgment may be necessary for its proper protection and prosecution of the work. 16. PROHIBITION AGAINST ASSIGNMENTS AND TRANSFERS Except as specifically authorized under this Agreement, the services to be provided under this Agreement shall not be assigned, transferred, contracted or subcontracted out without the prior written approval of City. Any of the following shall be construed as an assignment: The sale, assignment, transfer or other disposition of any of the issued and outstanding capital stock,of Contractor, or of ~ the inteozst of any general partner or joint venturer or syndicate member or coten'Wsif Conlrat tor•is a partnership orjoint venture, or ;syndicate°or cotenancy, which Shall „re§ujl -in :changing the control ofaConiractor. totttrdl,mean"s 'fifty pe cent (5th %),or more.of9he voting.power, ortw,enty!five�perce6t•!(25 0/6) or more of•the assets of the corporation, partnership or joint •venture. ,t 17% SUBCONTRACTING t Crtyand Contractor, agree that' subcontractors may. be used to'complate the work outlined i -Ihe °8cope of 36rVices. The subcontractors; authorized 'by City to perform M&-on Ibis. Protect' include Unisys; ,and:are 4dent.1 in Exfiiblt -•B. G�bntractof shall be fully responsible to City for -all° ads and o °missions of the subcontractors. Nothing in this Agreement shall create any contractual relationship between.City and subcontractor nor shall it create any obligatiori on the. part . of City to pay or to see to the payment-of any monies due to any such subcontractor other than as otherwise required by law. Except as specifically authorized herein, the services to be provided under this Agreement shall not be otherwise assigned,'transferred, contracted or subcontracted out without the prior written approval of City. 11 18. OWNERSHIP/ INTELLECTUAL PROPERTY (A) Contractor has created, acquired or otherwise has rights in, and may, in connection with the performance of services hereunder, employ, provide, modify, create, acquire or otherwise obtain rights in, various concepts, ideas, methods, methodologies, procedures, processes, know -how, techniques, models, templates, the generalized features of the structure, sequence and organization of `software, user interfaces and screen 'designs, general purpose consulting and software tools, utilities and routines, and logic, coherence and methods of operation of systems (oollectively,'Contractor• Technology'). To-the extent that 'Contractor uses any of°its intellectual or other property in connection with the performanoe of its services, Contractor• shall retaln° all right, title and interest in and to such property, and; except for the license expressly granted, City shall acquire no right, title or interest in or to such property. (B) City has permanent ownership of all directly connected and derivative materials first produced undef 'this Agreement in connection with the Services by Contractor for-,061j" ypry to the C4, excluding any Contractor Technology contained therein. All documents, reports and other incidental or derivative work or materials furnished hereunder shall become and remain the sole :property of the City and maybe used by the City ;as it may require 'without° additional cost to the City. Contractor without°•the express written, consent of the City shall use none of the documents; reports and other °incidental or derivative ,work or furnished materials except -in providing .the Services• hereunder. All 'materials, documents, data or inforrhation bbtain'ed, from -City defa fileslor <anylCity medium�fufnished =toaC ntra'i tocsin tKip,performance of thislAgreement will at.all times remalnahe'•property_of the City. (C) City shall have the.right to. use the trademarks and name of Contractor, but' shall not 'have "the right' "to °use" the names of the ° inventor`' of the Contractors Software without the written consent° of 1he party, whose `41meis desired,to be•u'sed. , 19. C0MPUTEf2- DE, LIVERABLES. ; All system and project management documentation including (but not limited to` desigmdocuments, as -built documentation, working papers, •test results, training materials and other written documents shall be delivered in hard copy and transmitted °to• °City in an electronic version using 'Microsoft Office Products, including Microsoft Word, Excel and Project readable by City. 20.' SOURCE CODE ESCROW All application source code authored by the Contractor shall be placed in a source code escrow account acceptable to the City. All updates to the software provided to the City and its assigns and agents shall be placed into the account as long as 12 the City and its assigns have a valid maintenance support arrangement with the Contractor. In the event that the Contractor becomes insolvent or is found to be in breach of its support agreement with the City, the City shall be given access to the source code in escrow and shall have the right to contract with another vendor for the ongoing maintenance and enhancement of its installation. 21. WARRANTY AND ONGOING MAINTENANCE SUPPORT %7W„r.nl vrurrunry. s,ontramor nereoy represents ano warrants for the benefit of City that, for a period of 90 days from the date of final acceptance, and after each update or revision thereof, all COPLINK Software products and ETL (Extract/Transfer/Load) services will, substantially conform to the representations made in the- Contractor's Proposal. Equipment provided by Unisys as part.of the subcontracting Agreement between Contractor and Unisys is subject to standard Unisys product warranties and licensing. 21':2 Warranty of .TiUe: Contractor represents and warrants that it owns the Software, or has a right to license the Software, as described inAhis Agreement and,Exhibit.6. 21.3 Annual Maintenance °Plan: Contractor shall maintain and support the Software subject to the terms outlined in -lhe Scope of Services, `attached hereto as Exhibit A. City has opted to.purchase °the three -year warranty package outlined in Contractor's Proposal. 21A Response Times: During the warranty period, the Contractor shall provide 4,-hour .on- site ,response =to a4system d,8fdenpy that, afiects° 10 :or more .workstations, or one server or impacts average. trap "saclion time,by- " more than 20 %. Staff must be available to respond Monday through Friday from 8 "am to 5 pm, Pacific Standard'Time. 21.5 Routine Maintenance: During the warrality'period, Contractor will "vtsrf the site at, least once every 12 weeks, =arid 2t that time verrfy that "all system cornponents °are operating vhthih•speci'icattons, and upgratle ail system .comjonents.toali'e latest availatite softvrere release rOpetatirjg systems- need not, be= upgraded as nev{ releases are issued liut:alf maintenance patches available must'be installed on the servers on the monthly visits. • 22. ACCEPTANCE OF DELIVERABLES For each project deliverable, Contractor° will pre §ent the OCILJ Project Coordinator with a Deliverable Acceptance Statement. The project coordinator should sign and retum'a copy of this form to the Unisys Project Manager. If the OCILJ does not return a signed copy, or a written description of any perceived deficiencies in the service within fifteen (15) days after receipt of the Deliverable Acceptance Statement, then the services will be deemed accepted. 13 0 0 23. CONFIDENTIALITY (A) Contractor agrees to maintain the confidentiality of its records pursuant to all statutory laws relating to privacy and confidentiality as now in existence or as hereafter amended or changed. "Confidential Information' shall include criminal history information and records, Contractor's research- and development plans and reports, the computer code for the Contractor Software (both source and object code), the functionality or manner of operation of any computer code (including without limitation screen designs and flows), or any other designs, techniques, methods, specifications, drawings, sketches, processes, trade secrets, product information, print -outs, formulae, samples, prototypes, systems and components, marketing or promotional information, and any other information marked confidential or accompanied by correspondence indicating such information is confidential exchanged between the parties hereto. All records and .information concerning any and all matters referred • to Contractor by the City shall be considered and kept confidential by Contractor and Contractor's, staff, agents, subcontractors, and employees. Information obtained by a party in the performance or receipt of the Services under this Agreement ( "Confidential Information ") shall be treated as confidential and shall not be used by the other party for any purpose other than the performance or receipt of the Services under this Agreement (B) Each party shall maintain the Confidential Information of the other,party in confidence using at least the same degree of care as ^it employs? in maintaining in confidence its own °proprietary' and cohfdentiakinfonnation, but in no•=event less than a reasonable degree •oofT care. Confidential Information shall not include information which. () shall have otherwise become publicly available other than as a result of disctosurp by the receiving party in breach hereof, (i) was disclosed to ,the receiving party on a non - confidential basis from a source other than We discli3 ng.pa?ty; which -the receiving,p'arty believes is not prohiblted from disclosingE such information as a of resulCof an obligation in favor, thOldisckis(ng party, J(iiy is 'developed by the!reseMng;party:independently of; or.was known by the receiv ng;party priorto, any °disclosure of such informatiori� made by the disclosing party, or (iv) is disclosed with the written consent of the disclosing party. A receiving party also may disclose Confidential Information to the extent required by an order of a court of competent jurisdiction,.administrative agency or governmental 'body, or by any law, rule or,regulation, or by subpoena, summons or other administrative' or legal process. (C) Contractor's employees assigned to this Project must meet character standards as demonstrated by background investigation and reference checks, coordinated by City. 14 �� 24. INTELLECTUAL PROPERTY INDEMNITY The Contractor shall defend and indemnify City, its agents, officers, representatives and employees, against any and all liability, including costs, for infringement of any United States' letters patent, trademark, or copyright infringement, including costs, contained in Contractor's Deliverables and specifications provided under this Agreement 25. RECORDS Contractor shall keep records and invoices in connection with the work to be performed under this Agreement Contractor_ shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures and disbursements charged to City, for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Contractor under this Agreement. All such records and invoices shall be clearly identifiable. Contractor shall allow a representative of City to examine, audit and make transcripts or copies of such records and invoices during regular business hours.' Contractor shall allow ins"p"ection of ail work, data, Documents, proceedings and activities related to the Agreement for period of three (3) years from the date of final payment to Contractor under this Agreement 26. WITHHOLDINGS City may withhold payment to Contractor of any disputed sums until•satisfaetion 'of the dispute with respect to such payment. Such, withholding - shall not be ,deemed to° "constitute a-- Milure,to pay aebbrdingAo the terms of this :Agreement Contractor shall not4scontinue work:as a'result °of,sueh wrthholding: Gohtractor shall have an immediate rightto °appeal to the CityManager or' his/her designee With respect to such disputed sums. Contractor shall be entitled tot receive interest on any withheld sums of the rate of return that City -earned' on its investments during the time period, from the date of withholding of any °amounts found to have been -improperly withheld. 27:° ERRORS ANUr.OMISSIONS in-the event of errors or omissions that are due to the negligence or professional inexperience of Contractor which result in expense to City greater, than what would have resulted if there were not errors or omissions In the work accomplished by Contractor; the additional expense shall be .borne by Contractor. Nothing in this paragraph is intended to limit City's rights under any other sections of this Agreement. 28. CITY'S RIGHT TO EMPLOY OTHER CONTRACTORS City reserves the right to employ other consultants or contractors in connection with the Project. 15 .a 29. CONFLICTS OF INTEREST The Contractor or its employees may be subject to the provisions of the California Political Reform Act of 1974 (the "Act'), which (1) requires such persons to disclose any financial interest that may foreseeably be materially affected by the work performed under this Agreement, and (2) prohibits such persons from making, or participating in making, decisions that will foreseeably financially affect such interest. If subject to the Act, Contractor shall conform to all requirements of the Act. Failure to do so constitutes a material breach and is grounds for immediate termination of this Agreement by City. Contractor shall indemnify and hold harmless City for any and all claims for damages resulting from Contractor's violation of this Section. 30. NOTICES All notices, demands, requests or approvals to be given under the terms of this ,Agreement shall be given in writing, to City by Contractor and conclusively shall be,deehiod served'when delivered = personally, or on the third business day after the deposit thereof in the United States mail, postage prepald, first -class mail, addressed as hereinafter provided. All notices, demands, `requests or approvals from Contractor to City shall be addressed to City at" Captain Paul Henisey Newport Beach Police Department 870�Santa- Barbara Drive .Newpo t'Beach, CA, 92658 -7000 (949) 6443650 Fax 644 -3693 All notices, demands, requests or approvals from City to Contractor shall be addressed to Contractor at: Attention: Mr. Thomas O'Neil :Vice' President ratons Knowledge- Computing Corporation 6601 East Grant Road Tucson, AZ 85715 (520) 574-1519x-118 Fax 37. TERMINATION In the event that either party fails or refuses to perform any of the provisions of this Agreement at the time and in the manner required, that party shall be deemed in default in the performance of this Agreement `If such default is not cured within a period of two (2) calendar days, or if more than two (2) calendar days are reasonably required to cure the default and the defaulting party fails to 16 ,� give adequate assurance of due performance within two (2) calendar days after receipt of written notice of default, specifying the nature of such default and the steps necessary to cure such default, the non - defaulting party may terminate the Agreement forthwith by giving to the defaulting party written notice thereof. Notwithstanding the above provisions, City shall have the right, at its sole discretion and without cause, of terminating this Agreement at any time by giving seven (7) calendar days prior written notice to Contractor. In the event °of termination under this Section, City shall pay Contractor.for services satisfactorily performed and costs incurred up to the effective date of termination for which Contractor has not been previously paid. On the effective date of termination, Contractor shall deliver to City all reports. Documents and other information developed or accumulated in the performance of this Agreement, whether in draft or final forth. 32. COMPLIANCE WITH ALL LAWS Contractor. shall at its own cost and expense comply with all statutes, ordinances regulations and requirements of all governmental entities,, including . federal, state, county or municipal, whether- now.in force:`or hereinafter. enacted.. In addition, 'all work prepared by Contractor shall conform to applicable. City, county, state and federaHaws, rules, regulations and permit requirements and be subject to approval of the Project Administrator and City. 33. WAIVER ,A waiver by either party of any .breach, of any term, covenant or condition coritainedherein shall not,be deemed, -to be:a waiver of any subsequent, breath oFft same;o ?,any.other -term, covenant or condition,contained Herein, whether of the same,or ,,a different character. 34. INTEGRATED: CONTRACT This Agreement represents the full and complete understanding of every kind or •netur"e whatsoever between the patties hereto, and all prelim inary,regotiatiods 6ntl'.yagreem6hts of`whatsoever;kind ; or nature are merged herein. No verbal = agreerherit dr implied covenantshah beheld to vary thepriivisions herein. 35. CONFLICTS OR INCONSISTENCIES In the event there are any conflicts, ambiguities or inconsistencies between this Agreement, the Scope of Services and the Proposal or any other exhibits attached thereto, the order of precedence in. interpretation shall be as follows: The term's of this Agreement shall govem.first, the terms of the Scope of Work shall govem second, and the terms of the Contractor's Proposal shall govem third. City specifically rejects and does not agree to the following provisions included in Contractor's Proposal: Paragraphs 6, 8, 9, 10, 17 and 26 of Appendix H, 17 "Technical and General Assumptions." These provisions are not part of this Agreement. Each party and its counsel have participated fully in the review and revision of this Agreement. Any rule of construction to the effect that ambiguities are to be resolved against the drafting party shall not apply in interpreting this Agreement. 36. AMENDMENTS This Agreement may be modified or amended only by a written document executed by both Contractor and City and approved as to form by the City Attorney. 37. SEVERABILITY If any term or portion of this Agreement is held to be invalid, illegal, or otherwise unenforceable by a court of competent jurisdiction, the remaining provisions of this Agreement shall continue in full force and effect. 38. CONTROLLING LAWAND.V.ENUE The laws of the State of California shall govern this Agreement and all matters relating -to it and any action brought relating to this Agreement shall be adjudicated in a court of competent jurisdiction in the County of Orange. 39.. EQUAL OPPORTUNITY EMPLOYMENT Contractor represents that it is, an equal ;opportunity employer and it shall not 'discriminate against any subcontractor, employee or applicant for employment because of race, religion, color, national origin, handicap; ancestry, sex or age. 40. PUBLICATION AND PRESS RELEASES Contractor shall have the right to issue a press- releases) that references the Project immediately,upon executlon:of this Agreement City must approve the press releasi;(s) prior to issuance: Contractoj`mayxaiso publish general details abbut any.'sucoe5sful , inVestigations that rbsdItetl' from the° use of4t's• software applications,• subject to privacy -and security law, regulations and policies: City must approve any such references. 41. COUNTERPARTS This Agreement may be signed in any number of counterparts. IN WITNESS WHEREOF, the parties have caused this Agreement to be executed on the day and year first written above. 18 APPROVED AS TO FORM: - ra"4'�— Ro in Clauson, City Attorney for the City of Newport Beach Attachments: 0 CITY OF NEWPORT A Municipal Qorporatl for the City of CONTRACTOR: Beach By: ,. Robe es de Knowledge Compu to rporation Exhibit A – Scope of Work Exhibit B – Proposal for a Records Management System Data Sharing Solution, dated September 15, 2004 F: users1cat/shared/30LK Knowtedge Computing Corporation Contract.doc 19 n. 0 0 Exhibit A — Scope of Work This section outlines the services, equipment, software and tools to be provided by the Integrated Justice System Vendor in the execution of the contract. The services and products described apply to the Integrated Justice System Search Tool, integrated data system and Analysis Tools. For the purposes of the scope of work, the Orange County Integrated Law & Justice Steering Committee considers all of these subsystems integral parts of a single system, hereafter referred to as the OCILJ Data Sharing Solution. The delivered system must meet the functional and technical requirements as detailed in Section REQ, Requirements. There are two components to the system. The first is an integration and data °sharing solution.thot extracts data from existing records management systems and makes that information available to all participating agencies through a search user interface. The second component is a set-of analysis tools,that allows staff from the various agencies to manipulate and analyze the data extracted from the RMS, CAD and various other systems that may be added to the overall integration solution over time. For the purposes of this document, the scope of worts may be divided into two °phases. Phase 1 includes full implementation of the OCILJ, Data Sharing Solution (data integration, search and analysls tools) including data integration of 3-7 police agency records management systems within Orange County and the court's citation database. Phase 2 Includes the addition of the remaining police agencies into the integrated system and will be conducted on an incremental basis. Provision and implementation of the analysis tools is expected to be completed in Phase 1 of�the project. A number -of team members•from.each justice agency,will.be involved with the overall project. Actual team members will be selected at a later date, for the purposes of this document they are referred to as the Ora nge4County4ritegrated Law & Justice, (OCILJ) Working Group. The members of this team will fluctuate with the project schedule, ,depending onihetiming of1he work fora specific,agency. The overal)°deciding body of the' project includes officials4rom all involved police and-justice agena7es, referred to as the OCILJ Steering Committee. The scopeTof wort -Will indvde the integration,of,data from court's citation database and a number ,of police agency records management systems; hereafter referred to as Phase 1 sites that will Implement solution. The following sites are currently being considered for inclusion in Phase 1. %'Phase 1 Sites: No Agency Reco.rds°Mana ement System 1 Brea Tiburon 2 West Covina Consoitium West,CoVina 3 Garden Grove PD Custom RMS 4 Irvine Intergraph 5 Newport Beach North mp Grumman PRC 6 Orange Coun Sheriff I Visionair 20 g 7 Orange County Sheriff Arrest and Booking System Mugshots 8 Orange County Superior Court OC Court's Citation Database A final selection of Phase 1 sites will be determined at contract depending on the level of cooperation required and achieved with the RMS vendor and pricing and budget considerations. Vendors should base their pricing on the assumption that at least 3 Police RMS systems will be included in Phase 1. Phase 2 Sites: No Agency Records Management System 1. Huntin toh Beach PD Inter �h 2. Fullerton PD West Covina Services Group 3. Westminster PD Alliance PD .0 run Corp. 4. Tustin PD West Covina Services Group 5. Los Alamitos PD West Covina Services Grove 6. Fountain Valley PD West Covina Services Group 7. Buena Park PD Spillman 8. La Palma.PD West Covina Services Group 9. Santa Ana PD Custom built' 10. La Habra PD West Covina Services Group 11. Orange PD Visionair RMS 3.0.5 12. Costa Mesa PD Motorola PrinTrak 13. Anahelm:PD Currently in procurement 14. Placentia PI? 15. La una,Beach West Covina,Services ,Grou` WFiile Phase 1 sites will �ha4e•their data shared in Phase 1, atl,of;the participating justice agencies will be able to search, vievrand analyze ihe'sl ared data-during +Phase 1. SOW 1 — General °SOW14, :Location of WcA The,primafy, work d6dation,,shall be in facilities,provided ' by the Orange, -County Integrated taw, Justice agencies in the State .of Califotnia: ,The•Ventlor.can complete much of the work in their own facilities. However, all "requirements wgrkshops, project management meetings, training and integration and acceptance testing shall occur at the Primary Work Location. These requirements are applicable to both Phase -1 and Phase 2. SOW1 -2 Vendor Project Manager The Vendor shall °assign a Vendor Project Manager to this project. The Vendor Project Manager will be the single point of contact 'respon'sible for all work undertaken by the Vendor. The Vendor Project Manager shall be on site in Orange -County as needed through the duration of the project. During implementation and up to provisional acceptance the Vendor Project Manager must be on site in Orange County at least 4 days every two weeks unless agreed to by the OCILJ Project Manager. At no time during the project, shall the project 21 4 manager be on site less than 2 days in a calendar month. These requirements are applicable to both Phase 1 and Phase 2. SOW1 -3 System Staff on Site Support For Phase 1, programmers and systems specialists capable of making any required changes to the system shall be on site on a full time basis for the duration of system integration testing, and on a half time basis through to provisional acceptance of Phase 1. Support personnel capable of restoring the system shall be available within A hours through Final Acceptance of the system. The same requirements apply to Phase 2 incremental projects. SOW 2 — Services SOW24 Inception For Phase 1, the Vendor shall meet with the Orange County Integrated Law & Justice project management as often as necessary over the period of 3 weeks to finalize the project plan, schedule initial meetings and workshops and agree and document project processes, procedures and reporting systems. For costing purposes, the Vendor should expect to meet onsite at least 3 days per week. For Phase 2, the Vendor shall meet with the Orange County Integrated Law & Justice project management as often as necessary, for each RMS system to be integrated, to finalize the project plan, schedule initial meetings and workshops and agree and document project processes, procedures and reporting systems. For costing purposes, the Vendor should expect to meet for 3 days for each -site. t This meeting period will commence within 3'weeks of the vendor being notified that OCILJ wishes to add an RMS system to the integration solution. Requirements for the number of days spent onsite for the Inception servicesare included,here for cost purposes. Actual time requirements for Inception services may vary. SOW2 -2 Site Surveys In conjunction with the inception meetings, the Vendor, shall visit` all sites included in the phase and work with technical personnel-at that agency aswell -as the agency's ° RMS,,3endoe to fully validatd1helr approach. and de,sigh° fo "r integration with the data at that site. During these visits the Vendor shall. determine the installation requirements for the OCILJ Data Sharing Solution components to be installed and the suitability of the facilities and infrastructure of the sites to house the system and associated equipment The findings of these examinations will be compiled by the Vendor and submitted to the OCILJ Steering Committee. OCILJ police agencies will implement physical `plant -electrical and network facilities to support the system based on the report - provided by the Vendor. SOW2 -3 Requirements Validation Workshops The Vendor shall conduct requirements validation workshops to walk through all of the Orange County Integrated Law & Justice requirements and determine the required configuration details. Workshops will need to be held for each site that 22 will be included in the OCILJ Data Sharing Solution. Logistics for the workshops shall be managed by the Orange County Integrated Law & Justice team members. These requirements are applicable to both Phase 1 and Phase 2. SOW2 -4 System Design Documentation Following the requirements validation workshops the Vendor shall develop design documents detailing the configuration and any custom development. The documentation must be detailed enough for reviewers to understand the function and appearance of all screens. This documentation shall be submitted to the OCILJ Steering Committee for a 1 week review period. During the review period the Vendor shall update the. project plan to reflect the configuration and customization effort. Following the OCILJ Steering Committee's -review. the Vendor and the,OCILJ Working Group shall finalize the design documents and .project schedule. These requirements are applicable to both Phase 1 and Phase 2. SOW2 -5 Development and Customization The Vendot shall perform the customizations outlined in the finalized System Design Documentation described above. These requirements are applicable to both Phasel and Phase 2. SOW2 =6 Configuration The Vendor shall undertake all configuration of the data sharing application, the Search Tool, 'and Analysis Tools to meet the requirements as defined in the workshops and design documentation. These requirements are applicable to both Phase 1 and Phase 2. SOW24 Interfaces The Vendor shall °be -responsible for implementing all aspects of theiinterfaces describers in °the,requirements. The Vendor will be responsible for implementing the legacy skMem,end of the interfaces, working with OCILJ staff lo,`ungerstand technical interface requirements and for Ilaising with RMS vendors. to; facilitate interfaces Wlth_QCILJ RMS's. As appropriate, the Vendor will utiliiZO existing OCILJ relationships °with.RMS vendors. Each OCILJ agency intends -to- provide support for establishing relationships- with °RMS Wriddrs -and btfildiN§ 'the interfaces,foe,tWis-'project, but thatsupport °may dot aRvays,be,guara`riteed: In cases wh te; justice agencies within the county to support the integration of the Records Management Systems. These requirements are applicable to both Phase 1 and Phase 2. In some cases, the Data Sharing project team may experience problems with the Integration, such as a lack of cooperation from an RMS vendor. OCILJ and the Vendor will utilize all reasonable resources to resolve integration problems. However, if the problem persists or the solution is cost- prohibitive, OCILJ reserves the right to change the sites that will be part of Phase 1. SOW2 -9 Servor Installation The Vendor will work with OCILJ agencies to understand existing infrastructure available for use on this project. In the event that more servers are required, the Vendor shall install, configure, test and commission all server equipment and infrastructure required to support the system. The development server shall °be installed and commissioned at the Primary Work Location prior to acceptance of the System Design Documentation by the OCILJ Steering Committee. The production environments must be installed and commissioned 8 weeks.prior to commencement of Data Sharing Solution Testing. In a number of cases, several police agencies may already own adequate hardware and server software. This hardware will be'idenlified in Inception. These requirements are applicable to both Phase 1 and Phase 2. SOW2 -10 Workstation Software -installation Systems that require the installation of workstation software are discouraged. In the • event that a vendor- solution requires workstation -specific software be- installed, the Vendor shall install all workstation software to support 'the application including, any client application softwarre, ° :The Vendor call assume. that Microsoft Windows NT, XP, 2.600, 2003 and, all standard Windows, components already exist on all ;workstations, including Internet Explorer. These requirements are applicable, to; both Phase 1 and Phase 2. o During Phase 1, up to 500 workstations at up to 10-different locations may be required. During -Phase 2, the Vendor should assume'thatran average of 100 workstations wilt be required for each additional RMS system, incorporated into the solution. S6W2 -11 Project Management The Vendor Project. Manager shall maintain a detailed schedule. of activities for his/her team and update the schedule on a weekly basis until Provisional Acceptance of the system. The updated schedule shall, along with progress reports, `be forwarded to the OCILJ Project Manager on a weekly basis. The Vendor Project Manager shall present the current status of the work at a meeting in Orange County every 2,weeks through the life of the project. Progress reports shall include a table listing all delivery milestones along with the originally scheduled date and the current target date and the number of changes to the date. 24 The Project Management requirements are applicable to both Phase 1 and Phase 2. SOW 3 — Equipment and Software SOW3 -1 Complete Solution The Vendor shall offer a complete solution including all hardware and software required to operate the production system. The Integrated Justice Working Group has a number of Windows 2000 servers and Microsoft SOL Server licenses. During negotiations and design, discussions will be undertaken to determine if the solution can be operated on the Group's existing infrastructure. SOW3 -2 Primary Server acid Infrastructure Environment The Vendor shall provide, deliver, install, configure and test the complete production server hardware and software environment in the selected data center location. All warranty and licensing agreements associated with this infrastructure must be in the name of the OCILJ Working Group or their designate. SOW3 -3 Development I Test Server Environment The Vendor shall consult with the OCILJ Working Group and Steering Committee to ascertain the availability of development and test servers. df new equipment will be required, -the Vendor shall provide, deliver, install, configure and test the complete development server hardware- and software environment in the selected data center location. All warranty and licensing agreements associated with this infrastructure must be in the name of -the OCILJ Working Group or their designate. The -Development, TesVenvjronment will;be used .by. Vendor•personnel to-tonfgure•and do.preliminary testing of,the systern prior to commissioning. The system must be sized to supportathe- developmjnt °and configuration that will be performed by the Vendor" and must scale to the requirements for Phase °2. . SOW3,- 4,Devetopment Workstations .The °Vendor shall determine`the number of required developmentworkstations in the -Inception phase °of:•Phase 1. The Vendor shali'aprovide, .deliver, install, configuwand Jett .the, development workstations.and a development local area network•'infrastructure to be used by Vendor personnel. After the completion of Phase 1, the development workstations will continue to be used for.Phase 2. Any additional workstation requirements for Phase 2 will be' determined in the Phase 2 inception phase. All warranty and licensing agreements associated with this infrastructure must be in..the name of the Orange County Integrated•Law & Justice Working °Group or their designate. SOW3 -5 User Workstations The Vendor shall provide specifications for user Workstations as outlined in the submission requirements. If additional or altered specifications are created as a result of changes for Phase 2 implementation, the Vendor will reissue specifications for user workstations. 25 .fl SOW3 -6 System Software The Vendor shall provide, deliver, install, configure and test all Data Sharing Solution system software. The Vendor will be responsible for installing any client software that is required other than standard browsers on all workstations at Phase 1 sites and Phase 2 sites. All warranty and licensing agreements associated with this infrastructure must be in the name of the Orange County Integrated Law & Justice Working Group or their designate. SOW3 -7 Data Integration and Web Development Tools The Vendor's responsibilities in this area are limited to providing the applications configuration and web development tools used to meet the requirements of the Data Sharing Solution defined in the System Design Documentation, and providing training and documentation on any proprietary products and -tools supplied. SOW3 -8 Third Party Software The Vendor shall provide, deliver, install, configure and test all' third party software that is required to, support the operation of.the Data Sharing Solution on all Qf the server components as well .as any items that are required other than those provided with Microsoft Windows XP /NT/2000/2003 or later' operating systems on the workstations. All warranty and licensing agreements associated with this software must be in the name of the Orange County Integrated Law & Justice Working Group or their designate. `' SOWS -9 System Management Software The Vendor shall provide, deliver, install, configure and test all software that Is required to- effectively manage the server infrastructure and the,applications. All warranty and licensing agreements associated vrilh, this software must be in the name of the Orange County Integrated Law & Justice Working Group or their designate. SOW 4 — Acceptance and Testing SOW4-1 Acceptance Acceptance of the Data Sharing Solution shall be conducted in a multistage process in Phase 1 and Phase 2. SOW4 -2 Preliminary Acceptance Preliminary Acceptance shall be granted following the acceptable completion of Data Sharing Solution Testing and clearance of all , deficiencies identified during Data Sharing Solution Testing. These requirements are applicable to both Phase 1•and Phase 2. SOW4 -3 Provisional Acceptance Provisional Acceptance shall be granted following the acceptable completion of user acceptance testing and clearance of all deficiencies identified during user acceptance testing. 26 ­A) 0 0 SOW4 -4 Final Acceptance Final Acceptance in Phase 1 shall be granted after 16 weeks of operation without a system outage affecting more than 10 workstations or reducing system throughput by more than 20%. Final Acceptance in Phase 2 will follow similar guidelines but will be staggered, according to the project schedule. SOW4 -5 Data Sharing Solution Testing This testing shall be conducted on each site Production System, prior to the commencement of system Integration Testing. If the solution consists of one central system for all sites, this testing will consist of individual testing for each site. The Vendor shall be responsible for and submitting a testing plan for approval by the OCILJ Steering Committee at least 4 weeks prior to commencing the testing. This testing shall completely test the operation of the .Data Sharing Solution at/for each site. The testing shall also include load testing that confirms satisfactory operation with 100 concurrent users simulated. In addition to the testing proposed by the Vendor, the OCILJ Working Group may submit additional tests that must be completed by the vendor: Requirements for Data Sharing Solution Testing are•applicable to both Phase 1 and Phase 2. SOW4 -6 System Integration Testing System integration testing shall be conducted by the Vendor. The testing shall be conducted on the Production system prior to the commencement of training or user acceptance testing. The testing shall exercise all integration points and•" interfaces. The Vendor's primary responsibilities during -this testing will be verifying operation of the Data Sharing Solution for all Phase 1 sites and repeating •the system load test on the production system with all Phase 1 interfaces active. For Phase 2, system integration°testing Will also be conducted . by the Vendor. The manner in which System Integration Testing will be conducted in Phase 2 will be determined in the Inception Phase. SOW4.7 User Acceptance Testing User Acceptance Testing shall be conducted following the System Ihtegration" Jesting on the Production System. The testing will be conducted by the Vendor. The Vendor shall ,have, personnel on site throughput the testing to :address deficiencies and operational issues that arise. User acceptance--testing will•only. b6j Oformed in Phase 1. However, if changes aye introduced into the system as part7of Phase 2 implementation, a subset usei acceptance testing phase will be conducted. SOW 5 — Training SOW54 General Training Philosophy The Vendor shall develop and conduct all primary .system training. Train the trainer courses shall not be used to train users for initial system startup. The OCILJ Working Group shall provide training rooms• with furniture and network connection to the production server location. The OCILJ Steering Committee will designate between 2 and 10 personnel,that will become staff trainers following acceptance of the system. These personnel will work with the Vendor to provide 27 q1 input into the operational aspects of the training materials and will be the primary reviewers of the training materials. They will also sit in the courses as instructor trainees to develop an understanding for how the material should be delivered. For Phase 2, training will be conducted by the OCILJ staff trainers. SOW5 -2 User Training The Vendor shall develop and deliver a primary user training course to up to 100 users. Two classes shall be conducted simultaneously in 20 person classrooms. The curriculum must be sufficient to allow users with a basic understanding of the police agency's business to become proficient rin the use of the system to conduct their day to day activities. SOWS -3 Administrator Training The Vendor shall develop and conduct a course suitable for system administrators. This course Y411 be delivered two times in classes of up to 5 people. ' This course should contain detailed explanations of the technical administration of the Data Sharing Solution, including management of security., This service will primarily be provided as part of Phase 1. However, should a significant number of administrator resources be identified in Phase 2, additional administrator training courses may be required. SOW 6 — Documentation 'SOW6 -1 General Documentation The Vendor shall provide complete product documentation (such as standard does that accompany a purchased server computer) for all software and h'a'rdware components providedato the 'OCILJ Working ;Group as part of .this contract. This requirement is °applicable to Phase 1 and Phase 2 work. SOW6 -2 Data Sharing Solution Systems Documentation a Two hard copies and one electronic -copy of all Data Sharing. Solution system documentation shall be provided in Phase 1. If •changes° to the. Data Sharing Solution systems `documentation result from work performed ,in Phase 2, two hard copies and one electronic copy of updated Data Sharing Solution systems documentation will be provided in Phase 2. Data Sharing Solution systems documentation includes all project planning and execution deliverables. SOW6 -3 User Documentation The Vendor shall provide all user documentation in an electronic format simultaneously accessible to all users in or affiliated with OCILJ police agencies. The documentation must be sufficiently detailed and complete so that a computer literate User could use it to learn all functions of the system. The documentation must incorporate instructions on how to use all features customized and configured for this installation. The documentation available after Phase 2 implementation or an incremental implementation in Phase 2 will reflect any changes resulting from Phase 2 work. 28 SOW64 Training Documentation The vendor shall create two user manuals, one for using the Search Tool and another for using the Analysis Tools. Each training manual must be a substantive document that provides material for training all functionality within the solution. These training manuals must be approved by the project management prior to being released to end users. The Vendor, shall provide at least 30 copies of each training manual to be distributed to personnel as they receive training on the use of the system. The Vendor shall also provide the OCILJ Working Group with editable electronic versions of these manuals in order that they may be updated and additional copies made for future training of new employees. The manuals must include a quick reference section that users may use on an ongoing basis as well as training exercises, examples of functions and instructions for basic operation of the system. It is expected that these quick references will be a supplement or subset of the online `training materials specified above. Should changes to the training 'documentation be required as a result of Phase 2 changes, the Vendor shall provide 50 updated copies of a training manual to the OCILJ Working Group. S(?W,6 -5 Technical Documentation The Vendor shall provide 2 sets of all hardware and third party softwaretechnical documentation for each site on which these items are installed. The Vendor shall provide 2 sets of technical documentation describing configuration,' database mapping •integration techniques, systems management and technical support procedures for the Data Sharing Solution, -for each she. ` These requirements apply to both Phase 1 and Phase 2. If changes to the technical documentation resull4rom Phase 2 work, and those changes are appligd to the Phase 1 implementation, updated technical documentation will be provided to the Phase 1 sites. SOW6= 6'Database Documentation Wherever datal asks are :established or significant•work is done understanding existing databases, the Vendor shall compile documentation on the database structure and schema suitable to support ongoing support and further extension and expansion of these databases. This documentation shall be left with the OCILJ Working Group for Use as they see fit in the ongoing operation, maintenance and expansion of the system. eSOW6 -7 Data Mapping Documentation Data originating from each data source will be transformed (if required) and mapped to a corresponding Global Justice XML defined element. The Vendor must create and maintain documentation for each data source that includes the database fields mapped to the GJXML fields and the required transformations. This documentation will be a living document, and will continue to be updated as 29 �,3 0 0 the project progresses. Over time, ownership of the documentation will pass to the OCILJ Working Group. The exact dates will be determined at a later date. SOW 7 — Warranty and Ongoing Maintenance Support SOW7 -1 Warranty Support A system and installation warranty must be provided as part of the purchase of the system. Options for a one year and a three year warranty are required as part of the pricing submission. SOW7 -2 Warranty Components In, addition to standard warranty provisions, for the purposes of this project, warranty Is defined to Include: • Annual software licensing during the warranty period • Telephone support • On site callout based outage support • Periodic preventative maintenance and monitoring visits • Upgrades to the latest version of application software as part of preventative maintenance SOW7-3 Response times During °the warranty period the Vendor shall provide 4 hour on site response to a system deficiency that affects 10 or more workstations, or one server or impacts average transaction time by more than 20 %. Staff must be available to respond Monday through Friday from 8 am to 5 pm. SOW,?.74:RouGne:Maintenance During 'fhe,.Warranty period, the Vendor' will visit -the site at least once every 12 weeks, and at that time verify that all'system components are operating within specifications and upgrade all system components to the latest ° available software release. Operating systems need not -be upgraded as new releases are issued, but all maintenance patches available must be installed on the servers on the monthly visits. SOlAgz "P.hase 2 <1(Varranty,Considerations `For ahase.2, and each site ffiat``is integrated into the Data Sharing Solution, the Vendor.shall offer options-for 1.year or 3 year warranties "as outlined for Phase 1. No additional routine maintenance site visits are required as part of the Phase 2 warranties. SOW7-6 Ongoing Maintenance Support The Vendor is expected to offer a range of ongoing support options for the OCILJ' Steering Committee's consideration in the event that the Steering 'Committee opts to not select the 3 year warranty. One of those options may be °a full on -site support option. SOW 8 — Work Not Included 30 3-A 0 0 The OCILJ police agencies have information technology groups and have been using the services of various consultants to serve the justice community for some time. The following services associated with this project will be undertaken by a combination of separate consultants and the OCILJ police agency information technology personnel and are not the responsibility of the Vendor. SOW8 -1 Change Management Program The Vendor is not responsible for implementing or operating a change management or stakeholder communications program. These activities will be undertaken by OCIW and its consultants. SOW8 -Z Networking Facilities The OCILJ Working Group will implement all local and wide area network facilities other than those specifically requested in the Scope of Work. The Vendor's responsibilities are limited to specifying the improvements required to network infrastructure during proposal submission and as a result of the design effort and site visits. . SOWS -3 °Physical Plant and Electrical Service -The OCILJ Working Group will 'implement all physical plant and electrical services based on the requirements the Vendor presents as a result of the site visits. SOW 9 — Proposal Revisions Through the evaluation process a number of items were reviewed and as a result, the following will apply: SOW91 RevisO- 'Hardware Solution The CONTRACTOR will provide an alternate hardware solution as outlined below as a replacement for the Unisys Server initially proposed. Revised Hardware Solution to be delivered byKCC / Unis'ys SOW9 -2 Enhanced System Audit Functionality The CONTRACTOR will enhance-their system audit functionality in conjunction with this projecL The new functionality will include a plain language.explanation of each transaction (search) conducted as well as a hyperlink that will immediately- reproduce that transaction and display the result set to the user. It is understood that the result set will be based on data current in the system at time of execution. 31 4�6 1 2 3 4 5 6 7 S V3 a 11 12 13 14 15 16 17 IS 19 20 21 22 23 24 25 26 27 2S ACREEME:NT TO TRANSFER OR PURCHASE EQUIPMENT OR SERVICES Including Services and Technology Specifically Required Under the 1NTECRATED LAW AND JUSTICE PROJECT FOR FY04 URBAN AREA SECURITY INITIATIVE (UASI) THIS ACREEMENT is entered into this `t = "-.l day of ' 2005, which date is enumerated for purposes of reference only, by and between the CITY OF ANAHEIM, a municipality of the State of California, hereinafter referred to as "CITY", and the CITY OF Newport Beach, acting as Lead Agency for the Orange County Integrated Law and Justice (IL&J) project, hereinafter referred to as "SUBGRANTEE." WHEREAS, CITY, acting through the Anaheim Police Department in its capacity as the Core City for the Anaheim Urban Area under the FY04 Urban Area Security Initiative, has applied for, received and accepted a grant entitled "FY04 Urban Area Security Initiative" from die federal Department of Homeland Security, Office of Domestic Preparedness, through the State of California, Office of Homeland Security, to enhance countywide emergency preparedness, hereinafter referred to as "the grant," as set forth in the grant guidelines that are attached hereto as Attachment A and incorporated herein by reference. WHEREAS, the terms of the grant require that CITY use certain grant funds to purchase, or reimburse SUBGRANTEE for the procurement of, equipment, technology or services that will be transferred to SUBGRANTEE to be used for grant purposes, including the transfer of technology to Orange County Police. Agencies under the Urban Area Security Initiative. NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS: Effective January 23, 2004, SUBGRAINMEE was designated as the lead agency and grant administrator for the monies allocated by the federal government for the Orange County Integrated Law and Justice Project (IU), a countywide effort and multi -phase project to integrate the diverse information systems of all criminal justice agencies in the county pursuant to a COPS MORE grant. These grant monies are held by SUBGRANTEE on behalf of the I J Steering Committee. The ILJ acv I Steering Committee, chaired by Chief of Police Bob McDonell of Newport Beach, makes distribution of 2 these funds and decisions on how they are expended. 3 2. The funds allocated under the COPS Office grant are insufficient to implement the entire 4 IL&J project, thus the Santa Ana and Anaheim Urban Areas will fund the portion of the project that 5 enables data and information sharing, as well as the data analysis and intelligence tools in support of 6 homeland security objectives. In no case will the UASI funds supplant the COPS Office grant funds. 7 3. The ILJ Project Steering Committee seeks to procure services from a responsible vendor 8 to provide a technical and operational solution to enable the justice agencies in the county to share 9 information with each other from their records management systems and related databases, and to 10 provide a set of tools that can be used to analyze the data in those systems across jurisdictional 11 boundaries. This particular and critical phase of the MJ Project is the "RMS /CMS Information Sharing 12 Project," and is being undertaken by the City of Newport Beach (SUBGRANTEE) on behalf of the 13 justice agencies in Orange County, California. 14 4. The RMS /CMS Information Sharing Project includes the supply of required computer 15 software and hardware as well as integration and implementation services. In an effort to ensure that 16 Orange County law enforcement agencies are able, to the greatest extent possible, prevent, deter and 17 effectively respond to potential acts of terrorism and crime, there are two objectives for the project: 18 a. To enable sharing of data from records management systems (RMS), cise management 19 systems (CMS) and related databases across the County. 20 b. To acquire and implement a set of data analysis/intelligence tools in support of enhanced 21 homeland security and crime related investigations. 22 c. The project is structured in two phases. Phase 1 is designed to establish the solution and 23 will enable the sharing of the Court's citation data, five police RMS systems (Newport 24 Beach, Irvine, Garden Grove, Brea, and the new release of the RMS System being 25 implemented to serve the West Covina Consortium consisting of Cypress, Seal Beach 26 and others), and the Orange County Sheriff's Department RMS and LARS (Local Arrest 27 Records System, including their Mug -shot database). Search and analysis tools will be 28 acquired and deployed to allow for the flexible export of data as well as analysis within 2 I PA 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 � s the provided toolsets. Phase 2 involves the incorporation of the approximately 17 additional remaining Police RMS systems and portions of the District Attorney and the Probation CMS systems into the infrastructure. Phase 2 will be contracted on a work order basis as agencies add their RMS system to the integration platform. 5. Depending upon the agreement, City may transfer to SUBGRANTEE, or SUBGRANTEE shall purchase, the equipment or services as specified in Attachment B hereto, in accordance with grant guidelines and in full compliance with all of the subgrantee's purchasing and bidding procedures. 6. Throughout its useful life, SUBGRANTEE shall use any equipment acquired with grant funds only for grant purposes, and shall make it available for mutual aid response. 7. SUBGRANTEE shall exercise due care to preserve and safeguard equipment acquired with grant funds from damage or destruction and shall provide regular maintenance and such repairs for said equipment as are necessary, in order to keep said equipment continually in good working order. Such maintenance and servicing shall be the responsibility of subgrantee and other participating criminal justice agencies, who shall assume full responsibility for maintenance and repair of the equipment throughout the life of said equipment. 8. If equipment acquired with grant funds becomes obsolete, SUBGRANTEE shall dispose of it only in accordance with the instructions of CITY or the agency from which CITY received the grant funds. 9. Upon receipt of an invoice for a purchase of any equipment or services as specified in Attachment B, SUBGRANTEE shall submit the invoice to the CITY as soon as practical, but in no event later than 30 days after receiving it. 10. SUBGRANTEE understands that the CITY shall have 60 days to reimburse SUBGRANTEE upon receipt of the invoice, or longer if the Office of Homeland Security takes longer to issue payment to the CITY. 11. By executing this Agreement, SUBGRANTEE agrees to comply with and be fully bound by all applicable provisions of the Attachments hereto and shall be fully responsible for payment of items purchased that do not adhere to grant guidelines. 3 13:� 1 12. SUBGRANTEE agrees to indemnify, defend and save harmless CITY and the agency 2 from which CITY received grant funds, and their officers, agents and employees from any and all claims 3 and losses accruing or resulting to any and all contractors, subcontractors, laborers, and any other 4 person, firm or corporation furnishing or supplying work services, materials or supplies in connection 5 with SUBGRANTEE's performance of this Agreement, including the Attachments hereto, and from any 6 and all claims and losses accruing or resulting to any person, firm, or corporation who may be injured or 7 damaged by SUBGRANTEE in the performance of this Agreement, including the Attachments hereto. 8 13. No alteration or variation of the terms of this Agreement shall be valid unless made in 9 writing and signed by duly authorized representatives of the parties hereto, and no oral understanding or 10 agreement not incorporated herein shall be binding on any of the parties hereto. 11 14. SUBGRANTEE may not assign this Agreement in whole or in part without the express 12 written consent of CITY. 13 15. For a period of three years after final delivery hereunder or until all claims related to this 14 Agreement are finally settled, whichever is later, SUBGRANTEE shall preserve and maintain all 15 documents, papers and records relevant to the equipment acquired in accordance with this Agreement, 16 including the Attachments hereto. For the same time period, SUBGRANTEE shall make said 17 documents, papers and records available to CITY and the agency from which CITY received 18 Grant funds or their duly authorized representative(s), for examination, copying, 'or mechanical 19 reproduction on or off the premises of SUBGRANTEE, upon request during usual working hours. 20 16. SUBGRANTEE shall provide to CITY all records and information requested by CITY 21 for inclusion in quarterly reports and such other reports or records as CITY may be required to provide 22 to the agency from which CITY received grant funds or other persons or agencies. 23 17. CITY may terminate this Agreement and be relieved of the delivery of any consideration 24 to SUBGRANTEE if a) SUBGRANTEE fails to perform any of the covenants contained in this 25 Agreement, including the Attachments hereto, at the time and in the matter herein provided, or b) CITY 26 loses funding under the grant. 27 28 4 apt PA 0 R 9 0 18. SUBGRANTEE and its agents and employees shall act in an independent capacity in the performance of this Agreement, including the Attachments hereto, and shall not be considered officers, agents or employees of CITY or of the agency from which CITY received grant funds. 19. SUBGRANTEE and its officers, agents, employees shall abide by all applicable federal, State and local laws, including all applicable statutes, regulations, executive orders and ordinances. IN WITNESS WHEREOF, the parties have executed this Agreement in the City of Anaheim, County of Orange, State of California. 8 ATTEST: 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Sheryll Schroeder Clerk of the Council RECOMMENDW FOR APPROVAL: By: 'e John wel Chief of Police APPROVED AS TO FORM: &&,l W Christina Talley Assistant City Attorney CITY OF ANAHEIM, a municipal Corporation of the State of California David Morgan City Manager SU13GRANTEE City of Newport Beach, Police Department By: Bob McDonell, Chief Newport Beach Police Department W 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 IS 19 20 21 22 23 24 25 26 27 28 AGREEMENT TO TRANSFER OR PURCHASE EQUIPMENT OR SERVICES Including Services and Technology Specifically Required Under the INTEGRATED LAW AND JUSTICE PROJECT FOR FY04 URBAN AREA SECURITY INITIATIVE (UASI) THIS AGREEMENT is entered into this �'� day of t Y = ^' 1' 2004, which date is enumerated for purposes of reference only, by and between the CITY OF SANTA ANA, a municipality of the State of California, hereinafter referred to as "CITY ", and the CITY OF Newport Beach, acting as Lead Agency for the Orange County Integrated Law and Justice (IL&CJ) project, hereinafter referred to as "SUBGRANTEE." WHEREAS, CITY, acting through the Santa Ana Police Department in its capacity as the Core City for the Santa Ann Urban Area under the FY04 Urban Area Security Initiative, has applied for, received and accepted a grant entitled "FY04 Urban Area Security Initiative' from the federal Department of Homeland Security, Office of Domestic Preparedness, through the State of California, Office of Homeland Security, to enhance countywide emergency preparedness, hereinafter referred to as "the grant," as set forth in the grant guidelines that arc attached hereto as Attachment A and incorporated herein by reference. P WHEREAS, the terms of the grant require that CITY use certain grant funds to purchase, or I reimburse SUBGRANTEE for the procurement of, equipment, technology or services that will be transferred to SUBGRANTEE to be used for grant purposes, including the transfer of technology to Orange County Police Agencies under the Urban Area Security Initiative. NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS: 1. Effective January 23, 2004, SUBGRANTEE was designated as the lead agency and grant administrator for the monies allocated by the federal government for the Orange County Integrated Law and Justice Project (1U), a countywide effort and multi -phase project to integrate the diverse information systems of all criminal justice agencies in the county pursuant to a COPS MORE grant. These grant monies arc held by SUBGRANTEE on behalf of the ILJ Steering Committee. The ILJ tyt I 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 18. SUBGRANTEE and its agents and employees shall act in an independent capacity in the performance of this Agreement, including the Attachments hereto, and shall not be considered officers, agents or employees of CITY or of the agency from which CITY received grant funds. 19. SUBGRANTEE and its officers, agents, employees shall abide by all applicable federal, State and local laws, including all applicable statutes, regulations, executive orders and ordinances. IN WITNESS WHEREOF, the parties have executed this Agreement in the City of Santa Ana, County of Orange, State of California. ATTEST: Patricia E. Healy Clerk of the Council RECOMMENDED FOR APPROVAL: c_ �- By: �. Paul M. Walters Chief of Police APPROVED AS TO FORM: Paula Coleman Assistant City Attorney CITY OF SANTA ANA, a municipal Corporation of the State of California David N. Ream City Manager SUBGRANTEE City of Newport Beach, Police Department By: o Me onell, Chief Newport Beach Police Department 5 4 C -3�yta Proposal to: Newport Beach Police Department Newport Beach, California On behalf of Orange County Integrated Law & Justice By: Knowledge Computing Corporation In Response to a Request for Proposal for a Records Management System Data Sharing Solution ' September 15, 2004 I I I I 0 I I Knowledge Computing Corporation, COPLINe, COPLINK ConnectT , and COPLINK DetecPI are trademarks or registered trademarks of Knowledge Computing Corporation in the U.S. All other product names mentioned herein are the trademarks of their respective owners. Unisys, the Unisys logo and ClearPath are registered trademarks and 3D Visible Enterprise and 3D -VE are trademarks of Unisys Corporation. All other brands, logos and products referenced in this document are acknowledged to be trademarks or registered trademarks of their respective holders. j LI I Knowledge Computing Corporation Signature and Certification Page For Orange County Integrated Law S Justice Records Management System Data Sharing Solution Request for Proposal By the signature on this proposal, Knowledge Computing Corporation certifies that it does or will comply with: [a] the laws, ordinances and policies of the State of California, Orange County and the City of Newport Beach; [b] the applicable portion of the Federal Civil Rights Act of 1964, [c] the Equal Employment Opportunity Act and the regulations issued there under by the federal government, [d] the Americans with Disabilities Act of 1990, and the regulations issued there under by the federal government, [e] all terms and conditions set out in the RFP, except those specifically identified in this proposal. [fj a condition that the proposal submitted was independently arrived at, without collusion, under penalty of perjury, and [g] that the offer will remain open and valid for 180 days. The person signing for Knowledge Computing Corp. hereby warrants and represents that they have authority to execute this Proposal on behalf of the Company. For: KNOWLEDGE COMPUTING CORPORATION Robert Griffin President Printed Name Title copuMV TABLE OF CONTENTS UNISYS SUB1. General .................................................................... ............................... SUB 1.1 General Information ........................................... ............................... SUB 1.2 Contact Information ........................................... ............................... SUB 1.3 Executive Summary ............................................ ............................... SUB 1.4 Proposing Vendor Background ........................... ............................... SUB 1.5 Teaming Vendors and Arrangements ................. ............................... SUB 1.6 Financial Information ......................................... ............................... SUB1.7 Legal Information ............................................... ............................... SUB2. References ............................................................... ............................... SUB 21 It t' Sol ti Q al'fi ti ............... 3 ..............13 .............. 3 ............... 3 ............... 4 ............... 5 ............... 6 ............... 6 ngra ion u on u 1 ca ons .................................................. I ...... I..... SUB 2.2 Analysis Component Qualifications .................... ............................... SUB3. Solution ................................................................... ............................... SUB 3.1 Solution Components ......................................... ............................... SUB 3.2 Functionality of the Proposed Integration Solution .......................... SUB 3.3 Analysis Component Functionality ..................... ............................... SUB 3.4 Data Access /Storage ........................................... ............................... SUB3.5 Adding Data Sources ........................................... ............................... SUB3.6 Data Ownership .................................................. ............................... SUB 3.7 Data Currency and Integrity ............................... ............................... SUB3.8 Requirements ...................................................... ............................... SUB 3.9 Link Analysis Tool .............................................. ............................... SUB 3.10 Performance Analysis ..................................... ............................... SUB3.11 Excluding Records .......................................... ............................... 7 7 ... 11 .............. 11 ............. Ill ..............12 ............. 26 ............. 43 ............. 44 ............. 46 ............. 47 ............. 48 ............. 55 ............. 59 ..............61 SUB3.12 Notifications ................................................................... ............................... 62 SUB4. Workplan ............................................................................... ............................... 64 SUB4.1 Workplan ........................................................................... ............................... 64 SUB5. Training Approach ................................................................... .............................78 SUB 5.1 General Training Philosophy ............................................. ............................... 78 SUB5.2 Training Classes .................................................................... .............................81 SUB6. Documentation ......................................................................... .............................81 SUB 7. Warranty and Ongoing Maintenance Support ...................... ............................... 82 SUB 8. Technical Environment ......................................................... ............................... 84 SUB8.1 System Software ................................................................. ............................... 84 SUB 8.2 Web Development Tools .................................................... ............................... 85 SUB8.3 Third Party Software .......................................................... ............................... 85 SUB 8.4 System Management Software .......................................... ............................... 86 Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 1 OF 92 copuNIV SUB 8.5 Project Environments .......... ............................... SUB 9. Project Team ............................ ............................... SUB1o. Pricing ...................................... ............................... SUB 1o.1 Phase 1 Pricing ................. ............................... SUB 10.2 Phase 2 Pricing ................. ............................... SUB 10.3 Analysis Tool Pricing ....... ............................... Appendix" A . ............................... Appendix " B„ ............................... Appendix "C: ............................... Appendix"D" .............................. Appendix " E„ ............................... Appendix" F. ............................... „ Appendix "G.............................. Appendix " H . .............................. Appendix" I" . ............................... Appendix" i .. ............................... APPENDICES UNISYS ............. ............................... 86 ............. ............................... 87 ............. ............................... 90 ............ ............................... 90 ................ .............................91 ......... 92 ................... ............................... KCC Financial Statement 2003 ........................ ............................... Unisys Annual Report 2003 ...................................... ............................... Server Benchmarks ...... ............................... .......................Training Course Outlines ................... ............................... Hardware Systems Description .................................. ............................... Project Staff Resumes ..................................... ............................... COPLINK Price List ..................................................... I......................... Assumptions ......... Option for Future JEIM and IJIS Business Case Analysis .................... ............................... .........................Option for IJIS Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 2 OF 92 COPLIIv UNISYS SUB 1. General SUB 1.1 General Information This response to the City of Newport Beach Request for Proposal for a Records Management System Data Sharing Solution for Orange County Integrated Law and Justice is submitted by: KNOWLEDGE COMPUTING CORPORATION 66o1 East Grant Road Suite 201 Tucson, Arizona 85715 Tel. (520) 574-1519 Fax: (520) 574-0870 Federal Tax ID: 86- ogo5t6t Website: http: / /www.knowledgecc.com http: / /www.coplink.net SUB 1.2 Contact Information The contact persons for issues regarding this RFP response are: Mr. Thomas O'Neil Vice - President of Operations Tel. (520) 574 -1519 ext.118 e -mail: toneil @knowledgecc.com Mr. Robert Fund COPLINK Product Manager Tel. (520) 574 -151g ext.114 e -mail: rfund@coplink.net SUB 1.3 Executive Summary Knowledge Computing Corporation (KCC) and Unisys Corporation are pleased to respond to the Orange County Integrated Law and Justice (OCILJ) request for proposal for a Records Man- agement System Data Sharing Solution. KCC and Unisys have extensive experience in the crimi- nal justice field. KCC has designed and implemented similar solutions for public safety agencies from Boston to Alaska. Our COPLINK Solution Suite allows seamless integration of disparate law enforce- Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 3 OF 92 coPURV UNISYS ment data sources. It goes beyond local integration and allows connection, information- sharing and advanced analysis between one or more other COPLINK nodes across the country (e.g., San Diego ARMS, Tucson and Phoenix, Arizona). Unisys is one of the major suppliers of information technology products and services in the State of California and has been for many years in both the public and the private sectors. Eve- ryday, our clients perform crucial tasks that affect the citizens of the State. They depend on the services, advice, and expertise Unisys offers to accomplish their goals and achieve organizational excellence. KCC and Unisys considered your needs carefully when designing our solution to in- clude specific milestones and the functionality desired by OCILJ. Our vision is to support your long -term goals and align them with proven applications to support near -term needs. In today's world there is a critical and growing need to share information across independ- ent agencies and jurisdictional lines at all levels of government. Often that information is iso- lated, segmented in technological silos that lack the ability to routinely share information. Criminal justice professionals, first responders and government officials around the world have long recognized the importance of linking information systems to share critical data, documents, images, and transactions at key decision points throughout the justice enterprise. Moreover, there is growing recognition of the crucial importance of building strategic intelligence collec- tion and analysis capabilities in state and local justice agencies nationwide. Knowledge Computing Corporation will provide components of its acclaimed COPLINK So- lution Suite to provide the integration, sharing and analysis of the criminal history records in- formation from the various Orange County criminal justice agencies. KCC proposes to include COPLINK Connect, the basic integration and sharing component; COPLINK Detect, the ad- vanced analysis and lead generation tool; COPLINK Visualizer, the graphic link analysis tool; COPLINK Active Agent, the notification and collaboration tool that quickly brings together common investigations and provides deconfliction; and COPLINK Mapping, our new GIS map- ping, charting and graphing tool to analyze incidents. Unisys will provide the hardware, third -party relational database management system soft- ware and project management services. Knowledge Computing Corporation and Unisys Corporation are leaders in providing cutting - edge solutions and support for a host of justice, public safety and Homeland Security operations. We have recognized the need to integrate justice information systems and invested corporate resources to build a comprehensive solution that enables enterprise -wide sharing of critical in- formation. COPLINK is currently operational in 14 locations, with iii agencies using these nodes. Five additional installations are in process. Customers include Boston (MA) police de- partment, San Diego Association of Governments (ARJIS), Phoenix police department, and the entire state of Alaska. SUB 1.4 Proposing Vendor Background Knowledge Computing Corporation (KCC) is a Tucson, Arizona -based developer of advanced knowledge management technology. KCC software takes data storage and analysis to new levels of sophistication and cost - effectiveness, making it easier to find essential information buried within vast unstructured digital repositories such as the Internet, data warehouses, or large pro- prietary databases. The company's product line includes the COPLINe Solution Suite. COP - LINK provides law enforcement agencies with the most advanced information search and analy- sis capabilities available today. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 4 OF 92 coPURV UNISYS KCC products are based on technology developed and tested for proof -of- concept at the Uni- versity of Arizona's Artificial Intelligence Lab in Tucson. KCC expanded on this research and de- veloped commercially viable applications of COPLINK. COPLINK is based on cutting -edge knowledge management technology developed by numerous researchers at the Artificial Intelli- gence Lab since 19go. The COPLINK proof -of- concept was developed with a $1.2 million, two -year grant from the National Institute of Justice (NIJ) to the Tucson Police Department in 1997. Subsequent funding came from the National Science Foundation, NIJ and the CIA. In 1999, the Phoenix (Arizona) Police Department became another development partner in the COPLINK project. The design and functionality of the program is based on iterative versions that were evalu- ated and critiqued by working line -level police officers, investigators and crime analysts. Their input during the design process allowed KCC to develop a sophisticated, yet easy -to -use, pro- gram for law enforcement use designed by law enforcement personnel. This unique partnership between a top -flight university research lab, two major metropoli- tan police departments and the federal government's research resources is unprecedented. The result of this collaboration was a proof -of- concept that exceeded expectations and allowed work- ing law enforcement officers to exploit criminal history records information that was previously inaccessible or extremely difficult and time - consuming to access. Consistent with the NIJ mandate to make new technologies available to law enforcement agencies nationwide, KCC was established in 1998 as separate commercial company to bring COPLINK to market. KCC reengineered the original code to make the product platform inde- pendent, commercially robust and scaleable. The goal of COPLINK is to help improve the pro- ductivity of law enforcement agencies by promoting timely data retrieval and secure interopera- bility that has been previously hampered by technological barriers. COPLINK version 2.5, the first commercial release of the product, was introduced in October 2002. Based primarily on user feedback, Knowledge Computing Corporation has improved the COPLINK product line with new program modules and enhanced functionality in the core prod- ucts. We continue to solicit user feedback to ensure that the program remains the premiere tac- tical crime analysis and lead generation tool in the world. Our current release is version 3.3, which incorporates a new distributed model for data sharing and integration. This new product was developed in part to address growing privacy concerns about large scale data sharing among law enforcement agencies. COPLINK offers its multiple COPLINK Solution Suite software modules for law enforcement through enterprise -wide licensing. COPLINK allows agencies to connect stand -alone databases within their department and allows information sharing with neighboring jurisdictions to expe- dite the investigative process. It also leverages artificial intelligence techniques to quickly un- cover crime- related links among objects captured in law enforcement databases such as people, organizations, locations, vehicles, and weapons. SUB 1.5 Teaming Vendors and Arrangements Knowledge Computing Corporation and Unisys Corporation have entered into a teaming agreement to provide the Orange County Integrated Law and Justice agencies with a complete solution for their Records Management System Data Sharing Solution project. KCC and Unisys have previously submitted proposals under other teaming agreements and stand ready to pro- Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 5 OF 92 copuNV UNISYS vide outstanding customer service, on -time delivery and fully functional hardware and software that exceeds the specifications contained in the RFP. Our subcontractor, Unisys Corporation, is a highly respected provider of information tech- nology and implementation services. Through its predecessor companies, Unisys was responsi- ble for the development of ENIAC, the world's first large - scale, general- purpose digital com- puter in 1946. The company has a distinguished history extending back one hundred twenty-five years to the first commercially viable typewriter. Unisys is a stable, multi- billion dollar company dedicated to providing innovative solutions to its customer base. No company extant today can claim greater experience in the field of information technology. Knowledge Computing Corporation will provide the COPLINK Solution Suite software and the extract, transfer and load (ETL) of data from the disparate records management systems in the Orange County agencies. KCC will also provide training on the use of its software and limited project management functions relating to the analysis, extraction, mapping and migration of the RMS data. Unisys Corporation will provide a complete hardware solution to include both a production and test /development server environment. The hardware solution is designed to enable the ex- pansion of the OCILJ project to additional agencies, and also to allow for growth in the size of the underlying data sources. Unisys will also provide the necessary third -party software (Micro- soft Wind OWSTM operating system and Microsoft SQL Server 2000l" relational database man- agement system) and its own suite of server management tools. Unisys in addition will provide the overall project management and on -site presence to ensure the proposed solution meets the stringent requirements of the RFP. SUB 1.6 Financial Information Knowledge Computing Corporation is providing its year -end financial statement for 2003 as Appendix "A." Unisys Corporation is providing its Annual Report for 2003 as Appendix "B." This contains a detailed financial statement. SUB 1.7 Legal Information Knowledge Computing Corporation was incorporated in 1998 as a privately held corporation under the laws of the State of Arizona. The person authorized to bind the company is: Robert Griffin President and CEO Neither Knowledge Computing Corporation nor Unisys Corporation are aware of any condi- tions or circumstances that might prevent them from conducting business in the State of Cali- fornia, the City of Newport Beach or any other justice agency in Orange County. Knowledge Computing Corporation is not a party to any current, pending or past litigation involving its products or services. Unisys is a Delaware Corporation and was formed in 1986 through the merger of the Burroughs and Sperry corporations. Unisys is publicly held and is listed on the New York Stock Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 6 OF 92 copuNiV UNISYS Exchange. Knowledge Computing Corporation and Unisys Corporation have concluded a team- ing agreement for the OCILJ project. SUB 2. References SUB 2.1 Integration Solution Qualifications Knowledge Computing Corporation Because the COPLINK Solution Suite is an integrated software program that includes both the integration solution and the analysis component, the listed references are pertinent to both subsections. 1. Tucson Police Department 270 S. Stone Ave. Tucson, Arizona 85701 -1917 Contact: Det. Tim Petersen Contact Tel. (520) 791 -4499 ext.1410 Beginning in 200o, KCC worked with the Tucson Police Department to develop distributed queries across different COPLINK nodes as part of an NIJ /NSF grant initiative. Since then, the Tucson COPLINK node has expanded to include the surrounding agencies and the Pima County Sheriff's Department. Additional grant funding allowed the development of the Active Agent and Visualizer components. The disparate systems integrated into the COPLINK node are: NGC PRC RMS /CAD; ImageWare video mug DB; MS Access gang database; City Court citations (flat file extract); Spillman FORCE RMS. Refresh of the system varies with the data source; the NGC RMS updates COPLINK every 90 seconds. Tucson first began using a development version of the COPLINK program in 1999 (COP - LINK ver. 1.o). Additional program modules and functions were added over the ensuing years. The system currently supports eight different agencies with approximately 1,5oo named users. The Tucson Police Department is upgrading their server hardware at this time and KCC will in- stall COPLINK version 3.3 as part of this process. The Tucson node is currently operating on version 3.2. Major goals: Integration of three disparate Tucson PD information systems. • Development of artificial intelligence based advanced crime analysis functions Development of a user - friendly graphic interface. Development of an automatic query notification and collaboration system. 2. Polk County Sheriffs Office 2o6 Sixth Avenue, Suite #112 Des Moines, Iowa 50309 Contact: Chief Deputy William Vaughn Contact Tel. (515) 286 -3636 Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 7 OF 92 copuNV UNISYS The Polk County Sheriff's Office acts as the fiscal agent for a consortium of thirteen public safety agencies in the Des Moines metropolitan area, including six law enforcement and seven fire agencies. The data sources are H.T.E. RMS (West Des Moines, Clive, Urbandale), VSAM leg- acy RMS (Des Moines PD), Legacy mug shot and field interview data bases (Des Moines PD), Intergraph RMS (Des Moines PD and Polk County SO), Shield Technologies legacy RMS (Polk County SO and Ankeny PD), Printrak JMS (Polk County SO), ICON proprietary DB (Iowa Dept. of Corrections), GRIP proprietary DB (Mid -Iowa Narcotics Task Force), and various versions of FIREHOUSE CAD used by the fire departments. This was a four -phase project. Phase I became operational in October 2002; final phase, due to delays in the new joint RMS, completed in July 2004. There are over 70o named users of the system. The Polk County system is being upgraded to COPLINK version 3.3. The node is currently operating on version 3.2. Major goals: Integration of six law enforcement and seven fire departments. Installation of artificial intelligence based advanced crime analysis functions Development partner for the COPLINK Visualizer product. 3. Boston Police Department One Schroeder Plaza Boston, MA 02120 Contact: Mr. James Fitzpatrick (Director, Information Services Group) Contact Tel. (617) 343-5117 Boston Police Department integrated a custom Oracle -based data warehouse into a COP - LINK node to permit data integration, data standardization and advanced analysis. System op- erational in May 2003. In late 2003, Boston requested extensive custom development for their installation to provide a "Boston flavor" to their COPLINK node. There are approximately 2,000 named users. Boston has the functional equivalent of COPLINK version 3.2. Major goals: • Integration of information in the custom data warehouse to consolidate and stan- dardize data descriptions. • Installation of artificial intelligence based advanced crime analysis functions. Unisys Corporation Unisys is a worldwide systems integrator specializing in information technology services and solutions. Incorporated in Delaware, with headquarters in Blue Bell, Pennsylvania, Unisys offers an end -to -end portfolio of value -based solutions led by our competency in consulting and sys- tems integration, outsourcing, network services, and security, combined with leading enterprise - class server and related technologies. Our government clients value the combination of people, process, and performance we deliver on every project. Unisys is one of a select group of global companies with the broad portfolio of services, tech- nologies, and third -party alliances needed to deliver the total benefits of information manage- ment. In 2003, more than 37,000 Unisys employees achieved total worldwide revenue of $5.9 billion attributable to a portfolio of services, systems, and support, helping our clients manage Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 8 OF 92 copuNU UNISYS information for tangible business results. Our success is built on combining technical expertise with an in -depth knowledge of the industry trends and business challenges facing clients. Unisys a major supplier of information technology products and services in the justice and public safety market, we have more than 40 years of experience in delivering solutions to the justice community. We have been entrusted for solutions essential to the nation's security. In the table below, we list our government clients for which we have provided strategic planning and justice and public safety solutions. Location Description New York State Police Unisys has been provided technology to the NYSP since the early 1970s. Also, we recently partnered with NYSP to develop an open systems migration strategy that provides a road - map for short- and long -term enterprisewide technology direction for NYSP. Pennsylvania State Police Unisys reengineered the Pennsylvania State Police's Automated Criminal History Records Information System (ACHRI), including the following three components: (1) redesign of the criminal history database and redeployment from a proprietary environment to an open architecture, (2) image - enabling of all arrest and warrant jackets; and (3) a Web front end into the current criminal history system called Pennsylvania Access to Criminal History (PATCH). U.S. Capitol Police In 2003, Congress required the U.S. Capitol Police to develop strategic and performance plans to guide their work over the next 5 years. Unisys was their partner, we helped create the first annual performance plan and then developed a strategic plan. Department of Defense - Coun- The mission of CIFA is to develop and manage DoD counterintelligence (CI) programs and terintelligence Field Activity functions that support the protection of DoD, including Cl support to protect DoD personnel, (CIFA) resources, critical information, research and development programs, technology, critical infrastructure, economic security, and U.S. interests againstforeign influence and manipu- lation, as well as to detect and neutralize espionage against DoD. For the CIFA Technology Exploration and Development (TED) unit, Unisys provides support in evolving its technol- ogy-based Cl capabilities to enhance DoD Cl analytic operations and operations support and in providing Cl technology and services to the national Cl community to support efforts for counterespfonage' and business Intelligence gathering. The project's Information Dominance Center (IDC), Net Bridge initiative will create connectivity among CIFA,; the Army's Intelligence and Security Command (INSCOM), the.902nd Military Intelligence Bd- gade, the Naval Criminal Investigative Service (NCIS), the Air Force Office of Special lnves- tigations (AFOSI), and the remaining Cl community to provide horizontal collaboration to support Cl analysis and information sharing. U.S. Transportation Security Information Technology Strategic Planning Agency (TSA) Unisys is working with the CIO and his executive team to develop the first strategic plan and balanced soorerard for information technology. We also are assisting the Office of Information Technology in establishing data collection and governance processes to enable the strategy to be operationalized in the offices day -to -day work. Advanced IT Infrastructure Unisys has been TSA's IT partner since the agency's inception and built its advanced IT infrastructure. Electronic Fingerprint Transmission Specifications (EFTS) and Law Enforcement Message Switch (LEMS) Unisys has provided these two aligned solutions to meet TSA's immediate business and operational needs. Houston Police Department JUnisys developed a strategic implementation plan to quids the department in its use of Response. lo: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA.SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 9 OF 92 CUPLINK/ UNISYS Location Description Technology Services Command technology. Massachusetts Criminal History Unisys provided consulting services to assist the secretary of public safety and the execu- Systems Board (CHSB) tive director of the CHSB in developing a strategic direction for an integrated law enforce - mentsystem. Federal Aviation Administration Unisys assisted the chief financial officer in developing a corporate framework for cost and (FAA) performance management. Western Australia Department of Unisys is developing and implementing an abject- oriented, component-based Integrated Justice Court Management System (ICMS) that will replace 14 legacy systems with a single - mes- sage based application. Metropolitan Government of Unisys provided project management; business process reengineering, integration, data Nashville, and Davidson County and fors standardization, business procedures writing, and training in new procedures for (Tennessee) an enterprisewide CJIS solution implemented in 3 phases. We also designed and inte- grated a complex courts solution as well as implemented and supported our corrections management solution for the Davidson County Sheriffs Office. Orange County (California) Supe- Unisys is directing a multiyear, multiphase project that includes the design and implementa- rior Courts tion of the courts' open systems architecture as well as customization; and Implementation of 'a comprehensive solution for the courts. Hendco County, Virginia Unisys designed, developed, integrated, and tested the Mobile Data Computer (MDC) sys- tem, which allows public safety information to be accessed by mobile users throughout Henrico County. Cook County (Illinois) Circuit Unisys assessed the court's current information technology and business processes, de- Court veloped' hest practices," and recommended how the court should modernize its information management processes and supporting technology. Hamilton County, Ohio Unisys developed and implemented a customized jail management systems solution. Broward County (Florida) Sher- Unisys developed and implemented a customized jail management solution. iff's Office North Carolina Department of Unisys implemented an open LEMS 2000 that selves more than 9,300 fixed location and Justice mobile devices. Response to; ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 10 OF 92 COPLIIII� UNISYS Sub 2.2 Analysis Component Qualifications Please see the above reference list as COPLINK is an integrated solution. SUB 3. Solution The criminal justice agencies in Orange County are faced with a problem similar to that faced by most other agencies across the country. This problem is one of information sharing. The issue of law enforcement information sharing has taken on new impetus since the United States began the war on terror in 2001. The U. S. Congress passed legislation in 2002 to permit federal law enforcement authorities to share information about potential terrorist attacks with state and local authorities. Law enforcement officials have long recognized the fact that crime is chiefly a local problem, with occasional (but significant) exceptions. In our increasingly mobile society, part of the crimi- nal element has found a means of eluding detection and apprehension simply by moving around. Adjacent or overlapping law enforcement jurisdictions have known this for a long time; cooperation and communication between the line -level personnel in different agencies are the rule, rather than the exception. However, until recently, such information sharing was cumber- some, time- consuming and often a matter of luck. Conversations over the proverbial cup of cof- fee were often the starting point for joint investigations, or chance remarks made at a law en- forcement seminar revealed similar crime patterns or suspects in jurisdictions many miles apart. The rise of automated digital information systems in the past twenty-five years has laid the groundwork for more structured and routine information - sharing. Many records management systems (RMS) used by law enforcement today were designed to provide statistical information. These often very expensive systems automated "number crunching" processes that detailed the activity of an organization. Management reports and administrative processes were important considerations in selecting the "right" RMS. Sadly, too little attention was given to such tasks as using the information in the RMS to solve crimes. SUB 3.1 Solution Components The OCILJ COPLINK node will be a system that integrates information from a variety of disparate records management systems and provides the Orange County agencies with a stream- lined way of retrieving, managing and analyzing criminal history records information (CHRI). To that end, KCC has selected the following COPLINK Solution Suite components for inclusion in the OCILJ Data Sharing Solution project: COPLINK® Migrator — The Migrator is part of the basic COPLINK information sharing system. It is the extract, transfer and load (ETL) mechanism of the COPLINK Solution Suite and employs XML to migrate and refresh the COPLINK data warehouse with the data from the un- derlying disparate records systems. COPLINK ConneetTl — A web - based, graphical user interface that permits queries on a consolidated data set that contains all information an authorized user is permitted to access that Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 11 OF 92 copuRV UNISYS is shared from the various contributing agencies. Depending on local wireless data implementa- tion, COPLINK Connect can be implemented on mobile PC -based systems. COPLINK Detect" — A web - based, graphical user interface that has the same query func- tion as COPLINK Connect, but adds an artificial - intelligence based analytic component. COP - LINK Detect can assist in tactical lead generation even when minimal suspect information is available. COPLINK° Visualizer — The Visualizer is an add -on module to COPLINK Detect that per- mits a graphical view of links and associations between different database objects (persons, locations, vehicles, etc.). The Visualizer allows the display of indirect links and associations separated by up to eight levels. It also incorporates a "find associations" feature to discover links between two or more known database objects. COPLINK Active AgentT°' — The Active Agent is an add-on module for both COPLINK Connect and COPLINK Detect. It enables a user to set a query that automatically compares in- coming data with the query parameters. If a match is found, the user is notified through a vari- ety of user - selectable methods. Active Agent also permits a user to share their queries (or not, depending on the investigation). This can quickly bring together different investigations in the same agency or separate agencies. It also allows for deconfliction. COPLINIC Mapping — The COPLINK Mapping program is another add -on module that provides the COPLINK Connect or COPLINK Detect user the ability to use geo- mapping features to query and analyze the data in the COPLINK data warehouse. The program uses ESRI MapOb- jects JAVA as the underlying software and widely available SHAPE files (a separate ESRI license is required and is included in the proposal pricing). In addition to the mapping functions, the program incorporates a variety of analysis tools, including the COPLINK Incident Analyzer and a temporal /spatial analysis capability. COPLINIC Administration — The Administration program is a stand -alone program that permits selected system administrators to control security; add, delete and modify users and groups; and manage the day -to -day functions of the COPLINK program. SUB 3.2 Functionality of the Proposed Integration Solution Configuration and Architecture The vision for the Orange County Integrated Law and Justice Project is a system that will fa- cilitate the efforts of the contributing public safety agencies to extract timely criminal history records and intelligence information for their personnel while continuing to meet the evolving requirements and expectations imposed on it. It includes a contemporary architecture that maximizes and encourages the use of current and emerging technologies. The architecture will embrace open systems and Web -based technology for access to critical law enforce- ment /criminal justice information, while retaining the necessary level of security to protect the information from unauthorized access. KCC understands that the Orange County Integrated Law and Justice solution is a major project that needs to meet the requirements of the participating public safety agencies to collect, analyze, and manage information from a wide variety of information sources. It needs to be a streamlined analytical environment using state -of- the -art data migration, data quality, data management systems, data analysis and reporting tools. This streamlining of processes will en- Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 12 OF 92 coPURV UNISYS able the participating agencies to reduce its paperwork, meet mandated investigative and regulatory requirements, and provide better customer service to data users by providing a state - of- the -art, web -based information sharing and analytical solution. KCC and Unisys will work with the individual agencies and RMS vendors to provide a useful, fully - functional system that also provides a high level of return-on- investment to the user agen- cies. The KCC team brings an extensible, scalable and robust solution, implemented by a fully tested and developed software solution and following a well thought -out plan for early delivery. To provide future flexibility, the solution will be built using a set of loosely coupled compo- nents that communicate using Web Services and XML based on the Global Justice Extensible Markup Language (XML) Data Model (GJXDM), Version 3.0, (and higher as it evolves). If de- sired, the Justice Information Exchange Model (DIEM) business process workflows can be in- corporated if the OCILJ COPLINK node becomes part of a broader Integrated Justice System portal. This component -based architecture is designed using a layered approach that separates the user interface, interface management, process control, query services, data management, and data storage as shown in Figure i below. This approach, based on open standards allows the components to be customized to suit specific user requirements now or in the future. The core functionality of the envisioned Orange County Integrated Law and Justice shown in Figure i is at a high level of abstraction in order to focus on the primary functions. The main components of the Project are: Information extraction, transfer and load into a consolidated data set Consolidated criminal history records information data storage Web -based query and information retrieval in a secure environment Advanced, artificial intelligence -based analysis With COPLINK, law enforcement and intelligence agencies can tailor their information shar- ing and crime analysis initiatives using existing components from technologies they already use. This allows participating agencies to create a seamlessly integrated solution without incurring the disproportionately high cost of untested, custom solutions. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 13 OF 92 COPU K° UNISYS Sogl eaotll PD Na.Pm eeam PD owco County so I.. PD Gomm Gra.o PD CywO s PD WCSG RMS NGGPRC RMS ViaonAa RMS Wwae6nn WAS Yusum RMS WCSG RMS User Workstation. COPUNK ETL pmage County DOVM1 Bu,. I'D (Migration BRefresh) Cluwns toroda out rWMRMs User Workstation xEnmwccrwD 1Nh4Vif Afy.s� Pgnl 0 I Rm SW. Daw COPUNK Web Server COPUNK Test Server SCSI Avachm $IONgn COPLINK Data Warehouse server Figure 1: High-Level View of Orange County Integrated Law and Justice Project User Interface ( "front- end ") Search Functionality The following is a listing of all queries that are possible in the COPLINK Solution Suite. The ability to retrieve information on these queries is of course based on the presence of the data in the underlying data sources. Not all records management systems capture all the data elements, and not all agencies make full use of the functionality in their R114S. QUERY FORM AND DATA OBJECT Person Search Form General: Person Last name Person First name Person Middle name Person DescriDtors Tab: Person Race Person Age QUERY DESCRIPTION free text free text free text drop down menu with multiple select capability two free text boxes to provide a range (with constraints) Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 14 OF 92 copuor QUERY FORM AND DATA OBJECT Person DO B. Person Height Person Weight Person Hair Color Person Eye Color Person Identifiers Tab: Operator (Driver) License Number SSN FBI number free text Fingerprint Classifica- tion Additional Identifiers type Additional Identifiers DNA Person Marks Tab: UNISYS QUERY DESCRIPTION free text box with constraints (numerals only allowed) two free text boxes to provide a range (with constraints) two free text boxes to provide a range (with constraints) drop down menu with multiple select capability drop down menu with multiple select capability free text free text with constraints free text drop down menu free text free text drop down menu with NCIC standard description of Category scars, marks, tattoos, etc. drop down menu with NCIC standard description of type Type of mark, scar, etc. Location drop down menu with NCIC standard location descrip- tions. Suspect Mood Category Mood Description Appearance Category Appearance Description Person Residence Tab: Street Number Street Direction Street Name Street Type Apartment Number City State Postal Code Telephone numbers Person Filter Tab: Police Geographic Area Flags Crime Class Specific Crime Type Role Date Time Organization Search Form General: drop down menu drop down menu drop down menu drop down menu two free text boxes to provide a range (with constraints) drop down menu free text drop down menu using U.S. Post Office standards free text free text drop down menu free text free text entry with constraints custom boxes for beats, precincts, divisions, etc. drop down menu for alerts, caution flags, etc. on a per- son drop down menu drop down menu drop down menu two free text boxes to provide a range (with constraints) two free text boxes to provide a range (with constraints) Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 15 OF 92 coPU QUERY FORM AND DATA OBJECT Organization Name Type NCIC # Organization Address Tab: Street Number Street Direction Street Name Apartment Number Street Type City State Postal Code Phone Number Organization Filter Tab: Police Geographic Area Crime Class Specific Crime Type Date Time Location Search Form General: Street Number Street Direction Street Name Street Type City State Postal Code Location Phone Tab: Phone Number Location Filter Tab: Police Geographic Area Crime Class Specific Crime Type Date Time Vehicle Search Form General: Vehicle Year License Plate State VIN Vehicle Description Tab: UNISYS QUERY DESCRIPTION free text drop down menu free text two free text boxes to provide a range (with constraints) drop down menu free text free text drop down menu based on U.S. Postal Service stan- dards free text drop down menu free text free text with constraints custom boxes for beats, precincts, divisions, etc. drop down menu drop down menu two free text boxes to provide a range (with constraints) two free text boxes to provide a range (with constraints) two free text boxes to provide a range (with constraints) drop down menu free text drop down menu using U.S. Post Office standards free text drop down menu free text free text with constraints custom boxes for beats, teams, precincts, districts, etc. drop down menu drop down menu two free text boxes to provide a range (with constraints) two free text boxes to provide a range (with constraints) two free text boxes to provide a range (with constraints) free text drop down menu free text Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 16 OF 92 COPLI � UNI D SYS QUERY FORM AND DATA OBJECT - QUERY DESCRIPTION ---•— - - - -- - -- - - - - w - - ---- - -- - - - ------ - - - --- $tyle drop down menu with multiple select capability Car Class drop down menu with multiple select capability Make drop down menu with multiple select capability Model drop down menu limited by selection of make Color 1 drop down menu with multiple select capability Color 2 drop down menu with multiple select capability Vehicle Filter Tab: Police Geographic Area custom boxes for beats Crime Class drop down menu Specific Crime Type drop down menu Status drop down menu Date two free textboxes to provide a range (with constraints) Time two free textboxes to provide a range (with constraints) Weapons Search Form General: Serial Number Weapons Description Tab: Manufacturer Brand Type Caliber Color 1 Color 2 Weaoon Filter Tab: Police Geographic Area Crime Class free text drop down menu with multiple select capability drop down menu limited by selection of manufacturer drop down menu listing firearms type in NCIC manual drop down menu listing all calibers in the NCIC manual drop down menu with multiple select capability drop down menu with multiple select capability custom boxes for beats, precincts, divisions, etc. drop down menu Specific Crime Type drop down menu Role drop down menu Date two free text boxes to provide a range (with constraints) Time two free text boxes to provide a range (with constraints) Property Search Form General: Category Serial Number Type Prooerly Description Tab Make Model Size Color 1 Color 2 Property Securities Tab: Securities Category Securities Type drop down menu free text entry box drop down menu free text entry box free text entry box free text entry box drop down menu with multiple select capability drop down menu with multiple select capability drop down menu with multiple select capability drop down menu with multiple select capability Response lo: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 17 OF 92 coPUW QUERY FORM AND DATA OBJECT Currency Type Property Filter Tab: Police Geographic Area Crime Class Specific Crime Type Role Date Time Document Search Form Document Number Officer Badge Number Activity Type Case Status M.O. category M.O. type Narrative Search Police Geographic Area Crime Class Specific Crime Type Document Type Date Time UNISYS QUERY DESCRIPTION custom boxes for beats, precincts, divisions, etc. custom boxes for beats, etc. drop down menu drop down menu drop down menu two free text boxes to provide a range (with constraints) two free text boxes to provide a range (with constraints) free text free text drop down menu drop down menu drop down menu drop down menu free text entry box for searching narratives custom boxes for beats, precincts, divisions, etc. drop down menu drop down menu drop down menu two free text boxes to provide a range (with constraints) two free text boxes to provide a range (with constraints) COPLINK ConnectTA°: Information Sharing and Retrieval The COPLINK user interface employs web- browser technology to allow users to conduct queries on persons, organizations, locations, incidents, weapons, vehicles, and property. The interface uses common Microsoft WindowsT" and Internet functions. It can be navigated by us- ing a keyboard or a pointing device such as a mouse or trackball. Information is returned to the user in a logical format that can be sorted in a variety of ways to suit the demands of the query. Underlying the COPLINK user interface is a comprehensive database that receives, sorts, consolidates, indexes, and stores data from the disparate data sources. COPLINK employs data compression and encryption when sending information to the end users. The users themselves gain access to the system through a combination of initial authorization and secure passwords for each user session. The password can be altered by the individual user, or changed to a de- fault by the system administrator. COPLINK also provides the user with a history of queries conducted during that session. This history is displayed in a tree configuration in a separate window in the main user screen. Each session history can be saved for use in the future, or shared with other investigators using the COPLINK system. This allows an investigator to hand -off an investigation to another person without requiring a repeat of the previously conducted queries. Because individual law enforcement agencies use many different formats for categorizing their data, especially in such areas as crime types, descriptions, vehicles and property, COPLINK adopted a ".standard" to which such data is mapped. The COPLINK standards are based on UCR Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27; 2004 PAGE 18 OF 92 coPUNVO I UNISYS crime types and NCIC 20oo descriptors for persons, vehicles, property, weapons, etc. By map- ping the disparate systems that contribute data to a COPLINK Node to an established standard requires the user learn only one format, rather the multiple formats that may be found in a query broker system. Since COPLINK is not designed to provide statistical crime reports to the FBI, agencies using the newer Incident -based Reporting (IBR) need not modify their process; they can continue to use the underlying RMS to prepare annual crime reports. When the COPLINK Connect program is started, the default display is a Person Search form (Figure 2). The other search modes include Organization, Location, Vehicle, Weapon, Property, and Document. A search mode may be selected by clicking on the tabs across the top of the search form, or may be selected from the menu bar under the View option. The COPLINK Con- nect program allows a search on a person using any of the parameters listed in the search form. This means that a person's physical description can be searched to generate a list of possible matches, as demonstrated in the next two figures. I Lu,cat' .'. Aa:m• yea• ©DI''_t. E��OY -•a 21r....... - 77.xry i•P..,.„„n 0., up= •Cex Ifl RRSaN I�+oREanlATN)X !}g_OGl Cna ram+ Person Search Form Inner w X.I.e R.ee �- .aEF—,r r.r NR F_ COMPLEIIOX �.!_ r 6..m Y.90w1i14rs r:e weal. f f TER f- ¢mgtlnll ooe EIES YI r 6XU.li Nlnx nnWnO ONAplun DESCM11M V1tH1R[11!t MPPYS ItUtMENCC MTM AGM FUW Peron I Create Mug Soak I Clear. Figure 2: The COPLINK default screen Is the Person Search Form Figure 3 shows a query on a Hispanic Male, age 25 to 351 5 feet -io inches to 6 feet -2 inches tall and weighing between 24o and 270 pounds. COPLINK searches by default on the most re- cent description of a person who is contained in the database. On occasion this may not be what is desired, particularly if the investigator is working on a case that is months or even years old. By selecting the box marked Search Past Descriptions the investigator can search for all physical descriptions of a person that are in the database. Response to: ORANGE COUNTY INTEGRATED LAW 8 JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 19 OF 92 coPU" UNISYS Initial COPLINK Connect query results are returned in summary screens. The person sum- mary screen contains a list of individuals that match the query parameters entered. The user may then select an individual record for further examination, or may sort the display in ascend- ing or descending order for each column in the summary screen. A query on a person will return a Person Summary Table that lists all persons in the database whose physical descriptors match the criteria entered in the search form. There are two search types in COPLINK Connect. (1) The Auto Wildcard is a partial search on any parameter entered into a query field. (2) Exact Match searches only for the exact infor- mation that is input. These two search types can be applied to any of the three search categories in COPLINK: At ... I., le2p. e Person Search Form M.wE WE Hisp AGE 25 35 xT SFO . e02 M4R�1 CONPtFRIOn � —J r 6uian VAOemI011am rim NIaN�. f— f- BEC X1010 m 5u m 008 w Fn'. Fm EISBF —_j r 6ny N1 Nltl({ W Wlnp O.mlillen BFFUCPT 0EMP10d 11 MR NESMENCE MTM ACNT FlndIkRoG9 II Create mug eock I CIEef Figure 3: A COPLINK Connect query using generic person descriptors. i. The String Match searches a text or numeric string. If the Auto Wildcard feature is applied, COPLINK appends a wildcard character to the end of the string. If an Exact Match search is selected, COPLINK searches on the exact text input. Wildcards are supported in the text string and partial search query modes. COPLINK uses Windows standard wildcard characters ( " ?" and " * ' ). 2. A Soundex search uses a sound - alike algorithm to provide possible name matches when the user is uncertain of the spelling. An example of a Soun dex search would be a search on the name 'Gweesty' that returns 'Guisti' as a possible match. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 20 OF 92 copuW UNISYS 3. The Metaphone search is an extended sound -alike query that uses the pho- netic makeup of a word. In the example above, a query on Gweesty would also return a name such as 'Custis'. An agency can choose a default search type and each user can select their own default setting for their particular session. r 1 B ALAIDEl. DAVID C 012 9(1975 Msparrc M 506.600 120 -260 B.. Brown r 1 ALTMAAN, LUIS J 0928/1975 FE pans M 600.603 200 -240 Black Brown r JJ S S ALVAr. E2: ROGERC 0125/1975 B.ryams M 409 -602 100 -260 Brown Brown r S 8 AMON -RA MARCOSA 10106119174 Hispnic M 600 -603 190 -260 Back Brown' r 38 ANNGI.IBURG, CARLOS 0 8 2 911 97 3 Hispanic M 508 -510 150 -250 Brown Brown r 1 BAH4HR. JUAN1 0624/1968 Hispanic M 508 -601 180 -240 Brown Brown r .19 BALKO71. MAIUl A 09/13/1968 Hispanic M 160.510 106 -510 Black Brown r 2 B BARAJOS, EDUA —R O G 1 271 511 97 2 Mpanic M 510 270 Brown Brown r ! 1 BELCHUR, EDUARDO G 12/15/1972 Hispanic M 510 270 Brown Brown r 139 BRODOWY.EDWARD 0813111974 Hispanic M 507 -510 170 -260 Back Brown r 1 BULLY. ALEIANDP.O R 0422/1970 Hispanic M 145 -510 105 -510 Brown Broom r 1 B BUSrAMAI•TM- GASTELUM JAVIERA 0 511711 9 7 2 Hispanic M 509 -601 180.240 Back Brown r 2 CA LPAVEZ. R014ALD H 0910911972 Hispanic M 508.601 145.250 Back Brown r 1 CH}ROW. FREDERICK =611976 . His par•!c M 505 -511 190.240 Bmm Brown r 1 S CIAMPI. JOSEPH S 1 1/11/1975 gap= M 406.601 100.240 Blond, Brown r 1 E CIAMPL MARTIN? 05129/1970 Hispanic M 507- 602 200.265 Back Brown r 19 COGDAL..Mla A 0911411 9 7 1 Hispmec M 507 -510 200 -240 Back Brown r 1 CONCENOS.JORGEL 0721/1972 Hispanic M 511.601 215 -240 B:pwn Brown r 1 8 CONCENOS, MA.U. B IM511971 IL,pac M 400 -600 80 -240 Bmwn Brown r 1 S COTRUPE CRUZ A 03!0411969 Hispanic M 507 -600 155 -260 Back Bcown r IV 2 CRIDEBM4G. RUBE N 00/0W1971 Hupmc M 508.600 135 -275 Brown Brown r 4 8 CUDUL0. CESAR A 12114/1974 Hispanic M 511 140 -660 Bmwn Gwen r y 57 B CUDD.LO. DANn3L R 0121!1970 Hispanic M 507.601 140 -265 Back Brown -, Figure 4: The results of the query in Figure 3 are displayed in a Person Summary Screen that lists all persons matching the physical descriptors. In this database, there are 105 such persons. The person summary screen (Figure 4) resulting from the person query in Figure 3 is dis- played in tabular form with fifteen columns. These columns are from left to right: i) Agent Monitoring (optional program module) 2) An entry under the red exclamation point column means the person has an active warrant; 3) a group icon in the third column indicates the per- son is a gang member; 4) exclamation point in a white cloud indicates a caution or other alert flag on this individual; 5) The dollar sign and ring indicate the person has a record of pawning property; 6) The documents column list the number of documents in the system related to that person; 7) a person icon in the next column indicates that a mug photo of the person is available. A user may "mouse over" the icon to view a thumbnail of the mug photo. The mouse over feature is also available to identify the columns; simply pass the mouse over the column header and a small box will describe the column contents. The remaining columns have descriptive headers (e.g., name, DOB; etc.) Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 21 OF 92 copuW UNISYS Figure 5 shows one of the sort features of COPLINK. In this example the returned results are sorted by date of birth. This can be done either by ascending or descending order simply by clicking on the column header. Note that the query has been entered into the History Window on the left side of the screen. The History Window can be resized to enlarge or reduced size allowing more of the Person Summary Table to be displayed. COPLINK screens are designed to work at a resolution of 640x480 lines, but are optimally displayed at 1024x768 lines. � . - -�.,_ _ �_. I s- — J_1011 fbe' fGM1' W,' !L'nt' IW' 11!i Q 1'hHU Q(ye, Q(ere &Orht ��14nU I'A•tio4ty {3'L:. CaW El Person Summary -TUCSON (105 Person(s) Found) c.r.w.. SuhTyp9ms t4et.b ?J MM - '7�,t..t, wy.xdc.nne. n' 1�JB Y7 S :Name :DOH. 6Rate Sei HT VJT. 7tau Hy� r 2 SUSPECT, Fipmrac M 155.607 40.508 Brown Brown r I BAWEK JUAN) 0624/1968 Hispa,6, M 508401 180 -240 B,o. Brown r 48 BALROW, MARK A 09/1311968 Fip=c M 160.510 106 -510 Black Brown r 4 B REZER. ALEJA4DRO 09/16/1968 M,p..k M 507 -601 160.240 Brown Brown r 5 sUSPEGT 00/0011969 ll p.•m• M 145.604 90 -300 B,o. Brown r I B COTRUPE. CRUZ A 03/04/1969 Hiponic M 507 -600 155.260'Black Brown , r 1 PpiMPCR CHARr aSM 11/22J1969 IErparec M 602- 603 203.300 Brown Brown r 4 'S51, PECf. 00/00/1970 Anpaac M 149- 60690 -510 Broom Brown , r a1J 51 9 CUDB.LO. DANIEL 8. 0121/1970 Haparic M 507 -601 140.265 Black Brown r 1 BULLY. ALEJANDRO R 042211970 K parec M 145 -510 105.510 Brown Brown r 1,8 CL6101, MAPmm 052911970 Hp. M 507- 602 200-265 Black Brown r �} 2 CRMEBRING, RUBEN 00/0011971 Hupav& M 508 - 600 135 -275 .Brown. Em. r 4 SUSPECT 0010011971 Mparcc M 130.809 100 -300 Brown Brawn r 1 LOCriBTr. FRANCtSCOi 0102'1971 &,p,+rc M 510 250 B :Owe Brown r 648 NEZMOSTE, JOSE G 0129/1971 Hap. M 507 -600 135 -260 Black Brown r C5 529 VOLAND. ANTHONY S 0311811971 Airport M 165.601 105 -511 Brown Brown r 18 RUETMN, STF-ir Tf 0424/1971 Hopocc M 240 -511 150 -240 B:ow, Brown r 8 PROFFM ERIC 1 08/17/1971 &rpa2c M 507 -601 150.250 Bmwn Brow r 19 COC-DAL, JAB.MA 09/14/1971 JEspmc M 507- 510 200 -240 Black Brown r 52 8 SAMI MICHAEL D 1021/1971 Hiapamc M 509 -600 160 -300 Brown Brown r 39 8 SAM, DAVID A 1203/1971 Msporcc M 500.600 170.300 Back Brown r 108 DE ELCM. STEVEN R 12117,'1971 Hip. M 507.511140 -240 Back B. own _J �p�• r 16 CONCENOS. MARE'. B 1 22 511 97 1 H§parec M 400 -600 80.240 Brown Brown J - rrI—ro� Figure 5: COPLINK query results sorted by ascending order of the date of birth. From a summary screen, a user may select the hyperlinks to examine further details on each object displayed in the summary screen. As an example, from the person summary screen a user can select the number of documents associated with each record. The result of this action is a document summary screen that lists basic information about each document related to the spe- cific person selected (see Figure 6). Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE .22.OF 92 CIP[INV cb- ral- YL.- s,.l- UNISYS maromn Dacwnuv[b uvcv T u Data Dacument Addy, Ml P 7P Give Sypv D.41.at R.I. 02020209 E Tvcson. D DA 0110X1002 E 25 SIPS PARR AV, TUCSON, AZ TstZaw:licReg ARRESTED 0105190399 TlsuovPD DR 05192001 5100 S FREMONTDR, TUCSON, AZ. DM- Nov -Acc 14 -51 ARRESTEDI 9806220018 TacloOD DR 062N1998 400 N GRANDE AV APT#703, TUCSON, AZ AssluNobj(DV) 35 -55 ARRESTED 9806080073 T1- onPD DR 0908/1998 S I1 AV/07 VIRGR41A Sr, TUCSON, AZ OdvOEM,d 13 -50 ARRESTED 9406090059. Tucto.PD DR 0909/1996 1700 S PARR AV, TUCSON. AZ OthORI&d(DV) SUSPECT 9605050098 Tucso.PD DR 0505!1996 4700 S COUNTRY CLUB RD. TUCSON, AZ DUIeNoo -Ace ARRESTED Figure 6: Selecting the number of documents in the Person Summary Screen displays a Docu- ment Summary Screen for that person. The document summary screen allows the user to select individual incidents or documents and examine the details. The Incident Details Screen provides all information ]crown about a particular incident, including persons, locations, vehicles or property associated with the inci- dent. Arrest details in the incident are displayed, and if any persons associated with the incident have photos available, a mug shot is also displayed (Figure 7). The Incident Details Screen also provides links to other details screens, such as locations, vehicles, and property. The user can navigate through a complex incident with simple mouse clicks. Also note that as each query is conducted (including clicking on a hyperlink), the history window on the left side of the screen is updated. The user can save this history at any point. It can be incorporated into a case folder, printed, shared with other users, or retrieved at a future time to allow the user to rerun the query process. The user is also prompted upon exiting the program to save the history file. The user can choose to do so, or not. Should users forget their actions, the user History Screen shows the sequence of queries conducted. Information on persons, vehicles, locations, etc. associated with the person can be found by conducting an association search. This is described in the section entitled `Information Analysis. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 23 OF 92 CUP U� FSC Edit —'Get Nsq-10 01l:'Nw I _AGENCY DETAIL_ _ LCID_E_IOM_ _ __ Mi 94E i TuCSanPO OJ IB 06Q7J1990 00'.31:27 I OMC1011SW SAM PRrOFIry CIRCUS CODE CLASS 3565 107 0 OPENASG KEZER, ALEJANDRO I...ENILOL.AFIDr1401N DOB 091161I9E8 AND AV APTiAm T➢T'cOit AT REIUARR ORACEU0E918 SICKEL. ROGER LEE afiC M 0912 Other Assaults- No lnvrpOV BAINER. SOCORRO ROLE VICPM DOB WMI1917 ADDRESS 400 H QRANQF AV APTA703 TUCSON AT ADS EO RACE HijiNMC SERF .,A EVES x1 rrt LOCAL IO SID FBI KEZER, ALEJANDRO ROLE ARRESTED DOB 091161I9E8 ADDRESS 5I00SfRENOM DR. TUCSON AI PDE 29 ROLE HIBDOIIrC afiC M rule BTOwn GYDD Bmm .1511 wr 220 LDC•L rD C462594 sm 9058024 FBI INFSNMS 1Bit GMC SRA PK NIAR AZ F7HA960 nn smlus ARREST FEAR 1991 .uNE GMC .0DE1 SRA Colo. '1 N1.100D Figure 7: Incident Details Screen. UNISYS Information contained in the Document Summary Table includes the incident number, inci- dent date, incident location, crime type, police geographic area, and individual incident role. As with previous summary tables, all columns may be sorted in ascending or descending order. Each incident in the Document Summary Table maybe selected for closer examination. Clicking on the incident number displays the Incident Details Screen. Clicking on the person name in any summary or detail screen will present the user with a person details screen. The person details screen displays the known information about that par- ticular person (Figure 8), such any known aliases, telephone numbers and addresses (sorted by date), arrests, and any identifiers, such as FBI number, state identification number, driver li- cense number, etc. are displayed. If a mug shot photo is available, it is also displayed. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 24 OF 92 copu' Eocu is CJ6258a m 903CeR1< RRI INF9T/ED6 se. M XYR 8. .507.601 R.sLE M3pn. EYEF B,. W IFILZGD CLIry FOR DOCUMENTS CLQV FOR MUG SHOTS iI CLICK FOR COURT CALENRARPECORDS CONSOLIDATION _ _ _ _ _ PpEXCY YR[Fs T.,..nPD ALIASES NW' ORF KEZER: AlEJANDRO D 091160908' j YOUING.ALEJANDRO 09116/1968. LPZMRA. ALEONDRO M MUMS �ZAZIA. AJEJANORO. WAS068 DOB 000 UNISYS Figure 8: The Person Details Screen is a comprehensive listing of all known information about a person contained in the connected data sources. The consolidation table in this screen shows the origin of the data by contributing agency. Each COPLINK Connect search form also has additional sub -tabs that allow for expanded search parameters. This strategy is employed to prevent the user from being with a cluttered and incomprehensible screen while retaining the ability to add many different types of search pa- rameters (Figure 9). Within the major tabs (persons, organizations, vehicles, etc.), information added in sub - tabs, such as the "marks" sub -tab in the person search form, is cumulative within the tab. This allows the user to filter the query with as much information as is available. This strategy will produce the smallest number of results; it may produce no results because one of the detailed descriptor is missing from the data in the underlying sources. The user then needs to modify the original query by removing filters until a workable query result is achieved. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27. 2004 PAGE 25 OF 92 copu� nP• cat- "r° IIL'aersoxI earth Foi cev EOE1e,. Person Search Foi Nhbry m 31�IM0(MSr aLIRr7t� WWE� �o flat F_ I F_ CAIC..R, 4TToos IYPEI .I REBERlIr10H tltU9V11 ^aVNPER�^ w000 0fiCCRlPibtl F__u 000 1JJr Ci MCE ^IC4EVORYf —mil LPPEMMYE OEWRtP IF M W ]= WLa1116 N $ mswtM rILIEP •4R1 Find Persons I' c9aw mug ewk .I Lpear UNISYS Figure 9: Using the "marks" sub -tab on the person search form to format a query on a person that has a tattoo of a dragon on their left arm. The remaining search forms for vehicles, locations, documents, and property have a similar design and functionality. Summary screens allow the users to drill down to detail screens that provide the required information on a location, vehicle, etc. This process is designed to get the information quickly into the hands of those who need it in a simple, easy -to -use method. SUB 3.3 Analysis Component Functionality COPLINK DetectTm: Information Analysis COPLINK Detect builds on the capabilities of COPLINK Connect and permits a user to per- form analysis of the data contained in the COPLINK Database server to discover hidden rela- tionships and co- occurrences. This functionality is a necessity in a broad regional information - storing environment to ensure that officers and investigators are not inundated with lists of data to sort through. By searching for past co- occurrences, it may be possible to identify an unknown suspect for whom only a physical description exists. The initial search in COPLINK Detect is identical to the method used in COPLINK Connect; the search modes, input and output screens, and display of information are the same as in COPLINK Connect. COPLINK Detect analysis features are designed to answer all of the questions that an inves- tigator or crime analyst have about an incident or series of incidents. Most traditional crime Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27. 2004 PAGE 26 OF 92 copuMV UNISYS analysis programs focus on what happened, where it happened, when it happened, and how it happened. COPLINK Detect goes further and frequently allows a user to identify "who did it." While knowing about what, when, where and how can be important in criminal investiga- tions and intelligence work, if an investigator knows "who," it is possible to take more direct ac- tion to confirm or refute a suspect's involvement in a particular incident. Rather than saturating an area with law enforcement personnel in hopes of deterring criminal activity, covert surveil- lance can be employed on specific individuals. This is not to minimize the contributions of traditional crime analysis; there are still occa- sions where a criminal suspect cannot be identified using COPLINK. Usually this is because the individual does not have a record, or the record contains insufficient information to link the sus- pect with the crime. Historically, agencies employing COPLINK notice an improvement in the quantity and qual- ity of the information entered into their records systems. Agency staff soon realize that accurate information can provide substantial assistance in crime solving and intelligence analysis. With COPLIIVK Detect, information on field interview reports is easily accessible and can be used to link potential suspects to criminal activity. An example of this was the Washington D.C. sniper killings in October of 2002. While COPLINK was made operational on the day the sus- pects were captured, a review of the data that had been entered into the system shows that the suspects would have been prominent investigative leads. The hunt for the "white van" could have been broadened to include a blue Chevrolet Caprice with New Jersey license plates. See Figure i0. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 27 OF 92 copuW UNISYS Figure 10: Example of using COPLINK to search field interviews or citations to find investigative leads COPLINK Detect Basic Search COPLINK Detect has two association searches. One is known as the "basic" search. In the COPLINK basic search, there are three "windows" for entering for search criteria. The "search for" window has eight selectable data objects: persons, organizations, locations, vehicles, weap- ons, property, documents and telephone numbers. The user can select any or all of these data objects; the default is all selected. In Figure lo, the user chose to look only for persons and vehi- cles; the other boxes are not checked. The "associated with" window is designed for query entry. It is here the user enters either a query or the results of a query to discover the relationships among the selected data objects. Any number of queries or query results can be entered into this window. The "limited to crime types" window allows the user to select only those crimes that are ger- mane to the investigation. The default setting is to search all crime types. Once a particular crime type is selected the association query will only return results with objects that are involved in that crime type. COPLINK Refined Search The refined search also uses three windows. In this search, the "search for" window is avail- able for query or query result information. This allows the user to create ad hoc queries to run against each other. The query logic in COPLINK is a Boolean AND between query fields ( "win- dows"), and a Boolean OR within the query entry fields themselves. By default, a blank query field searches on all possible parameters; for example, leaving a date of birth field blank results in all dates of birth being searched. To better illustrate the different capabilities of the basic and refined searches in COPLINK Detect, we present a scenario: An officer received an intelligence tip that a series of bur - glaries are being committed by two White males, both in their late twenties or early thirties. One is known as 'Jim.' He is de- scribed as about six feet tall and weighing about 180 pounds. The second suspect is known as 'Joe.' Joe is shorter than Jim but has about the same build. Jim drives a 2 door grey car, de- scribed as "old and beat up. " In addition to using either or both the basic and refined search modes in COPLINK, the ac- tual query entry can be done using two different methods. One method is to run a query on each suspect and then enter the query results into the "associated with" window. The second method allows the user to enter the query without executing it. This is a time- savings when the user al- ready knows they will enter the entire query result into the association search. In our scenario, we will use both methods to illustrate the full functionality of COPLINK. The first step is to compose a query on the first suspect. Since "Jim" is often a nickname for "James," but can be a given name, we need to cover both eventualities. Using the multi- select feature of COPLINK, we enter "Jim" OR "James" in the first name field. The "pipe symbol" is used by COPLINK within a query field to allow multiple entries; it creates a Boolean "OR" condi- tion between the two names. We complete the remaining query fields using the tip information, Response to: ORANGE COUNTY INTEGRATED LAW 8 JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 28 OF 92 copu� UNISYS but using a range of height and weight to cover potential inaccuracies in the descriptive informa- tion. The result shows 37Persons that fit the query parameters (Figure 11). Traditional approaches to this investigation would require the investigator to examine each document associated with each person to determine if they associated with a person named "Joe" and drove a 2 -door grey car. The thirty-seven persons have 33o different documents be- tween them; a daunting task indeed. Instead, the investigator selects the "Add All from this search" link. This adds all of the persons in the results set into the COPLINK Detect "Associated With:" window. XW Nom(- Lw- i rOgo" nvaE lace iia � u -e 2s . F37 ur 610.602 MIJR � —!vv couvrenp"� —�.; pmljeme9 4et Mole ��� .rm 4do� vrt 160.200 EYe6 i� omm r snwnn ui.,.. u�gn,e o.mirue. 0a 1*" m Wum w 1 r¢=.a 14sru Aa "r Find Persons. creeleMUO BdOk I rACdPq r Add 1 S ABRBNICA JOHN W r Add i ARFfft -- cEVB7D — pr¢uuR:eoz.rem9 CL. THOMAS D r Add 75 fl asimxwx,m_v ei ayswxwu,(a_w rs (uuv,mmp • Add 22 fl CRASS. JOHN A (u romp • Add 16 DD(ON. JAMES W Clear omw* ©- 11107/1970 WL¢, M 506- 604 930 -190 Bland, Bb¢ 11112/1971 White M 600 -601 170 -19D Brown Bu, 0129/1972 VAh M 501 -604 86.185 Brown Brown 04104/1968 MLitt M 508 -511 168 -ISO Red hazel 04/18/1969 VAh' M 506 -510 130480 Bro= Bh:4 P !I.." r4ro¢scAA,x e4m: Figure 11: Initial search on "Jim" or "James" produces 37 results. To begin a COPLINK Detect association query, all of the persons in the results set are added into the "Associated With" win- dow. In the next step, the initial query is modified to reflect the different physical description for "Joe," as well as the name. In this case, since "Joe" could be a nickname for Joseph, or a name in its own right, we use the Auto Wildeard feature of COPLINK and simply enter "jo" into the name field. Alternatively, we could have entered "joeljoseph" using the multi - select feature. The results of this query show u9 persons matching the query parameters. Again, we enter the entire set into the COPLINK Detect "Associated With:" window. Response to: ORANGE COUNTY INTEGRATED LAW 8 JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 29 OF 92 copu IV UNISYS J Ew E04•v_vw. "t- LLD- i.00�f9�+- ,��Li�1�cmY 4�v9w ®s..e tSer ilr].e,tl vJv_aew tlo„ _ �ql[: 2 P[RS" ORGNIIL1wN L_OC/.1pX �YpeL_YF (_MANN IROHRTY_ 0_PCIIIQN[ A Apncbw Person Search Form NinYry "0 Nvl WCelr N BaxEF__ le ' 'j Santlifw RACC ti1B ,j eSt McJB -i'� I Dums[AmI aTD¢s[ARaI ISeNnu nEw; ADC 25 . 35 mn nM� ❑ ❑+ orc _ Q L xI 506.600 ,., 1a0. 1eo. Q L.d� b N.VRr -:J EY60. �.., I I]YL1kb. CONPt[wlPllr -, j BUILBF Q Q WOlpml r CwM >enOmlPneb r Ees CY 4YYw Yf.NbOOIMOBan Q QBBCIwMA []fl1OM_ A[welnCn Y /Ali p DCSCP M WHI0¢RS L S Un C[ SlT[R Af l A Find Pemon5 I cream mg.socN l,j MC» gear I Lau r4ep; nYluY£i, I,Yn• I L -1� hTypeSee;MU:6.Y.mdea Add ! E: 'w _0S Name DOB Rue Sex RT WT •H_ Ey!_j r Add J, 2 ABRENICA, JOHN V7 1007/1970 WML. M 506 -604 130.190 Blond. al. ALVAFADO- Ebffn[.IES551: � � (A.VIFI.PPnO}R.Ip15RY ly r Add 83 (A,:v/wePSwTxrtssa 03!16 /1979 Whm M 505 - 601115 -200 Bmw Bhe r roomR¢ s Figure 12: The result of the query on "Jo." There are 119 persons in the database that match the parameters. The last step is to add the vehicle. This time we add the vehicle without actually running the query. The vehicle parameters are entered into the query fields. The vehicle style is 2- door. The color is grey. The vehicle is described as "older and beat -up looking." We limit the search to ve- hicles of the 2000 model year and older by entering 2000 in the second range box of the model year (entering a year only in the first box will search for vehicles of that year and newer). The vehicle is added by selecting the "Add" button on the query window (Figure 13). Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 30 OF 92 copuMV YEPV�.200e ll[ENBE YEPR� 81.1EF r•.un.a,n.nMJam.Rro YiNY� SEE 12 DR SEDN ,] cuss f_ ,� UNISYS 4m Ie ..al =i E Yamam .can awa� EI a P." rs..�aYma..aa:Nan, pane- MXWTI x r¢1 a..a�aae xsm: FWVeNcles �, PdCUi _ Clear ��EE� �•a�P a.a -nom I Easel IokI Y•NI• Ma 0..wela0anl aeon YYEWCer aewu Eim4ne mue.a rron Figure 13: Using the "Add" feature to enter the query into the COPLINK Detect "Associated With:" window. This skips the step of actually running the query and should be used when the user knows they will use the entire query result as part of their association search. Once the three elements of the association query are entered into the "Associated With:" window, the next step is to select "Find Associations." The query logic here is as follows: "Find all persons, organizations, locations, vehicles, weapons, property, documents or tele- phone numbers associated with PERSON i OR PERSON 2 OR VEHICLE V, There are a large number of results, 767 different associations. This is in effect the same re- sults that would come from a hand tally of the contents of all the documents relating to the 37 persons that matched the first person query, the 119 persons that matched the second person query, and the 44 results that matched the vehicle description. COPLINK simplifies the task of the investigator by listing those objects that have the most associations at the top of the list. In this case, we see that there are only five persons that are re- lated to all three of the query parameters. Only the first person listed has the name "James," so naturally we focus first on that person. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 31 OF 92 copu!C UNISYS Figure 14: The COPLINK Detect association search results. While there are a large number of as- sociated objects, only five people have a relationship to all three of the query parameters. By expanding the listing for James Sabadrae, we see that he is associated with a person named Joseph Pheaume (Figure 15). By examining the cases, we determine the two individuals were arrested together in two different burglary cases. Sabadrae also is a suspect in a drug case in which the vehicle was a grey 1987 Dodge Colt 2 door. Both Sabadrae and Pheaume have ex- tensive criminal records including robbery, burglary, theft, auto theft and drug offenses. The other associations listed do not have the same common elements as the first listing (in this case we used SOUNDEX as the search method; this resulted in names other than James and Joseph). Thus with limited information, we have identified two good investigative leads. Note also that the grey vehicle was not associated with Sabadrae and Pheaume in either of the bur- glaries, but only with Sabadrae in a drug case. Response lo: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 32 OF 92 copu 't) Id fl .V_w L_ ,,00 2p<S Ire. 69 -es.. t}emt 1,Vr f F p3iS 14= F YF311C1P(4) F 1 ATIW(410) F om "UAnWol) F e[meP M F PeOW42) FP MHV4 F7 Sox (y 9P om 92;Lr s m UNISYS MW A� Q Cno rdaen v'HaI ,^i fdaCa lb ouu uAlml araa ssAflcx _-- '�smenror: C1(�+ Nw300 r' 0. orrp:ib7 elmed su 0�. ,2,3 -' flvankb. ,r l OO rl�m+l + �saamem .2.3 i lJ vnom - -I dudtlGnd W h: 1 n.AU many )iuiw+cf ✓am•. Ir.AU RI✓Shl.p,:. YMI+L. Ml IALl wane. moo.2 MUW, 2.3 MD 11.2 E7 13 - -i Sr5D ,.1.2.3 t'l 2 I M 1.2 ae.m 61:y Ppl� ILp d,wdNmm Figure 15: The results for the first five persons are expanded to examine the underlying data. The previously described search can also be run using the COPLINK Detect refined search. The process of gathering the initial data is identical, but in constructing the query we need to think about what we looking for. In the refined search, the query logic is "OR" within the win- dows and "AND" between them. Since we have one vehicle and two person descriptions, in this case we will search for persons. The first step is to select the refined search tab. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 33 OF 92 copuor UNISYS J_- _ - J pe-[ erz• Lxu•!.t�t-ir<4'i001�`Jawts�UVrvn l'��rn ®taw Frnrr,ti¢I.ucru L'3 xaaib Gi-•x p P'ntnrs �vHUr4mn Associations -TUCSON L9P11(' MlE A PFA9]HM P vPHICIF(49) P =Anw(4M F7 OMAN TION(74) P PAUPFRTY(JT) A PROHF(GZ) 17 W PON(i) F7 SECUw ?Y(4) -;,r a I C -0,,i[ AR - SAaemgl so59112J NcM 3001 Pasit r[.rxns q[rYe fFASltx ISOrNrm: Oo qPw =,ma Qvenkm E'^^� 0.rfOPO�y o e E) vmn: - - -�- 'x.ut wnclt, am,xtnzwn- 'l,ut P06O+,nYIJWFS, n, vn bAU PSrew+..p.- s.wmr: xr i .I 4171 _ dty_u___ =Add aSABADRAE. JAMES B(W to 0&109 /19741 AAaI s( 1pfLzA .UME_JOSEeRL(WMIM_7f197.') Add �{ ?D REPORT K8907250648 IB'JRGLAR_Y - NO FOR _Role: Typo Raletedm I [ SUSPECr 7,2.3 ARRESTED 2.' �-- KdAdI--- E( �'!' PDC- PORT989072507t1tBURGLARY.FORCEI E dA d�Ei1987 DOUG CLT2D CRY AZ312FDW �Addl__ �T-rO REPORT do30iAR074 DRU _ N.E - O E -O� SUSPECT i l I SUSPECT 1.2.3 i Add l�.y)DLA'iO. STEV -F1iC tNMI?P_8/!9b21 -- _ — — ',Add l�,,aLOWETH.ABRAHAMD(HM0NIV197D ARRESTED I1,2,3 1 'Adl �% 2T=P, AHDRES M M 0421 /1974) I, 2, 3 ' AM , M 2BUSTAM.SNT7_GA=_ UM, BETO A (H M 1010911980) UFESrED 1, 2.3 Add n i2MOROYOGUL WALTER P(WM0829119571 ':ALdi.+^. aSDSPEGT.(WF00/OOfI960). -- - __ '.add FaSUSPBCT. (W M00 /00719&&1 /tCTLM I SUSPECT 2.3 2,3 — SUSPECT 12.3 'Add n aSUy- pEt�l'. 00/0011960 SUSPECT 2. 3 e,AAf05- KRUEGER. AMY(WF 12112!1974) —s — - - - CMA SUSPr•Cf -1 2,3 2. 3_ 3. sveogn iAda M aSUSPEtA. (W M 00,90119751 i„a awaatmn .Add [O''2 CON CENOS. HERMAN G131 M 0&07119591 '.Add l � aNASSOIY. GLL•TIDA A fW F 09; 72/14431 �L7 aetea �mwm,new". 4CrIId 2, 3 _� srve4m Gme rypm Figure 16: Further expansion of the listing for "James Sabadrae" shows the supporting docu- ments. The next step to enter the parameters for the three objects. The two persons are placed in the top "Search For:" window since we are looking for persons associated with a vehicle. The vehicle is entered into the "Associated With:" window (Figure 17). Selecting the "Find Associations" button results in only one person — James Sabadrae (Fig- ure 18). To find the possible other person, we must modify our search. We remove the vehicle from the "Associated With:" window. We use the "add" feature next to Sabadrae's name in the results and place this in to the "Associated With:" window. We remove the description for "JimlJames" from the "Search For:" window, since that person is now replaced by Sabadrae. The resulting query asks "display any persons matching the "jo" description associated with James Sabadrae." The results are shown in Figure 19. The single person matching the parameters is Joseph Pheaume. We have arrived at essen- tially the same result as with the basic search, but without all the "clutter" that results from the basic search. Although, in this case, since Pheaume and the Dodge Colt have no direct connec- tion, had we used the Refined search to look for an association between Pheaume and the Dodge Colt, we would have found nothing. The basic search will show indirect relationships, whereas the more focused refined search will show only those results that match the parameters due the stricter query logic. Both searches have tremendous value, and investigators should avail them- selves of both options. Response. to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 34 OF 92 copilir UNISYS _ _ -- , ,L,JRIA �Fb'fyPl Vwp'ACNI Htb'IQ OI1nG.Mli \1'ey tA�rl, ®A'.b (O"mInVAMN F�UI:•,YV�4 �TI iRRfd1. �OREN11EAlION l_OCPIpX VpYCtE IVE(ypl NOKRfY_ _WtlYI[III ® ® ATp, 11l Vehlcle Search Fomf 6 6 uwEamcn J � VE.AA F_ 2me IICENFE V"n F_ vAni F_ j J ,7 se.u,rm azsc s[Anol Rrru¢suwl r,.,w..r+,,,.uu..,..lna Yln..� a Hrvle 2eR SEOKN A ALL Ki6p+, JIM 1J4II, a,w1= CUHH L L ' '�-�II C LUJI- Gls/ vU ..L..F r rS...urmo.wmuw, MCWIMII MTER AGENT A A1wWrbEIm bMnn FLnd Vehte- I � Gear f f,.0 WJICIE, M, 2 MSEdn' Figure 17: Using the COPLINK Detect Refined Search. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 35 OF 92 eopu' UNISYS f 1piJ 1 Ew,[au•v_ma•.pmt'Lam'100 QFV -'11ee Oz.. ey. uEmljo :m lc+tm, 13 y 5=7s, VISWxII0. ETyp5l.n. avAmml'v .Add Tao L:vel i(eaix 4W� A Fmo lcl) 0.[FO¢ uM[x Falen9eU fCbc_AV seccnrm: C.l R iQ W x, nM /laYf 1. I, Pll ( A4d' En6 RolcI a R.IMludto J� n.nl wmax, A,•t, NXIlF,M1 _.!Y __ -- I,e, ssSABAQW. JAMES B fW M 0N09/19?4) sQSPECr 1 - - - -- jaxeclrea wnn: $.wrest. ;I.au Wlltxi, "ODJ.]CNSFQ1n•. II mm wn rInO AUa[Lllax ❑FGIe'n N.vYGer Peolx � lbMC0b 44ne lypvt Figure 18: The results of the "Refined Search." Unlike the COPLINK Detect Basic Search, here only one object is displayed. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 36 OF 92 COPLINU UNISYS 121 — 'rmfelt - ww- �I- w-j© O Qmsv I V Lh e2I01Ae &EM Sle,u i10!g- M9 11111W, p=,y vmuusa Associations - TUCSON AT I SMwA Aawkinw Add Too Level Renus E. Ku. irAUx Ff,,4,hfC0.... AU 's.r hrot. wN l U, /Y _ '. %,Idry- IR,u�lo�T�ypo Rhl�nsodt�l ��I iAdd r, IIPHFARAAIi.tOSF.Pa 1.(W hf lOM. /l�il -- — - - -I� +ry IL ___1111 I� J illvtlYVO M911: jL AMiee I ].S�BUn•E, lwES 6Iw a•MIOP • I I Pcvmn Ye,M IenIFtlL I fInO AIIpcIMIM, AMV�and <IIC,e IePAaenb 4„otlt\vc trhn i)9v, Flo A Figure 19: By using "James Sabadrae" in place of the generic "JimIJames" query, and running that against the "Jo" generic query, only one person is displayed. While COPLINK Detect has not solved this case, it has provided two strong investigative leads that can be followed up on by the officer. The total time required to conduct both Detect searches is approximately six minutes; the majority of this time is spent entering the data into the query fields. COPLINK Visualizer TM This add -on module to the COPLINK Detect program provides the ability for an investigator to view the results of a COPLINK Detect query in a graphical interface rather than a textual dis- play. The Visualizer eases the problem of tracking associations and relationships that are more than one or two levels deep. For example, person A is associated with person B in one incident, and person B is associated with person C in another incident. There exists the possibility, through these two different incidents, that person A maybe associated with person C. This sec- ond -level indirect link can be inferred from the COPLINK Detect textual display, but as the number of indirect levels increases, it becomes progressively more difficult to glean this infor- mation from a text -only display. The COPLINK Visualizer permits up to eight levels of indirect relationships to be displayed, making it a powerful intelligence analysis tool for creating links between different database objects. Link analysis charts can be easily developed using the in- formation in the Visualizer. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 37 OF 92 coPURF UNISYS A second feature of the Visualizer is the ability to find a link between two distinct database objects. In the example previously stated above, person A and person C would be entered into the COPLINK Detect search windows and the "Find Link" command selected. COPLINK then searches the consolidated database for any connections between these two persons. A user se- lectable setting allows searching for links up to eight levels deep. In the above example, person B would be the link between A and C due to their common association with person B, albeit in dif- ferent incidents or documents. With objects that have a large number of documents or incidents associated, the Find Link process can take several hours, since all associated database objects are examined, and then each of the resulting associated objects are examined, and so on, up to the level selected by the user (maximum of eight levels). The results of a COPLINK Detect query are shown as displayed by the COPLINK Detect Visualizer. This query can be viewed graphically by selecting the Visualizer tab (Figure 20). ^]CUPLQKONttI°-MI[A , - n111NemelEii01.•tt - •0,° &-&j ao •ono r /� tt� ✓f/,,••g,� ri r 1111Ufr�� Ilia Figure 20: COPLINK Visualizer display of a COPLINK Detect query result. The resulting display self - organizes, with the distance between each object used as a meta- phor for the number of associations. The more database links between the objects, the closer together the objects appear in the display. The user can also deselect certain classes of objects, e.g., locations. This can be helpful in reducing clutter when a large number of objects appear in the Visualizer window. Note that when the Person object has an associated mug shot, the actual mug shot is displayed instead of an object icon. Another time - saving function of the Visualizer is the ability to click on an icon in the display and obtain additional information. By right - clicking on a Visualizer icon with the pointing tool, Response. to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 38 OF 92 copuNV UNISYS the user can bring up a menu. One of the options is to Get More Associations (Figure 21). Select- ing this option brings up all associations with that icon. Astor M �A d? 0 2 a 0 Q ra II,Ia�'v'L�T: a 0 �] _ o �JF 0 '.:g K - . jl�ro " :(c. &0��1 &J ®!yd. Inl. Figure 21: Selecting any icon in the Visualizer display with a "right click" brings up a dialogue box menu with more options. One option is to "get more associations." COPLINK Mapping The COPLINK Mapping program module can be integrated with COPLINK Connect and COPLINK Detect. It provides both GIS -based mapping functions and a range of graphing and charting tools for analytical functions, including temporal /spatial analysis. The mapping pro- gram employs ESRI MapObjects" JAVA and commonly available SHAPE files. The geo- coding of the COPLINK database occurs during migration if the underlying data source does not have geo- coordinates in the location data. The mapping functions allow a user to employ a rectangle overlay to define a geographic area for location searching. The program also displays incident locations (as in a pin map). Ad- ditional map layer functionality available from ESRI can be incorporated into the program as a custom development. The illustration below shows one of the advanced search capabilities possible with the COP - LINK Mapping program. A red rectangle is drawn over an area of downtown San Diego, Califor- nia in the COPLINK Detect Location Search form. By selecting "Find Locations," the user will be presented with a list of all police incidents that occurred within the boundary drawn on the map. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004. PAGE 39 OF 92 is s. •- __ —_ !_1aIJl lew'!.Wlt•Xt0'�OOyaReglli:•:"Ib rr;, Q} ^eLw gP.T�{ly�'ILrH IjDT IIOpM/ ©iN �i 2IIaLRRtl VHllNJIIR ivaV. 19 Plmdes Wvratic. :J loom •� se.rcnrm a RNSIC fFM01 RtrVQ IIAR[H a �Fmrpn - -- - ,� I �+orlPntrnion [+I Wpd'mn VWCW �[•�H Em .!PJ P�HO. FIYb mpf y EJ hvVarlY, RtltlivrcFOV • � 9wv iPII � Q. DPanPM Wdd:la, IU.PDSERt TV yy"fPttyirn SM1wr PSlY.belips 0.drs RHMIdaO MIP: �CWOFBpIT'G. 2wnb 2Pm vU Etvw0.e'dbaliq Teit - � E[02MdOGNa' $�N p�' N�CF NIY 6.IRQiIOVAtR9.njG1%ffUd MIp.O %Nx[i:'m] a fet lYae Pf[WitTtin; � Ha�..c-vFMTons. T,�WfiP,OP1TItyHfA Sbx Diperctlw Shwv LaPPEm: � Fytly RHptbggs... � � $M1arVdvin PPgypetek... � VC\� $bnWenpw ,y SIa..TPpeV s SBw RanH SxavSwdi. wl v I _ $Iw Dmrso. � • � � I u� ".n RPw•. BPran.,xtm" tt Fmr �:ca.P. :vn Pnn 5rx: -fir., nna a.r«Idlvm SMITU. RDBERT T IB M W29/1�1 lfmdmf b Gbv Typo � Astor M �A d? 0 2 a 0 Q ra II,Ia�'v'L�T: a 0 �] _ o �JF 0 '.:g K - . jl�ro " :(c. &0��1 &J ®!yd. Inl. Figure 21: Selecting any icon in the Visualizer display with a "right click" brings up a dialogue box menu with more options. One option is to "get more associations." COPLINK Mapping The COPLINK Mapping program module can be integrated with COPLINK Connect and COPLINK Detect. It provides both GIS -based mapping functions and a range of graphing and charting tools for analytical functions, including temporal /spatial analysis. The mapping pro- gram employs ESRI MapObjects" JAVA and commonly available SHAPE files. The geo- coding of the COPLINK database occurs during migration if the underlying data source does not have geo- coordinates in the location data. The mapping functions allow a user to employ a rectangle overlay to define a geographic area for location searching. The program also displays incident locations (as in a pin map). Ad- ditional map layer functionality available from ESRI can be incorporated into the program as a custom development. The illustration below shows one of the advanced search capabilities possible with the COP - LINK Mapping program. A red rectangle is drawn over an area of downtown San Diego, Califor- nia in the COPLINK Detect Location Search form. By selecting "Find Locations," the user will be presented with a list of all police incidents that occurred within the boundary drawn on the map. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004. PAGE 39 OF 92 coPUNV UNISYS All the filters available in COPLINK can be incorporated to narrow the query, e.g., show only aggravated assaults between 22oo and 02oo hours. Figure 22: Using the COPLINK Mapping program to define a geographic area in downtown San Diego, California. Selecting "find locations" results in a display of all incidents within the bounda- ries. The COPLINK Mapping program also includes a variety of analysis tools that allow a user to create various graphs and charts. The graphing /charting features allow temporal analysis of in- cidents for any database object that has a details screen (persons, locations, vehicles, etc.). Graphs can be produced as bar graphs, line graphs and pie graphs using different increments of time (days, hours, etc.). The map in Figure 25 plots shows the incident mapping feature. The Incident Mapping func- tion in the COPLINK Mapping module plots incident locations (red dots). This is an incident map for a specific person. The person icon denotes the home address location. Additional analy- ses are shown in Figures 26 and 27. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 40 OF 92 - i Inn Py � HP _ Iil Location Search Form e di � cii•r- i•��a, o it I=i•i �° "i:� �- {IPI:ieIe2f101 El v�w JA�W MM G Y Figure 22: Using the COPLINK Mapping program to define a geographic area in downtown San Diego, California. Selecting "find locations" results in a display of all incidents within the bounda- ries. The COPLINK Mapping program also includes a variety of analysis tools that allow a user to create various graphs and charts. The graphing /charting features allow temporal analysis of in- cidents for any database object that has a details screen (persons, locations, vehicles, etc.). Graphs can be produced as bar graphs, line graphs and pie graphs using different increments of time (days, hours, etc.). The map in Figure 25 plots shows the incident mapping feature. The Incident Mapping func- tion in the COPLINK Mapping module plots incident locations (red dots). This is an incident map for a specific person. The person icon denotes the home address location. Additional analy- ses are shown in Figures 26 and 27. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 40 OF 92 cepilut UNISYS Mh: mvuam IP lA \� nitb�. elep, N4LLyttrFSR/6 llmiuJlo trYa TYpat Figure 23: The incidents map function plots incidents geographically. This map shows incidents for a specific person. The person icon shows the individual's home address. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT. SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 41 OF 92 Pb' E�JI' Ytrv' ACT Lkb' � 0 � �FE: a,.l �tkw FJ�Jm P35im ':lPrnt i LJUerts �I waC.7o -. ��1I E'%' bC4CRC'IION" ttPE MiE -I 9 AE , 111 M.1DuRWINUNT DLE&'51Q9 CA9'.0;6 HOME 12N1200i a U° iup COWan 1 PHONES D � OECG�PnOn IYSC YT[ ,i Eeu[nim 21 7gis3LI-2247 HOME 12/712003 eislc sEAaa1 RErn¢suual swcn rm: INOIDENT DATE GRAPH -_,. _ _ INCIENTBMAP �— ®' '^ QE«alen IXCSelect r ldardly_ _._ I ?•O rcabb Mh: mvuam IP lA \� nitb�. elep, N4LLyttrFSR/6 llmiuJlo trYa TYpat Figure 23: The incidents map function plots incidents geographically. This map shows incidents for a specific person. The person icon shows the individual's home address. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT. SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 41 OF 92 copuNVY Eft' rnv•wi•AW'! *10 tl I Wk— .1..'] La. 6Y91iq rJ Seri 3LLNw DOCUMENTS omn :].H.. $&Ilw -UMm ]PNq 4P.i 1D.. 6mli)7 - IAlliii P�GlITO - PtO1T:� - PSOWOf ONIM1tJ - PeN,ryq ff v P�WIaB.I � m D:mIMJ III E omlcm - ca+oiml _ �oaonux. � p O�DUiq - OYWI - P:DPK:I - dMlai - DialDb - asolai° - Pamno - cwlua. - c+DOliro - UNISYS .uuf Nll, I m.a ♦nsmm =. II Figure 24: The incident date graph displays a date range for incidents involving an individual. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 42 OF 92 coPUNK/ UNISYS Figure 25: Using the temporal sliding scale to examine incidents between 01/3011992 and 0810312000. The red dots on the map show the locations. This display shows all of Pima County, Arizona. The map's zoom capability allows the user to select specific geographic areas for de- tailed examination and analysis. The graph above the slider shows the incident distribution over the entire time span covered by the data. The chart at upper right is one of several that allows analysis of the data using a variety of filters. Temporal analysis can occur on time scales ranging from hours to years. SUB 3.4 Data Access /Storage The COPLINK Solution Suite method employs a centralized data warehouse to collect and consolidate the information from disparate sources. This allows a single user query format and a consistent description of the items contained in the database. A data warehouse solution has these advantages: Data in the warehouse can be consolidated. Thus instead of examining each indi- vidual return from outside agencies, the user can see all the information on a per- son, vehicle, address, etc. in a single screen. The data is amenable to sophisticated analysis, since it consolidates links and as- sociations from different sources. Response lo: ORANGE COUNTY INTEGRATED. LAW 8 JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 43 OF 92 ILI� 6 N ,A CrlmoClaas y r �mw• r 'a �m i' - s j I HD i it I I i + A Ak A§ III f A I � �• mvy or a nvw wmzm .Jj{ m m +.rve m.�mn paysvwv ❑ TM j C • II 19W Nth IA j rvtro., Figure 25: Using the temporal sliding scale to examine incidents between 01/3011992 and 0810312000. The red dots on the map show the locations. This display shows all of Pima County, Arizona. The map's zoom capability allows the user to select specific geographic areas for de- tailed examination and analysis. The graph above the slider shows the incident distribution over the entire time span covered by the data. The chart at upper right is one of several that allows analysis of the data using a variety of filters. Temporal analysis can occur on time scales ranging from hours to years. SUB 3.4 Data Access /Storage The COPLINK Solution Suite method employs a centralized data warehouse to collect and consolidate the information from disparate sources. This allows a single user query format and a consistent description of the items contained in the database. A data warehouse solution has these advantages: Data in the warehouse can be consolidated. Thus instead of examining each indi- vidual return from outside agencies, the user can see all the information on a per- son, vehicle, address, etc. in a single screen. The data is amenable to sophisticated analysis, since it consolidates links and as- sociations from different sources. Response lo: ORANGE COUNTY INTEGRATED. LAW 8 JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 43 OF 92 coPUIV UMSYS • It is easy to add new agencies or data sources. • Since the load on the underlying data sources imposed by the data refresh mechanism is predictable, the contributing data sources are not as subject to large variations in query traffic (system overload). Data warehouse programs have a common interface for query and analysis; while likely dis- similar to existing interfaces, the newer technology employed allows for a web -based or graphi- cal user interface that can be navigated using standard Windows and /or Internet conventions. Function -key based, text -only screens found in the older RMS products are replaced by easy to use interfaces with drop down boxes and graphical image capability. The true test of an information - sharing and analysis system is the knowledge imparted to the users. There is an academic view of the data — information — knowledge continuum that de- fines data as facts, images or sounds. When data are combined with interpretation and meaning, information emerges. Information that is formatted, filtered and summarized data becomes knowledge. Knowledge exists in such forms as instincts, ideas, rules and procedures that guide actions and decisions. In other words, knowledge is the "institutional memory" of the organiza- tion. The data in the warehouse should be kept as close to real time as possible. Even with input from multiple sources, a delay of only a few seconds or minutes is possible if the underlying data sources can technically support rapid refresh. Older legacy systems, or those that are built on non relational databases may require a longer refresh interval. In agencies using these systems, this usually does not pose a problem since the data must be input by dedicated staff. The delay in data input to underlying systems maybe hours or even days in such cases. The size of the data warehouse is a consideration. As the database ages and new jurisdictions join, the amount of data that must be sifted by the program in response to a user query grows. Eventually, concurrent user increases, growing volumes of data and limitations on computer technology may impact the system's usability. However, careful initial system design can ad- dress the technical issues of employing a consolidated data warehouse for law enforcement in- formation sharing. Video images such as mug photos can be integrated into the COPLINK system using a pointer system or a hot link to an external system, or they can be loaded on the COPLINK data warehouse. Document images can be handled in the same way as video images, assuming that these documents are scanned into a document imaging system. A link can be developed to recall a specific document for display through COPLINK, similar to the mechanism described for video mug shot images. Documents (OCR) that are scanned and then processed with optical character recognition software are treated differently. In this case the narrative is converted to a text file, similar to a word - processing document. This situation results in the document file being stored either in the database or in a separate partition or system with pointers that allow retrieval. With text docu- ments, advanced searches are possible using search- engine technology to find phrases, words, or concepts contained in the narratives. If there is a desire to retrieve original documents from leg- acy data sources, this can be accommodated through a customized document retrieval mecha- nism. SUB 3.5 Adding Data Sources Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 44 OF 92 copuMV Software UNISYS The open architecture of the COPLINK Solution Suite allows the addition of data sources at any time without requiring a rewrite of the program. Unlike a middleware solution, COPLINK works with the individual data source to integrate it into an established standard database. An additional data source has no impact on the existing data other than to enhance the functional- ity of the system. In addition, this open architecture allows the inclusion of other types of data sources than law enforcement records management systems. Computer -aided dispatch files, business license files, real property ownership records, utility billing records and data from fire departments are examples of data sources integrated into COPLINK by other jurisdictions across the country. COPLINK pricing is partly based on the complexity of an underlying data source. Standard data sources are less costly to migrate and refresh. The COPLINK definition of a standard data source is one that uses a SQL-92 compliant database as the basis for the data source, and meets any one of the following conditions: The data source is provided by a COPLINK certified complaint vendor. Current vendors in this category are Intergraph Public Safety, Raytheon, and Geogii. The data source is provided by a vendor with which KCC has a teaming agree- ment or has concluded a mutual non disclosure agreement allowing exchange of confidential and proprietary information. Current vendors falling into this cate- gory are Northrup /Grumman Information Technologies (PRC), Motorola Prin- trak, Lockheed /Martin, Inc., Q.E.D., Inc., Vision, Inc., Sungard /H.T.E., Inc., Spillman Technologies, Inc., Tiburon, CrossCurrent and CISCO, Inc. The customer requests the data source vendor to enter into a teaming arrange- ment or conclude a mutual non disclosure agreement with KCC, which will result in the provision of a legal copy of the data source database schema and a data dic- tionary to KCC at no cost. The user agency provides a legal copy of the data source schema and a data dic- tionary to KCC at no cost, and allows the installation of database triggers or other mechanisms on the customer's database in order to refresh the data sent to the COPLINK Database server. The data source vendor agrees, at the request of the individual agency customer, to provide no -cost technical support to KCC in order to map, migrate, and refresh the data from that agency to the COPLINK Database server. This may involve the installation of database triggers or other mechanisms on the customer's data source. Hardware The hardware required for additional data sources will depend on the size and number of the data sources. The database server selected for this proposal is the Unisys ES7000 /510. This server is a robust, industry- standard hardware platform that supports Microsoft Windows Server 2000/2003 environments. The ES7000 /510 can scale from the current 4 processors and 8 GB of memory to 8 proces- sors and 16 GB of memory. The system can then be upgraded to the ES7000/520 or 540 models and grow to 32 processors and 64 GB of memory. Also, the current chip set can be upgraded to future Intel chip set releases. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 45 OF 92 copuiv UNISYS The CLARHON CX3oo disk array is starting with 2 Terabytes of disk storage and can be ex- panded to a total of 4 Terabytes of storage at the current settings. The CX300 can be updated to a CX5oo or CX700. These expansion capabilities will provide adequate hardware performance capability and storage capacity for all Orange County agency records management system data. It will also al- low for anticipated growth in the size of the underlying databases. SUB 3.6 Data Ownership The COPLINK Migrator attaches a "tag" to every data object that is extracted, transferred and loaded into the COPLINK data warehouse. The source agency for every record, description, or other information is available in the COPLINK summary and /or detail screens. Thus, if an agency ever chose to withdraw its data from the COPLINK data warehouse, this can be accom- plished without impacting the data from the other sources. The consolidation of the withdrawn data with the remaining data would disappear, since the data objects are no longer present in the system. Individual agencies can choose what data to send to the COPLINK data warehouse. A typical RMS contains a great deal of information that is not pertinent to CHRI sharing and analysis. During the analysis phase, KCC will collaborate with the individual agencies to select what data elements they wish to send to the COPLINK data warehouse and if any restrictions should at- tach to the data. The restrictions can attach to the entire database, to database tables, to col- umns within the database tables, or to the individual data objects. The restriction by individual data objects requires the underlying RMS have the ability to "flag" certain objects (usually a po- lice incident report) as restricted. If an incident report is flagged as restricted, then all the data- base objects associated with that incident report carry the same restriction. Access to restricted information requires a user to have membership in a group authorized to view such data. A user can belong to multiple groups; a group consists of one or more users. Users that are not group members will not be able to view the restricted data, and depending on the restriction level, may not even be aware the data exists. When COPLINK is used to create regional, multi -state or interagency information sharing networks, each participating agency has real -time control over what data is shared, with whom and when. In addition, data continues to reside and be updated at its existing source. These safeguards help protect the integrity of the data and sensitive information while allowing for the creation of ad hoc regional task forces to address specific criminal or potential terrorist activity. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 46 OF 92 COPIII� mvisYs SUB 3.7 Data Currency and Integrity Data currency in the COPLINK data warehouse is a function of the COPLINK Migrator. The refresh mechanism selected for a data source to maintain data currency is determined by several factors. • Refresh options supported by a source database management system (DBMS). • Refresh options supported by the COPLINK Migrator. • Acceptable overhead on an underlying records management system database. • Acceptable overhead on the COPLINK database. Desired frequency of data refresh. A brief summary of refresh mechanisms supported by the COPLINK migration system is outlined below. These are listed in descending order of potential refresh frequency, from fastest to slowest. 1. Certain modern records management systems provide infrastructure to push changes in XML format (e.g., the Global Justice XML 3 schema). The COPLINK Migrator provides functionality to listen to a certain TCP /IP port on the network and process XML data. The XML refresh mechanism pro- vides data refresh as frequently as the data is pushed to the COPLINK data warehouse. This permits virtually real -time data refresh. 2. Many RMS vendors allow KCC to create triggers in a source records man- agement system database and to add a special table called the CoplinkMigration table. The triggers log insert/update /delete statements executed against source tables in the CoplinkMigration table. The COPLINK Migrator retrieves rows from the CoplinkMigration table and propagates the changes in the COPLINK data warehouse. Once the changes are sent to the COPLINK data warehouse, the CoplinkMigration table is emptied to prevent it from adding to database growth. The triggers are stored procedures and do not modify the RMS database in any way. A trigger refresh mechanism provides for very frequent refresh (every 3. 96f1 eAMS contain an audit log table. The audit log table records all in- sert/update /delete statements executed against any table in the following format: TableName, PrimaryKeyValue, DateVmeStamp, Action (insert, update or delete). The COPLINK Migrator takes advantage of the audit log table to propagate changes from a source database to the COPLINK data warehouse. Audit Log refresh mechanisms support frequent updates (every five minutes). 4. Some records management systems contain a LastChanged column of data type Date (or DateTime). In these systems database table rows are never physically deleted. Instead, the rows are marked as logically deleted by a special DeletedNag column. The COPLINK Migrator takes advantage of the LastChanged and Deleted columns to propagate changes from a source da- tabase to the COPLINK data warehouse. This is called Batch Incremental Refresh. This mechanism supports fairly frequent updates (once an hour). Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 47 OF 92 COPIII UNISYS With this refresh mechanism it is important that deleted rows are flagged as deleted; otherwise, there is no way to keep track of deleted data. 5. Many legacy database systems used by older RMS products do not provide built -in functionality to keep track of data changes. In this case, source data is extracted in comma- delimited flat files. The files are transferred to the COPLINK data warehouse either automatically or manually and loaded by the COPLINK Migrator. The Flat File refresh mechanism supports moder- ately frequent updates (once every several hours). 6. In the event none of the above options can be used, a full database backup of the source database is transferred to the COPLINK data warehouse on a frequency ranging from once a day or once a week. The COPLINK Migrator compares the most recent database backup with the previous one and de- termines what rows have been inserted /updated /deleted. This is known as Full Database Comparison. This refresh mechanism is much more resource - intensive than the first three options. Depending on the size of a source da- tabase, it may require additional server hardware, RDBMS licenses and disk storage. The database size may also limit the ability to refresh the data more frequently than once a day to once a week. COPLINK has no mechanism to permit a user to enter data directly into the COPLINK data warehouse. The system administrators can enter user, group and related security data, but this is kept in a separate Admin database. All data in the COPLINK data warehouse must be entered from an underlying data source by the COPLINK Migrator. This is a deliberate design feature of the program that maintains data integrity. The COPLINK data warehouse is at all times a mirror of the data contained in the underlying data sources (up to the most recent data refresh). Thus, any potential for data corruption is minimized. Out -of -date information is removed from COP - LINK as it is removed from the underlying data source (again, up to the most recent refresh). SUB 3.8 Requirements The following functionality matrix shows the compliance level of the proposed COPLINK So- lution Suite with the requirements of the RFP. The COPLINK Solution Suite complies with all requirements and provides in most cases functionality beyond that listed. Requirement M PM DM NA REQ 1 — General REQi -i -i System Integrity V REQ1 -1 -2 Data Ownership V REQ1 -1 -3 Data Currency and Integrity V REQ1 -1 -4 Create a Standard Look and Feel J REQ 2 — Application Security & Administration RE Q2-1 Security Response to: ORANGE COUNTY INTEGRATED LAW 8 JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 48 OF 92 copuNV UNISYS REQ2 -1 -1 Enable Definition of a List of Users that may Access Search Tool J REQ2 -1 -2 Enable role based security J REQ2 -1 -3 Enable definition of user rights and privileges through administrative user interface J REQ2 -1 -4 Support Passwords J REQ2 -1 -5 Maintain a User List J REQ2 -1 -6 View a List of Users J REQ2 -1 -7 Add New Users J REQ2 -1 -8 Set the Default Password for a New User J REQ2 -1 -9 Assign a Security Profile for a User J REQ2 -1 -10 View /Edit a User Log -On J REQ2 -1 -11 Inactivate a User Log -On J REQ2 -1 -12 Reset a Password to Default J REQ2 -1 -13 Administer Password Functionality J REQ2 -2 Administration REQ2 -2 -1 Log Errors J REQ2 -2 -2 Support Error Notification J REQ2 -2 -3 Enable administration of drop -down lists J REQ2 -2 -2 Disable access to data sources J REQ2 -3 Provide an Audit Vail REQ2 -3 -1 Record user logons J REQ2 -3 -2 Record user logoffs J REQ2 -3 -3 Record unsuccessful login attempts J REQ2-3-4 Record executed searches J REQ2 -3 -5 Record search return results J REQ2 -3 -6 View Audit Trail Information J REQ 3 — Data Extraction REQ3 -3t Connect to RMS Data source REQ3 -1 -1 Provide a Secure Connection J Response to: ORANGE COUNTY INTEGRATED LAW 8 JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 49 OF 92 COPHOF UNISYS REQ3 -1 -2 Define a List of Users, Services or Systems that may Access the Data source d REQ3 -2 Extract Data REQ3 -2 -1 Extract Data fields from Records Management Systems — Field Interview V REQ3 -2 -2 Extract Data fields from Records Management Systems — Citation J REQ3 -2 -3 Extract Data fields from Records Management Systems — Incident Report REQ3 -2 -4 Extract Data fields from Records Management Systems — Person of Interest REQ3 -3 Data Standards REQ3 -3 =2 Enable Access to Data in GJXML Format V REQ3-3-3 Provide a data field mapping mechanism for conversion to GJXML V REQ3 -3 -4 Provide a transformation mechanism to create standard data REQ3 -3 -5 Provide secure user interface for data mapping J REQ3 -3 -6 Provide a secure user interface for extraction configuration J REQ3-3-7 Enable SQL compliant query interface d REQ3 -3 -8 Restrict records available for extraction d REQ3 -4 Data Storage REQ3-4-1 Enable definition of a list of users, services or systems that may access data source d REQ3-4-2 Provide configuration interface to source data system J REQ3-4-3 Provide configurable data refresh schedule, if not real time V REQ3-4 -4 Store data in Global Justice XML schema J REQ 4— Search Tool Functionality REQ4 -1 End -User Search Tool Log -On REQ4 -1 -1 Provide End -User Log -On facility d REQ4 -1 -1 Provide Authentication Through ELETE J Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 50 OF 92 copuNU UNISYS REQ4 -1 -2 Allow access to authorized users J REQ4 -1 -3 Determine security profile and privileges J REQ4 -1 -4 Lockout user after failed logon attempts J REQ4 -1 -5 Provide an automatic logoff facility J REQ4 -2 General User Interface REQ4 -2 -1 Provide user friendly UI J REQ4 -3 -1 Enable mobile wireless access J REQ473 General Search REQ4-3-1 Allow removal of search criteria J REQ4 -3 -2 Allow additional search criteria J REQ4 -3 -3 Enable search criteria reset J REQ4-3-4 Enable Search Types J REQ4-3-5 Enable user to limit searches to specific agency Records Management Systems J REQ4 -4 General Search Results REQ4 -4 -1 Number of records found J REQ4 -4 -2 Search results paging J REQ4-4 -3 Search results record limit J REQ4-4-4 Records returned J REQ4-4 -5 Export to comma delimited file J REQ4 -4 -6 Export to Microsoft® Excel file J REQ4-4-7 Return results in summary list form J REQ4 -4 -8 Indicate Agency Data Source J REQ4 -4 -9 Allow User to change order J REQ4 -4 -10 Provide hyperlink for detailed reports J REQ4 -4 -11 Return records for incident reports J REQ4 -4 -12 Return records for field interviews J REQ4 -4 -13 Return records for citations J REQ4-4-14 Enable mug shot view J REQ4 -4-15 Enable other associated photos view J REQ4-5 Person Search Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS. MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 51 OF 92 copuN� UNISYS REQ4-5 -1 Enable user to enter search criteria V REQ4-5-2 Enable wild card search J REQ4 -5 -3 Enable SoundEx search criteria d REQ4 -6 Person Search Results REQ4 -6 -i Enable filters J REQ4 -6 -2 Export to Link Analysis d REQ4 -9 Location Search REQ4 -7-i Enable user to enter search criteria for a Loca- tion Search REQ4 -8 Location Search Results REQ4 -8 -1 Enable filters for Location Search Results J REQ4 -8 -2 Enable export to Mapping Tool from Location Search Results J REQ4 -9 Incident Search REQ4 -9 -1 Enable user to enter search criteria for a Inci- dent Search REQ4 -10 Incident Search Results REQ4 -io -i Enable export to Mapping Tool from Location Search Results / REQ4 -11 Vehicle Search REQ4 -ii -i Enable user to enter search criteria for a Inci- dent Search REQ4 -12 Vehicle Search Results REQ4 -12 -1 Enable return results REQ4 -13 Search Detail Views REQ4 -13 -1 Enable full incident report data view REQ4 -13 -2 Enable full field interview view J REQ4 -13 -3 Enable full citation information view REQ 5 — Analysis Functional Requirements REQ5 -1 Intended Use J REQ5 -2 Analysis Components REQ5 -3 Data Import d Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 52 OF 92 copuRV UNISYS REQ5 -4 Data Handling ✓ REQ5 -4 Data Export ✓ REQ5 -5 Geo- Spatial Analysis ✓ REQ5 -6 Link Analysis ✓ REQ 5 -7 Temporal Analysis ✓ REQ 5 -8 Context Search Analysis Capability ✓ Notes on the Requirements REQ 2 — Application Security & Administration: The COPLINK system was designed with security in mind. The model employed by the pro- gram is based on the requirements set forth in 28 CFR, Part 20.21(f); Security. Access to the COPLINK application programs requires that each authorized user be entered into the system user table. Users cannot "self- register." As part of their user profile, each user is assigned a de- fault password that they must change upon first accessing the system. Attempts to logon with an incorrect password will eventually result in that user being suspended. The number of unsuc- cessful login attempts before user suspension is adjustable by the system administrator (the de- fault setting is three). Once a user is suspended, the system administrator must either manually reactivate that user's account, or if so desired, the system can automatically reactivate the ac- count after a selectable elapsed time. The COPLINK Administration program provides the capability for the system administrator to perform audits. The transaction log records the user ID, date and time of every transaction in the COPLINK system and a description of the action (query, log on, log off, save history, etc.). The transaction logs are stored in the Administration database. They can be viewed by author- ized users as formatted html, or they can be exported to off -line storage media as a delimited ASCII text file. The logs may be searched using a variety of parameters, including user name, query name, a range of date and a range of time. COPLINK user passwords are stored as an encrypted binary file. No one, not even the sys- tem administrator, can view a user password after the initial creation of the user's account pro- file. Should a user forget their password, the system administrator can only assign a new default password that the user must change upon logging in. Password requirements conform to the CJIS guidelines and require a minimum length and complexity. The system administrator can select whether to enable complex passwords. Expiration of user passwords after a specific time interval is selectable, and the users themselves may also be expired after a time interval. The COPLINK Administration program also allows the system administrator to perform all routine tasks associated with local maintenance of the COPLINK Solution Suite. Administration allows the system administrator to adjust security protocols, add or delete users and user groups, add or remove user and group access permissions, add or remove COPLINK applica- tions (e.g. COPLINK Connect, COPLINK Detect) accessible by individual users, add or remove user suspensions, reset user passwords, perform audits, adjust the global settings for passwords, and maintain the system look -up tables. The Administration program is a stand -alone compo- nent of the COPLINK Solution Suite. The logon process is identical to that used by COP - LINK Connect and Detect, however access to this component should be strictly controlled. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 53 OF 92 copu UNISYS Like all COPLINK products the Administration program is easy and intuitive for the system administrator to use. The program has all the tools necessary for day -to -day management of the COPLINK system. The Administration program has five major sections. These sections are: r)User Functions 2) Group Functions 3) Global Functions 4) Maintenance Functions 5) Statistics eaCOPLIM: Administration- Microsolt Internet Explorer Fue- EDR- v_M.- lisp -Ifs° prbU� ®sgv CCPlllt� i� USCR �d SROUP ® OL_OBAL f� NADITF1UlNtE VIEW USER MODUYUSER ADD USER » »USER NAME OSheorn DELETE USER - WISUSPEIN USER Obtain User Details -I' G09r USER NAME: Dshe8m USERPASSWOROF__ USEMS FIRST 11AME Mldlnel USERS; LAST NAME D7Shee _ USERS 'OESCR1Pp011 DONNIJ I USERS T1MEOUT(1n nim .) 3O APPLICATIONS' TO REMOVE. NE APPLICAOORSTO ADD MIN -.. GANG UNR GROUPS 'TO- REMOVE �I OROUPSTOAUD HGMICIDE SUS_PE14DED f_' true r' WEE _.___- - -- _ i Upiiete User ,Glee[ Dana net Figure 26: COPLINK Administration Program. This is the user update screen. REQ4 -1 -1 Provide Authentication Through ELETE: KCC provided similar functionality for the Boston Police Department. This will require some modifications to the ELETE user interface for a mechanism by which an ELETE user can select COPLINK. ELETE will also need to provide the user name and password to COPLINK in the CGI string. REQ5 -4 Data Export: Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 54 OF 92 copuRV [nvisYs COPLINK can export data to third -party applications in several different ways: 1)Data can be exported as comma - delimited ASCII text files. Such files can be imported di- rectly into desktop spreadsheet and database applications, such as Microsoft Excel and Microsoft Access. 2) Data can exported as formatted hypertext markup language (html). The file is automatically "zipped" (compressed) and will include any images present in the data exported (e.g., mug photos). Formatted html can be imported by popular word processing applications such as Microsoft Word and Corel WordPerfect. 3) Selected data can be copied and pasted into other Windows applications using the standard copy and paste function of Windows and Internet Explorer. 4) COPLINK query output can be printed to file (or to a printer). REQ 5 -8 Context Search Analysis Capability: COPLINK has at least two options by which data may be extracted from the data warehouse using third -party tools. Option one is to use Microsoft Data Analyzer=" to build OLAP cubes that allow different views of the data. Cubes are a good solution for a query that is not supported by COPLINK, but needs to repeated at regular intervals. An example would be a report on racial profiling. Microsoft Data Analyzer is part of MS SQL Server and no additional licensing costs are incurred in its use. Knowledge Computing Corp. can build the cubes on a time and materials ba- sis (custom development), or OCILJ staff can build them using the COPLINK database schema. Option two is to employ third -party reporting software, such as Crystal ReportsT". Since COPLINK is SQL 92 compliant, any SQL 92 query and reporting product can be used to develop ad hoc queries and reports. This requires a separate license and is outside the scope of this pro- posal. SUB 3.9 Link Analysis Tool The COPLINK Solution Suite uses a proprietary data migrator to extract information from underlying data sources. This process is also called "ETV for "extract, transfer, load." The un- derlying sources are mapped to the COPLINK database, which is standardized to enable the storage of data from many disparate sources. This allows the underlying data, regardless of the source, to be placed in the correct tables. The power of COPLINK is based on data consolidation. It is common that data sources in ad- jacent jurisdictions contain many persons, vehicles, locations, weapons, etc. in common. Using consolidation algorithms, COPLINK consolidates these objects. Thus, a person who is common to disparate underlying data sources is shown as one person with a number of documents asso- ciated. Consolidation Consolidation is the process used by the COPLINK Migrator to group similar database ob- jects from disparate sources (or the same source) into a common record. This is done to enable the other objects associated with a given object to be associated with all instances of that object. This also reduces the number of times the same object is displayed, and gives the user a better view of the activity associated with that object. There are eight objects that are consolidated in the COPLINK Migration. These objects are: 1) Locations Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 55 OF 92 eIniNJV 2) Organizations 3) Persons 4) Phone Numbers 5) Property 6) Securities 7) Vehicles UNISYS 8) Weapons Each of these objects has a set of consolidation rules that are applied to the objects as they are entered into the COPLINK database. Data from the various underlying data sources is re- viewed to determine if the object is already present and if the incoming object should be con- solidated with an object that already exists in the COPLINK database. All information about the incoming object, such as its description, will be linked to the existing object. Before considering the consolidation rules for each object, it is necessary to understand the result of consolidating two objects into one that are not actually the same object and the con- verse of not consolidating two objects that are actually the same object. It is also important to understand that the consolidation rules will never deliver perfection. One of the reasons for this is that there are always some errors in the incoming data. Even the most rigorous data entry procedure will have some errors that slip through. Another reason is that the consolidation rules are an attempt to anticipate the eventualities and vagaries of the incoming data; not all contingencies will be anticipated. A review of the available consolidation rules will allow agencies to select those rules that best serve the jurisdictions participating in a particular COPLINK Node. Once selected, the consoli- dation rules are applied globally to all incoming data. It is important that everyone using the COPLINK system understands the consolidation rules so that the users understand the characteristics of the data. Location Object Consolidation Rules Locations are street addresses, place names or intersections. Location has only one consoli- dation rule which includes the location address as shown below: Rule Name I Rule definition Prlorft DEFAULT ILOCADDRESS 1 If the incoming record's location address matches with that of any existing location object in the destination COPLINK database, the incoming record is consolidated with the existing re- cord. Inconsistent address descriptions in a single data source often results in two separate ob- jects that are in fact, a single address. An example of this is: Location 1: 1234 E. Elm Street, Anywhere, California Location 2: 1234 E. Elm Street, Anywhere, California 20000 The addition of the ZIP code in the second example differentiates it from the first listing. While it may seem unlikely that there could be two such addresses within a single COPLINK Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 56 OF 92 coPUNJV UNISYS node, differing only in their ZIP codes, in fact such things do exist. For this reason, the location consolidation requires an exact match before two locations are considered as one. Organization Object Consolidation Rules Organizations can include gangs, businesses, government entities and any formal or semi- formal organization or grouping of people. Organization has only one consolidation rule which includes the organization's real name and organization type. Rule Name I Rule definition priority DEFAULT ORGREALNAME+ ORGTYPE 1 If the incoming record's organization real name and organization type match with that of any existing organization object in the destination COPLINK database, the incoming record is consolidated with the existing record. Person Object Consolidation Rules Persons include all persons in the database and include suspects, witnesses, victims, organi- zation employees, vehicle owners, arrestees, warrant subjects, etc. There are ten separate rules for person consolidation. These rules are considered in a prior- ity sequence from x through io. Each COPLINK Node can determine the rules that should be used and the order in which the rules will be considered. The first five rules are based on identi- fication techniques that are considered positive identification. Rules 2 through 5 are based on ten -print identification (fingerprints). Rule 6, Fingerprint, is based on the classification of the person's fingerprints using the FBI version of the Galton -Henry print classification terminology. It is not based on actual ten -print comparisons as are rules 2 through 5. A fingerprint classifica- tion is not necessarily unique to a person, although the likelihood of two persons with the same name, date of birth, race and gender having identical fingerprint classifications is very small. The remaining rules use the person's last name, first name, middle name, date of birth, gen- der (sex) and one identifier. These identifiers are Passport number, Operator (Driver's) License number, and Social Security number. Rule number io, Default, is the least rigorous of these consolidation options. No external identifier is used, and the likelihood of over consolidation is substantially greater than with the other nine rules. Because personal descriptors, such as hair color, eye color, height and weight can change over time, especially with youthful offenders, these are not used by COPLINK to con- solidate persons. Rule Name Rule definition Priorit DNAID DNAID 1 FBIID FBIID (FBI Number) 2 SID SID (State ID Number) 3 DCID DCID (Department of Corrections ID Number; this is the CII number) 4 LOCALID LOCALID (Local ID Number; analogous to OCID) 5 FINGERPRINT LNAME + MNAME + FNAME + DOB + RACE + GENDER + FINGERPRINTID 6 PASSPORT LNAME + MNAME + FNAME + DOB + RACE + GENDER + PASSPORT 7 Response to: ORANGE COUNTY INTEGRATED LAW 6 JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 57 OF 92 copuNJP UNISYS OLN LNAME +MNAME +FNAME +DOB +RACE +GENDER +OLN +ISSUEAUTH 8 SSN LNAME +MNAME +FNAME + DOB + RACE + GENDER +SSN 9 DEFAULT LNAME + MNAME + FNAME + DOB + RACE + GENDER 10 If the incoming person object has a DNAID and the same DNAID is found on an existing person object, the two objects are consolidated. If the incoming object has no DNAID but has an FBIID the same procedure is used for checking the FBIID against existing objects with the same FBIID. Phone Number Consolidation Rules A phone number is the full phone number including country code, area code and extension. In the case of local phone numbers that are entered into the underlying data source without an area code, the local area code is added by default. In the case of jurisdictions that have multiple area codes, a phone number without an area code can be put into an "exception" table. This al- lows the system administrator to correct the data in the underlying source and migrate the up- dated information to COPLINK. Phone Number has only one consolidation rule which includes the full phone number. Rule Name I Rule definition I Priority DEFAULT FULLPHONE 1 If the incoming record's full phone number matches the full phone number of an existing phone object, the objects are consolidated. Property Object Consolidation Rules Property is any object that is generally classified as a tangible chattel object. There are three rules that consider the properties of the property including make, model, serial number property category, property type and color. Rule Name Rule definition Priority SERIALNUMHI MAKE + MODEL +SERIALNUM +SERIALNUMHI 1 SERIALNUM MAKE + MODEL +SERIALNUM 2 DEFAULT MAKE + MODEL + CATTYPE + PROPTYPE + COLORI + COLOR2 3 The "serialnumhi" allows for a range of serial numbers to be considered as a single entry, e.g., a lot of stolen stock certificates numbered i000 to 1050 could be entered as a range in a single property entry. The "serialnumhi' rule would allow consolidation of any serial number between l000 and 1050. The property object is consolidated only if it matches an existing object based on one of the rules. The rules to be used are chosen by the COPLINK Node. Security Object Consolidation Rules Securities are documents that have value such as money, stock certificates and bonds. There are three consolidation rules for securities that consider characteristics of the security such as issuer, serial number, serial number series, security type, currency type and denomination. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 58 OF 92 copuRV UNISYS Rule Name Rule definition Priorit SERIALNUMHI ISSUERABBR + ISSUERFULLNAME + SERIALNUM + SERIALNUMHI 1 SERIALNUM ISSUERABBR +ISSUERFULLNAME +SERIALNUM 2 DEFAULT ISSUERABBR +ISSUERFULLNAME + SECTYPE + CURRENCYTYPE + DENOMINATION 3 The security object is consolidated only if it matches an existing object based on one of the rules. The rules to be used are chosen by the COPLINK Node. Vehicle Object Consolidation Rules Vehicles include cars, trucks, boats, trailers, airplanes, etc. There are three rules for vehicle consolidation which consider such factors as VIN, year, class, make, model, style, license issuer, license number and color. Rule Name Rule definition Priority VIN VIN 1 LICENSENUM YEAR + CLASS + MAKE + MODEL + STYLE + LICENSEISSUER + LI- CENSENUM 2 DEFAULT YEAR + CLASS + MAKE + MODEL + STYLE + COLORI + COLOR2 3 The vehicle object is consolidated only if it matches an existing object based on one of the rules. The rules to be used are chosen by the COPLINK Node. Weapon Object Consolidation Rules Weapons include all firearms. There are three consolidation rules for weapons that consider such characteristics as gun type, manufacturer, serial number, caliber and color. Rule Name Rule definition Priority SERIALNUMHI GUNTYPE + MNFUTYPE + SERIALNUM + SERIALNUMHI 1 SERIALNUM GUNTYPE + MNFUTYPE + SERIALNUM 2 DEFAULT GUNTYPE+ MNUFTYPE +CALIBERTYPE +COLORI +COLOR2 3 The weapon object is consolidated only if it matches an existing object based on one of the rules. The rules to be used are chosen by the COPLINK Node. SUB 3.10 Performance Analysis Software Issues The COPLINK data warehouse is resident on a database server. The server constitutes a COPLINK node; a node is a COPLINK system hosted by a single agency or a consortium of agencies. The node concept behind COPLINK overcomes many of the technical barriers and subsequent performance issues associated with excessively large databases. COPLINK nodes can be connected to each other; users can select to query any or all of the other nodes. This allows the number of contributing agencies and the size of the node database to be kept at a reasonable level. This will maintain an adequate response time to user queries. Without careful design and proper execution, it is axiomatic that the larger the database, the longer a given query will take to return the results the user is seeking. Restricting the size of the Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 59 OF 92 copule UNISYS database by providing limited information may compromise the functionality desired. KCC care- fully "tunes" the database to work most efficiently with the COPLINK application. Because COPLINK uses standard TCP /IP protocols, it is compatible with any network that employs these protocols. Some proprietary wireless data systems such as Motorola's RD-LAP TM have the ability to tunnel TCP /IP messages within the data stream. Commercial cellular digital packet data (CDPD) systems require no special software or hardware beyond that normally re- quired for a connection, as they are already TCP /IP based. The most likely source of degraded query response times will be the network infrastructure. Unfortunately, this is usually the most difficult and expensive component to upgrade. Under- standing this limitation, Knowledge Computing Corporation has taken proactive steps to mini- mize the impact of inadequate network bandwidth on COPLINK queries. COPLINK employs data compression when information is sent from the Web Server to the client, regardless of the network bandwidth available. Knowledge Computing Corporation designed the COPLINK System to operate in a mobile TCP /IP environment, subject to the constraints of network traffic, effective throughput and overall system efficiency. Dealing with mobile data effectively requires an in -depth review of the existing system or careful initial design. Network bandwidth becomes a major issue with any graphical program sent over a wireless system. Existing wireless data networks using the 800 MHz band radio frequencies are generally limited to a maximum of 19,2oo bits per second (bps) of data, with an effective throughput in the range of 9,600 to 14,400 bps. Large COPLINK queries will run slowly on a 19,2o0 bps system. Including video images in the data stream would likely be a significant "hit" on system capabilities, even with a small number of users. There are alternatives, such as storing video images on the hard disk of the mobile unit and only sending text characters over the air. The video images could be updated at regular intervals either by manual means (floppy disk or CD -ROM), or by using a WLAN access point. One alternative to the 800 MHz band is spread - spectrum technology, using the IEEE 802.11 or newer wireless data transmission standards. The use of spread - spectrum technology allows the creation of a wireless LAN (local area network) system. Wireless LAN access points have short range, typically less than 1,000 feet, but the WLAN has very high bandwidth. Typical data transmission on a WLAN is in. the one to two megabit per second range (effective throughput). Newer wireless data standards and technology will undoubtedly improve the bandwidth, but such performance is already between 70 -140 times faster than conventional wireless using dedi- cated 800 MHz radio frequencies or commercial CDPD systems. Another option is to restrict the program modules available to selected users. In addition to restrictions on a document or data source level, individual users or groups may have access to only certain program modules. As an example, a patrol officer may have access only to COP - LINK Connect and COPLINK Active Agent. This precludes a user that accesses COPLINK wire - lessly from tying up the system with complex COPLINK Detect queries. KCC has in development a product called COPLINK Mobile. This is a version of COPLINK Connect designed to allow the use of COPLINK on a PDA or other wireless computer. The que- ries in the COPLINK Mobile product are simplified and lack some of the advanced search capa- bilities found in the desktop version. However, basic queries and results dealing with persons, vehicles, locations, etc. will still return and provide high - priority and officer safety information. Hardware Issues Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 60 OF 92 coPURV UNISYS The KCC /Unisys team have selected a robust server environment for the proposed OCILJ COPLINK node. The Unisys ES7000/510 is an industry- standard hardware platform that sup- ports Microsoft Windows Server 20030 environments, delivering the industry's highest avail- ability, most robust management capabilities and best price /performance. Around the world, IT organizations are using Unisys ES7000 servers to meet their toughest challenges, especially for their Windows environments because they deliver on all of these promises and more: • Mainframe stability for Windows -based environments • A modular design for growing incrementally with the business • An infrastructure that's much easier to manage and control • Dynamic assignment of resources within partitions • Agility to adapt quickly and cost effectively to changing requirements • Price - performance leadership that's been proven in the industry's foremost benchmarks • Self- managing, self - healing capabilities of autonomic computing Performance benchmarks for a ES7000/520 using Transaction Processing Performance Council benchmarks show a tpmC of 118,381. The tested server differs from the ES7000 /510 proposed for the OCILJ project; the test server contained eight processors and 16 GB of memory vs. the proposed four processors and 16 GB of memory for the ES700o /51o. Nonetheless, as- suming a performance of one -half of the test server, a tpmC of approximately 59,000 will be more than adequate for the potential number of users and queries for years to come. This server was selected because it is unlikely to require major upgrade or replacement to meet the antici- pated growth in both number of queries and size of the data store. An overview of the bench- mark results are included as Appendix "C." SUB 3.11 Excluding Records COPLINK has three levels of data access restriction and multiple methods for identifying re- stricted- access data. If individual data objects in an underlying records management system are not flagged as restricted because the RMS lacks that functionality, COPLINK can still apply re- strictions to all or part of the data. The entire database can be restricted, an individual database table or tables can be restricted, and columns within a database table can be individually re- stricted. Thus even older RMS installations that lack the ability to flag individual data objects (usually police incident reports) can have certain data elements restricted. Additionally, individual database tables and /or columns may not be loaded into the COP - LINK data warehouse at all, although this option precludes everyone from viewing the data. The preferred method to enable data restriction is on the database object level. Most modern RMS include the ability to flag certain objects in the database as restricted; some have multiple restriction levels. Such systems allow COPLINK to restrict individual database objects, not an entire database, table or column. The access restrictions built into the COPLINK system are on three levels: VMite: the data is accessible to all authorized users and is used by COPLINK Detect in per- forming association and link analyses. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 61 OF 92 copuRV UNISYS Gray: the data is accessible only to authorized users that are members of a group author- ized to view the data. All other users are advised that the data exists, but cannot view it. COPLINK Detect uses this data, but does not display any results. Unauthorized users see only a notification there is data that may be of interest to them. A contact person or agency is provided for follow -up by unauthorized users so they can contact the data owner to continue the investigation. Black: the data is accessible only to authorized users that are members of a group author- ized to view the data. All other users cannot view the data and are not advised of its exis- tence. COPLINK Detect does not use this data for association and link analyses unless the user is authorized to view the data. User restrictions are strictly group -based and are unrelated to the agency of an individual user, although there is nothing preventing a system administrator from configuring a group to hold only members of a specific agency. SUB 3.12 Notifications COPLINK Active AgentTM COPLINK Active Agent is add -on module to both COPLINK Connect and COPLINK Detect. Active Agent is a collaboration and notification tool that can be set to "watch" for new data meeting user - specified parameters and then automatically notify the user(s) when such data is migrated into COPLINK It is an every-day occurrence that an investigator will conduct an in- quiry only to find that there is no data, or the existing data is not of interest in the current inves- tigation. As long as the case remains open, the investigator should repeat the query to see if new data has been migrated into COPLINK This can be a time- consuming task if the investigator is carrying a thirty -plus case load, and the reality is that it simply doesn't happen. The case is closed, and unless it is a very high - profile case, the likelihood of it being reopened is slight. With COPLINK Active Agent the task of running repetitive or periodic queries is automated. The investigator simply enters the query parameters and establishes the length of time the query is to remain active. Any new information entering the COPLINK database is intercepted by Ac- tive Agent. If any of the new information matches a standing Active Agent query, the investiga- tor who set the query is notified. The notification method(s) are user - selectable and can occur by e -mail, html message within COPLINK, or via cell phone and /or pager, if the wireless service provider has an e-mail address. Active Agent also allows an investigator to collaborate with others who are conducting simi- lar queries. This feature is user- selectable and can be disabled globally or on a query-by -query basis to protect confidential investigations (Figure 22). If collaboration is set as active, the pro- gram notifies any other user running a similar query on a database object of the original query and who initiated the query. This can quickly bring together incidents involving the same sus- pect or other database objects that are under investigation by different investigators, or by dif- ferent jurisdictions. An investigator can also view existing Active Agent queries they have set, and any collaboration messages they have sent. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 62 OF 92 copuNVY UNISYS Figure 27: COPLINK Active Agent has global settings that allow collaboration, deconfliction and notification of new information to the users. These settings can be modified on a query by query basis. Agent queries can be set to remain active for a user - selectable length of time in one -day in- crements for up to 9,999 days (over twenty -seven years). The user agency or agencies may wish to establish policy guidelines that address this issue. As an example, a homicide suspect Agent query would probably be set to remain active for the maximum time and deleted when the case is solved or cleared. A minor infraction query might be set to expire after thirty days. COPLINK Active Agent monitors the data that is sent from the underlying data sources. As the data is migrated to COPLINK, it is checked by Active Agent. The interception of incoming data by Active Agent is the most efficient method for monitoring. Rather than running repetitive queries at a set interval on the entire COPLINK database, the Active Agent listener is a passive system. It requires few system resources and does not impact the response times of regular user queries. Only when the incoming data matches the parameters set in a query is any action taken by Active Agent to notify the user. An investigator can also view existing Active Agent queries they have set (Figure 23), and any collaboration messages they have sent. Depending on the underlying data source, refresh configuration and interval, field contacts with persons, vehicles, etc. that are the subject of an Agent query can result in virtually real -time notification to the requestor. As an example, if the requestor is a detective that is looking for a suspect, Agent notification of a field wants and war- Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 63 OF 92 9 0 COPLIN V UNISYS rants check by a patrol officer can allow the detective to contact the field officer in order to de- tain or apprehend the suspect. ... ax.eermvl T/ul 11 ��1 mDDC r pC�aE rmmm r ynv 10:1M.D I] 11Y1 U7 r.]iy =M.D OMM i'J8111A16CL�t�CtYt W � 11.3E ViG'I�tSAP3Gt04. FAJ /."L 1%61]1 Figure 28: COPLINK Active Agent a) alert massage advising of now Information matching the sot query, b) advising of collaboration matching of an Investigator query, and c) listing of all tasks sot by an individual user. SUB 4. Workplan SUB 4.1 Workplan Onsite Project Management Unisys will provide the onsite Project Manager that will serve as the single point of contact responsible for the day -to -day communication with Orange County. 111e Unisys Project Man- ager will be onsite in Orange County at least q days every two weeks unless agreed to by the OCII.J Project Manager. Unisys will maintain a detailed schedule of activities for the KCC /Unisys team and update the schedule on a weekly basis until Provisional Acceptance of the LEA ING SOLUTION Sr. KNOLVLEOGE COMPUTING CORPORATION PAGE 64 OF 82 AUGUST 27, 2004 coPUNJV UNISYS system. Unisys will provide the updated schedule and progress reports to the OCILJ Project Manager on a weekly basis. Unisys shall present the current status of the work at a meeting in Orange County every 2 weeks through the life of the project. The progress reports will include a table listing all delivery milestones along with the originally scheduled date and the current tar- get date and the number of changes to the date. Project Inception The Unisys Project Manager shall meet with the Orange County Integrated Law & Justice project management as often as necessary over the period of 3 weeks to finalize the project plan, schedule initial meetings and workshops and agree and document project processes, procedures and reporting systems. Site Surveys The Unisys Project Manager will coordinate Orange County site visits included in phase 1. Unisys will support KCC staff to work with technical personnel at that agency as well as the agency's RMS vendor to validate their approach and design for integration with the data at that site. Unisys will support the development of the site survey documentation. Unisys will monitor the implementation status of physical plant electrical and network enhancements per the survey recommendations by OCILJ police agencies. Requirements Validation Workshops Unisys will coordinate and support the requirements validation workshops conducted by KCC to walk through all of the Orange County Integrated Law & Justice requirements and de- termine the required configuration details. Unisys will provide scheduling and logistics for the Requirements Validation Workshops. System Design Documentation Unisys will provide support to KCC in the development of design documents detailing the configuration and any custom development. Unisys will update the project plan to reflect the configuration and customization effort based on the final requirements. Option: Integrated Justice Information Sharing Consulting (JIEM) This is an optional service proposed to the Orange County Integrated Law & Justice Records Management System Data Sharing RFP. Unisys will develop a Business Transformation Analy- sis that addresses information flow through the County s justice system utilizing the SEARCH JIEM tool. Unisys will conduct a 1 -day JIEM training class to familiarize the Orange County IJIS team with the JIEM online tool. Unisys will use the JIEM to analyze the five dimensions of information exchange that are relevant to integrated justice information systems based on the SEARCH methodology. For more information, please refer to Appendices "I" and "J." • The Event that triggers the information exchange, e.g., arrest, issuance of a war- rant, sentencing, or correctional discharge. • The Agency involved in the information exchange, e.g., local police department, prosecuting attorney, pre -trial services agency, trial court, or treatment provider. • The Information that is actually exchanged between agencies, which may include documents, data sets, and specific data elements. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 65 OF 92 copuNJV UNISYS • The Conditions that are factors associated with the case, person, or event that govern the exchange of information and define the processing flow between agencies. (Examples of conditions are whether the case is a felony or misde- meanor, the defendant is an adult or a juvenile, or in custody or on release.) Implementation Support — Documentation Unisys will support KCC in the development of system documentation for all software and hardware components provided to the OCILJ including: • User Documentation • Training Documentation • Technical Documentation • Database Documentation • Data Mapping Documentation Hardware Installation Server Installation Unisys will work with OCILJ agencies to understand existing infrastructure available for use on this project. Unisys will install, configure, test and commission all server equipment and infrastructure required to support the system. Unisys will install the production environments 8 weeks prior to commencement of Data Sharing Solution Testing per the RFP requirement. The following steps will be performed to install the Unisys Server technology and Operating Soft- ware environment: • A technical consultant will confirm the physical installation of the ES7o00 /510 and configure the server for use on the client network. • A technical consultant will confirm the physical installation of the 3020 servers and configure the servers for use on the client network. • The Unisys project manager will oversee the installation of the Unisys- supplied hardware, working with the client team to coordinate the overall configuration process. Acceptance Testing Support Unisys will provide onsite support to KCC for the multistage Acceptance Testing process in- cluding: • Data Sharing Solution Testing • System Integration Testing • Preliminary Acceptance • Provisional Acceptance • Final Acceptance Unisys has developed and deployed an innovative and tangible approach to helping clients move decisively toward the vision of an agile, real -time enterprise. This process focuses on busi- ness patterns that identify, extract and reuse the intellectual assets of organizations. We call our approach Unisys Business Blueprints. Unisys Business Blueprints Defined Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 55 OF 92 eopuNU UNISYS Unisys Business Blueprints is an architecture- centric development and deliuery approach for high - volume, mission - critical systems. It combines the intellectual capital associated with core business processes with the most advanced technology tools and best practices available — such as Model Driven Architecture (MDA), Rational Unified Process (RUP), and the Unified Modeling Language (UML). The resulting solutions, being technology agnostic, can be easily reused and adapted for years to come. Further, Unisys Business Blueprints leverage an iterative approach that enables an organization to efficiently learn and grow in short incremental units of time. A Unisys Business Blueprint is an architecture- centric, model -based approach with the ob- jective of implementing a robust, adaptable, resilient architecture. Unisys Business Blueprints utilize multiple models to drive the solution from the top down. Recognizing organizational characteristics, the models enable a scalable and robust solution. Traceability between the layers ensures a cohesive and manageable set of models for adaptability and resilience in the face of change and internal growth. Figure 28 presents a conceptual view of Unisys Business Blue- prints. Business Architecture I Vision and Operations Model Technic., Characterization of organizational domain — including objectives, structure, organizational measures, and competitive framework I Business Process Model and Patterns JCharacterization of the operational requirements and key business processes 1 Functional and Application Model Key functions implemented as a set architectural models (UML) representing core services Infrastructure Model Figure 28: Unisys Business Blueprints Conceptual View Characterization of the deployment services and technologies to realize the objectives. Key functional services (web services) that are provided to all applications in the organization (Security, Network, Application Server, Data Services, Integration Services, Administration) More tangibly, Unisys Business Blueprints are a set of tools, methods, and assets to enhance the value of the OCILJ Information System. The benefits include: Increased 'organizational agility defined as responsiveness to opportunities and changes. Management of risks and the impact of change via traceability. Reduced cost of adaptability and future growth through reuse of assets. Response to: ORANGE COUNTY INTEGRATED LAW 8 JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 67 OF 92 coPUNV UNISYS A Unisys Business Blueprint set of assets consists of business objects, technology compo- nents, and deployment options to empower an organization to be proactive in a rapidly changing environment and to mature their internal business processes. The Unisys Business Blueprint tools and methods consist of steps that guide clients through the use and reuse of the Unisys Business Blueprint assets. Unisys Business Blueprint Drivers The core component of the Business Blueprint is the artifact. A typical Blueprint is com- prised of dozens of artifacts. Through the understanding of the business vision and processes of OCILJ, a Blueprint results in the creation of architectural artifacts. Figure 29 depicts the archi- tecture- centric perspective of the various artifacts. u } BUSINESS ARCHITECTURE > Industry Model > Business vision and strategy > Business model and Governance > Business processes > Rol model FUNCTIONAL ARCHITECTURE > Requirements model > Functional model > Operational model > Functional mapping APPLICATION ARCHITECTURE > Component model > Integration model > Data model > User Interface. model TECHNICAL/ DEPLOYMENT ARCHITECTURE > Infrastructure model > Security model > Deployment model(S) > Technical operations model > Platform Models Figure 29: Architecture - centric Perspective of Business Blueprint Artifacts Unisys Business Blueprinting is built on the industry standard practice of modeling business processes to understand, communicate, and codify processes. Typically, the current processes are modeled first, and then proposed new business processes are modeled. Often models are simulated. The proposed processes can be tested against the existing ones, comparing measures such as cycle time, volume of work supported, and cost. The best of the tested models are chosen for deployment. The solution is implemented through the technical model of the system. Use Case models, class diagrams, interaction models, activity models, and component models are all commonly built to understand, communicate, and assess architecture and designs. The power of Unisys Business Blueprinting comes from the union of Business and Systems models. The tasks in a business process are linked to the Use Cases that the system needs to sup- port. By doing so, Unisys Business Blueprints enable the business to drive the technological solutions and can answer traceability questions such as, "Which Use Cases will be impacted if we change this process ? ", and "Which objects may need to be changed if we change this proc- ess?" Traceability means that the Unisys Business Blueprint approach will make OCILJ's total so- lution easier to change. When a business process needs to change, the supporting systems can be simultaneously changed. Value Proposition of Unisys Business Blueprinting Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 68 OF 92 CIPURV UNISYS The Blueprinting approach will enable OCILJ to move towards being an "Agile Enterprise" — one characterized by IT alignment with organizational goals, with the ability to adapt to chang- ing national and local security imperatives. The key benefits OCILJ can realize with our ap- proach are: Proven Iterative Process for delivering high quality results — Demonstrate early results to allow immediate utility — Manage project risk early in the project — Manage requirements and scope — Facilitate cyclical learning for organizational growth and improvement • Common IT architecture and framework — Re- useable business and technology components — Proven component based architecture (easy enhancement and support) Alignment of business strategy with operations, operations with processes and processes with technology Predictability while embracing global uncertainty • Rapidly assemble new business processes while leveraging existing intellectual property . Traceable and measurable ROI . Improved agility to adapt to change. Unisys Iterative Development Methodology The Unisys Business Blueprinting approach recognizes the importance of using an iterative development methodology for implementing large and complex information technology systems and hence uses Rational Unified Process (RUP) as its software development methodology. RUP provides a proven framework for iterative development and is an integrated collection of useful tools, procedures, and techniques for managing large -scale projects. It provides the processes, techniques, and tools to support project management activities as well as software development activities. The RUP approach also incorporates industry best practices such as those from the Software Engineering Institute (SEI). RUP is a powerful Web - enabled set of software engineering best practices whose goal is to produce high - quality software that meets the needs of its users within a predictable schedule and budget. It provides guidance in coordinating a team's development activities and provides a disciplined approach to assigning tasks and responsibilities within a development organization or team. RUP enables a team to choose the set of process components that satisfy a specific project's needs. By implementing common processes that improve project and user communication, it enables the project team to achieve repeatable, tunable results. In the process, the team creates a common understanding of each individual's role and the artifacts they are responsible for. An overview of the framework for the RUP development methodology is shown in Figure 30, which shows the primary phases and disciplines used in each iteration and the extent to which each discipline is used in that phase. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 69 OF 92 coPUW Disciplines Business Modeling Reclulnements Analysis & Design Implementation Test Deployment Configuration & Change Mgmt Project Management EnAronment Phases 'Inception FJaooratlon Consvualon Tmnsitlon sty. 1nXw ... Mb It Etoor3 COiut -pmt. ,eanst iron..° Iterations UNISYS Figure 30: RUP Methodology. RUP provides a complete development framework in four iterative phases. RUP is decomposed over time into four sequential phases, each concluded by a major mile- stone. Each phase is essentially a span of time between two major milestones. At the end of each phase, we perform an assessment Qifecycle milestone review) to determine if the objectives of the phase were met. A satisfactory assessment allows the project to move to the next phase. One pass through the four phases is a development cycle; each pass through the four phases pro- duces a generation of the software, as shown in Figure 31. incepuon i FJab_Uan C1.6'am IppIT2" rimy 1�.. %itlbt• wecTde tifocycio WW Rod= oitec"as luUtlleWrte ceragaai release rrieslare miwone capadlty waslare milestone Time � Time —. Figure 31: RUP Methodology Milestones. At the end of each phase, Unisys will conduct an as- sessment before moving into the next phase. RUP consists of the following phases and activities: Inception— Primary focus is on conducting discovery and high -level requirements analysis Elaboration— Primary focus is on a detailed analysis of the requirements and on designing the system • Construction— Primary focus is on building the system Transition— Primary focus is on conducting quality assurance, formal testing, and production readiness review. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 70 OF 92 coPUNY UNISYS A key point to be noted here is that the Unisys RUP development methodology is based on iterative development rather than the waterfall approach. An iterative approach to software development means that a project is divided into several small projects that run in parallel. Each iteration has a well - defined set of objectives and concludes by delivering an executable that is a step closer to the final product than the last one. Each iteration contains elements of require - ments management, analysis and design, implementation, integration, and testing. This ap- proach allows each system component to be developed without waiting for all other components to be fully defined. On the other hand, in a waterfall approach, emphasis is placed on not mov- ing to the next phase until the specification is complete, polished, and signed -off. In the Unisys iterative approach, specifications are completed while developers are writing code to verify de- sign concepts included in the design document. This improves quality and addresses risk by validating design patterns early on. Our iterative development's main advantage is to bring more predictability to the outcome and the schedule. It results in higher quality products, which satisfy the real needs of end users, because the requirements continue to evolve throughout design and implementation. In a water- fall approach, too much rework comes at the very end, as an often- unplanned consequence of finding bugs during final testing and integration. An important benefit of the Unisys iterative approach is that it allows teams to identify and address major risks early in the project, decreasing overall costs and schedule and allowing real- istic and accurate time -to- complete estimations early in the project's life cycle. Figure 32 illus- trates a comparison of time against risk for iterative and waterfall development. Iterative Waterfall Y, REDUCTION �a TIME r l Figure 32: 3131 Iterative vs. Waterfall Approach. Our iterative approach enables us to identify and address risks early in the project. Response to: ORANGE COUNTY INTEGRATED LAW 8 JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27. 2004 PAGE 71 OF 92 copuir UNISYS Proposed Iterations for OCILJ Implementation As can be seen in the project plan, Unisys is proposing implementation of the OCILJ system through four iterations. These iterations are as described below in the following sections. Iteration #1: Data Integration This iteration will focus on implementing a data migration solution for the disparate data sources in the Orange County agencies that will allow the end -user to easily and more effectively access CHRI data using the COPLINK system. The data sources that will be migrated include: Brea PD Tiburon RMS • Newport Beach PRC RMS • Garden Grove (Custom) RMS • Cypress PD West Covina Services Group RMS Irvine PD Intergraph RMS • Seal Beach PD WCSG RMS • Orange County So VisonAIR RMS • Orange County Court Citation Database The migration functionality will consist of development of Extraction, Transformation and Loading (ETL) routines that will pull the data from the underlying RMS data sources into a data warehouse that is easily accessible through the COPLINK system. The requirements related to System Security and System Administration will be imple- mented as an integral part of these four iterations rather than as separate iterations of their own. The security framework will be implemented as part of the first iteration, and each itera- tion shall include an extensive analysis of its specific security requirements. These requirements will then be implemented by utilizing the security framework developed earlier. A similar ap- proach shall be followed for implementing system administration requirements. Iteration #2: COPLINK Data Storage This iteration will be focused on the functionality revolving around storage of criminal history records information (CHRI) in a COPLINK data repository based on the Global Justice XML Data Model. The functionality to be developed will include implementation of the reposi- tory and the business rules for retrieving various kinds of CHRI data. Iteration #3: Information Retrieval This iteration will focus on development of functionality that will allow retrieving informa- tion from multiple and disparate data sources residing in systems and environments that are technically heterogeneous and presenting this information to the end -user in an integrated way using the COPLINK interface. This integrated and single - interface access to different data sources will allow the user to harness the information stored in these data stores in a far more effective way than what would be possible by accessing them individually through separate user - interfaces. The information retrieval component will support simple as well advanced searches that will allow user to easily and effectively access the desired data from these disparate data sources. It will also include functionality for textual searches. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 72 OF 92 copuor UNISYS Iteration #4: Criminal History and Intelligence Analysis This iteration will focus on functionality that will enable OCILJ staff to effectively analyze the information available from the COPLINK Data Storage. It will include the following key functionalities: COPLINK Detect association and link analysis —This will involve development of tools to access and associate disparate elements in a consolidated COPLINK data warehouse. COPLINK Visualizer — This will include the functionality associated with the graphical display of links and associations between database objects in the COP - LINK data warehouse.. • COPLINK Mapping — This will include the functionality associated with the GIS mapping components of COPLINK and the use of temporal /spatial analytical tools. Communications Approach Our approach is to communicate with our customers openly and consistently throughout the project. Regular in- person, voice, and electronic communications between Unisys management and OCILJ will minimize risk and ensure that we effectively accomplish all assigned tasking. The Unisys Project Manager, Mr. Robert Sprecher, will schedule weekly meetings with OCILJ key staff to apprise them of our activities and operations, and identify and handle any issues. Ap- propriate communication technologies and equipment will be employed to distribute updates and changes, as well as information requested by OCILJ. These technologies include interactive applications, Internet, e-mail, and fax capabilities, as well as conventional mail, face -to -face meetings, and any other suitable methods. Proposed Project Plan The following is a proposed project plan that will be updated as a first deliverable after con- tract award and client interviews to better gauge the priorities and scope of work. Our prelimi- nary evaluation of the scope of work and past experience leads us to believe that it will not be possible to meet the January 30, 2005 go -live date. Assuming that the agencies participating in the project can provide the required information and that the West Covina Services Group pro- vides the necessary cooperation to analyze and map their RMS database, the most optimistic go- live date (preliminary acceptance) is February 7, 2005. TASK DESCRIPTION DURATION START DATE END DATE Contract Signing 0 days 11/112004 11/1/2004 Preparation 17 days 11/1/2004 11123/2004 Site Surveys 1 day 111112004 11/112004 Project Kick Off Meeting 1 day 11/2/2004 11/212004 Identify Data Sources 1 day 11/3/2004 11/3/2004 Requirements Validation Workshops 4 days 11/4/2004 11/9/2004 System Design Document 10 days 11/1012004 11/2312004 Configuration Documents 5 days 11/10/2004 11/16/2004 OCILJ Steering Committee Review 5 days 1111712004 11/23/2004 Hardware & Third-party Software 5 days 11/24/2004 1212/2004 Install Servers 3 days 11/24/2004 11130/2004 Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 73 OF 92 coPUle UNISYS TASK DESCRIPTION DURATION START DATE END DATE Install RDBMS 1 day 12/112004 12/1/2004 Install COPLINK Applications 1 day 12/2/2004 12/2/2004 Create COPLINK Databases 4 days 12/2/2004 12/7/2004 COPLINK Admin 1 day 12/212004 12/212004 COPLINK Data 1 day 12/3/2004 12/312004 Load Admin Data 1 day 12/6/2004 12/612004 Load Demo Data 1 day 1217/2004 12/7/2004 Test COPLINK Installation 1 day 12/8/2004 12/8/2004 Test UI Functionality 1 day 1218/2004 12/8/2004 Test Network Accessabilit 1 day 1218/2004 1218/2004 Test Network Security 1 day 121812004 1218/2004 Data Source - Brea PD Tiburon 40 days 11/17/2004 1/17/2005 Gather Data 8 days 11117/2004 11/3012004 Vendor Coordination 1 day 11117/2004 11/17/2004 Schema 2 days 11/18/2004 11/19/2004 Data Dictionary 2 days 11/22/2004 11123/2004 Obtain Fuil Source Data Set 1 day 11/2412004 11/2412004 Load/Restore/Input Data Source 2 days 11/2912004 11/3012004 Map Data & Create XML 20 days 1211/2004 12/29/2004 Design Map and Refresh 5 days 12/112004 12[712004 Create Map 10 days 12/8/2004 12121/2004 Review and Test Map 5 days 12122/2004 12/29/2004 Map Lookup Values 5 days 12/812004 12114/2004 Test Migration KCC 8 days 12130/2004 1/1112005 Batch 2 days 12/30/2004 12/31/2004 Refresh 5 days 114/2005 1110/2005 Copy to Node for Client Review 1 day 1/11/2005 1/11/2005 Install Migration on OCILJ Server 4 days 1112/2005 1/1712005 Install Migration 1 day 1/12/2005 1/12/2005 Coordinate Batch /Refresh with Client 1 day 1/13/2005 1/13/2005 Test Full Batch on Node 1 day 1/14/2005 1/14/2005 Test Refresh on Node 1 day 1/17/2005 1/17/2005 Data Source - Cypress PD WCSG RMS 40 days 11/2412004 1/24/2005 Gather Data 8 days 11/24/2004 12/7/2004 Vendor Coordination 1 day 11/2412004 11/24/2004 Schema 2 days 11/29/2004 11/30/2004 Data Dictionary 2 days 12/1/2004 1212/2004 Obtain Fuil Source Data Set 1 day 1213/2004 12/3/2004 Load /Restorelln ut Data Source 2 days 1216/2004 12/7/2004 Map Data & Create XML 25 days 12/8/2004 1113/2005 Design Map and Refresh 10 days 12/8/2004 12/21/2004 Create Map 10 days 12122/2004 1/6/2005 Review and Test Map 5 days 1/7/2005 1/1312005 Map Lookup Values 5 days 12/2212004 12129/2004 Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 74 OF 92 coPU� UNISYS TASK DESCRIPTION DURATION START DATE END DATE Test Migration KCC 8 days 1/712005 1/18/2005 Batch 2 days 1/7/2005 1/10/2005 Refresh 5 days 1/11/2005 1117/2005 Copy to Node for Client Review 1 day 1/18/2005 1/18/2005 Install Migration on OCILJ Server 4 days 1/19/2005 1/24/2005 Install Migration 1 day 1119/2005 1/19/2005 Coordinate Batch /Refresh with Client 1 day 1/2012005 1120/2005 Test Full Batch on Node 1 day 1/21/2005 1121/2005 Test Refresh on Node 1 day 1124/2005 1124/2005 Data Source - Garden Grove PD custom RMS 45 days 11/24/2004 1/31/2005 Gather Data 8 days 11124/2004 12/7/2004 Vendor Coordination 1 day 11/24/2004 11/24/2004 Schema 2 days 11/29/2004 11/30/2004 Data Dictionary 2 days 12/1/2004 12/2/2004 Obtain Fuil Source Data Set 1 day 1213/2004 1213/2004 Load/Restore/Input Data Source 2 days 1216/2004 1217/2004 Map Data & Create XML 25 days 1218/2004 1/13/2005 Design Map and Refresh 10 days 12/8/2004 12/21/2004 Create Map 10 days 12/2212004 1/6/2005 Review and Test Map 5 days 1/7/2005 1/13/2005 Map Lookup Values 5 days 1212212004 12/29/2004 Test Migration KCC 8 days 1/14/2005 1/25/2005 Batch 2 days 1114/2005 1/17/2005 Refresh 5 days 1/18/2005 1124/2005 Copy to Node for Client Review 1 day 1125/2005 1/2512005 Install Migration on OCILJ Server 4 days 1/26/2005 1131/2005 Install Migration 1 day 1/26/2005 1/26/2005 Coordinate Batch /Refresh with Client 1 day 1127/2005 1/27/2005 Test Full Batch on Node 1 day 1/28/2005 1128/2005 Test Refresh on Node 1 day 1/31/2005 1/3112005 Data Source - Irvine PD Intergraph RMS 35 days 11/24/2004 1/17/2005 Gather Data 8 days 11124/2004 12/7/2004 Vendor Coordination 1 day 11/24/2004 11124/2004 Schema 2 days 11/29/2004 11/30/2004 Data Dictionary 2 days 1211/2004 12/2/2004 Obtain Fuil Source Data Set 1 day 1213/2004 12/3/2004 Load /Rstore /In ut Data Source 2 days 1216/2004 1217/2004 Map Data & Create XML 20 days 12/8/2004 1/6/2005 Design Map and Refresh 5 days 1218/2004 12/14/2004 Create Map 10 days 12115/2004 12/29/2004 Review and Test Map 5 days 12/30/2004 116/2005 Map Lookup Values 5 days 12/15/2004 12121/2004 Test Migration KCC 8 days 12/30/2004 1/11/2005 Batch 2 days 12/30/2004 12/31/2004 Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 75 OF 92 COPLIN)V UNISYS TASK DESCRIPTION DURATION START DATE END DATE Refresh 5 days 1/4/2005 1/10/2005 Copy to Node for Client Review 1 day 1/11/2005 1/11/2005 Install Migration on OCILJ Server 4 days 1112/2005 111712005 Install Migration 1 day 1/12/2005 1/12/2005 Coordinate Batch /Refresh with Client 1 day 1/13/2005 1113/2005 Test Full Batch on Node 1 day 1/14/2005 1/14/2005 Test Refresh on Node 1 day 1/1712005 1/17/2005 Data Source - Newport Beach PD PRC RMS 35 days 11124/2004 1/17/2005 Gather Data 8 days 1112412004 121712004 Vendor Coordination 1 day 11/24/2004 11124/2004 Schema 2 days 11/29/2004 11/30/2004 Data Dictionary 2 days 1211/2004 12/2/2004 Obtain Fuil Source Data Set 1 day 1213/2004 1213/2004 LoadlRstore /In ut Data Source 2 days 12/6/2004 12/7/2004 Map Data 8 Create XML 20 days 1218/2004 1/6/2005 Design Map and Refresh 5 days 12/8/2004 12/1412004 Create Map 10 days 12/15/2004 12129/2004 Review and Test Map 5 days 1213012004 1/6/2005 Map Lookup Values 5 days 12/15/2004 12121/2004 Test Migration KCC 8 days 12/30/2004 1/11/2005 Batch 2 days 12/30/2004 12/31/2004 Refresh 5 days 114/2005 1/10/2005 Copy to Node for Client Review 1 day 1/11/2005 1/11/2005 Install Migration on OCILJ Server 4 days 1/1212005 1/1712005 Install Migration 1 day 1/1212005 1/1212005 Coordinate Batch /Refresh with Client 1 day 1/1312005 1/1312005 Test Full Batch on Node 1 day 111412005 1/1412005 Test Refresh on Node 1 day 1/1712005 1/17/2005 Data Source - Orange County SO VisionAir 35 days 11124/2004 1117/2005 Gather Data 8 days 1112412004 12/7/2004 Vendor Coordination 1 day 11/24/2004 11/24/2004 Schema 2 days 11/29/2004 11130/2004 Data Dictionary 2 days 12/1/2004 12/2/2004 Obtain Fuil Source Data Set 1 day 121312004 12/3/2004 LoadlRstore /In ut Data Source 2 days 12/6/2004 1217/2004 Map Data 8 Create XML 20 days 121812004 1/6/2005 Design Map and Refresh 5 days 12/812004 12/14/2004 Create Map 10 days 12/1512004 12/29/2004 Review and Test Map 5 days 12/3012004 1/6/2005 Map Lookup Values 5 days 12/1512004 12/2112004 Test Migration KCC 8 days 1213012004 111112005 Batch 2 days 12130/2004 12/3112004 Refresh 5 days 1/4/2005 1/10/2005 Copy to Node for Client Review 1 day 1/11/2005 1111/2005 Response to: ORANGE COUNTY INTEGRATED LAW 8 JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA.SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 76 OF 92 copu ,t7 UNISYS TASK DESCRIPTION DURATION START DATE END DATE Install Migration on OCILJ Server 4 days 1/12/2005 1117/2005 Install Migration 1 day 1112/2005 1/1212005 Coordinate Batch /Refresh with Client 1 day 1113/2005 111312005 Test Full Batch on Node 1 day 1114/2005 111412005 Test Refresh on Node 1 day 1/17/2005 1117/2005 Data Source - Seal Beach PD WCSG RMS 32 days 11/24/2004 1/12/2005 Gather Data 8 days 11124/2004 121712004 Vendor Coordination 1 day 11/24/2004 11/24/2004 Schema 2 days 11/29/2004 11/30/2004 Data Dictionary 2 days 12/1/2004 1212/2004 Obtain Fuil Source Data Set 1 day 12/3/2004 12/3/2004 Load/Restore/Input Data Source 2 days 12/612004 12/712004 Ma Data & Create XML 20 days 121812004 11612005 Design Map and Refresh 5 days 121812004 12/1412004 Create Map 10 days 1211512004 12/2912004 Review and Test Map 5 days 12130/2004 1/6/2005 Map Lookup Values 5 days 12115/2004 12121/2004 Test Migration KCC 8 days 1212412004 11612005 Batch 2 days 12/24/2004 12128/2004 Refresh 5 days 12/29/2004 115/2005 Copy to Node for Client Review 1 day 11612005 1/6/2005 Install Migration on OCILJ Server 4 days 117/2005 111212005 Install Migration 1 day 1/7/2005 1/7/2005 Coordinate BatchlRefresh with Client 1 day 1/10/2005 1/10/2005 Test Full Batch on Node 1 day 1/1112005 1/11/2005 Test Refresh on Node 1 day 1/1212005 1/12/2005 Data Source- Orange County Court Citations DB 44 days 11117/2004 1/21/2005 Gather Data 12 days 1111712004 12/612004 Vendor /Source Coordination 2 days 1111712004 11/1812004 Schema 2 days 11124/2004 11129/2004 Data Dictionary 2 days 11130/2004 12/112004 Obtain Fuil Source Data Set 1 day 12/2/2004 12/212004 Load/Restore/input Data Source 2 days 12/3/2004 12/612004 Map Data & Create XML 25 days 12/7/2004 1/12/2005 Design Map and Refresh 10 days 12/7/2004 12120/2004 Create Map 10 days 12/21/2004 115/2005 Review and Test Map 5 days 116/2005 1112/2005 Map Lookup Values 5 days 12/21/2004 12/28/2004 Test Migration KCC 8 days 116/2005 1/1712005 Batch 2 days 1/6/2005 117/2005 Refresh 5 days 1/10/2005 1/14/2005 Copy to Node for Client Review 1 da 1/17/2005 1/1712005 Install Migration on OCILJ Server 4 da s 1/18/2005 1121/2005 Install MigIration 1 day 1/18/2005 1/18/2005 Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 77 OF 92 COPLIN� UNISYS TASK DESCRIPTION DURATION START DATE END DATE Coordinate Batch /Refresh with Client 1 day 1/19/2005 1/19/2005 Test Full Batch on Node 1 day 1/20/2005 1/20/2005 Test Refresh on Node 1 day 1/21/2005 1/21/2005 Backup and Recovery 5 days 2/1/2005 1 2/7/2005 Test Co link Backup & Recovery 2 days 2/1 12005 2/2/2005 Test OCILJ Backup & Recovery 2 days 2/312005 2/4/2005 Acceptance Testing 86 days 2/7/2005 6/6/2005 Prelimina Acce lance 1 day 2/7/2005 2/712005 Provisional Acce tance 5 days 2/812005 2/14/2005 Final Acceptance 80 days 2/15/2005 6/6/2005 SUB 5. Training Approach SUB 5.1 General Training Philosophy The training for the OCILJ COPLINK system is logically divided into two major components: i)End user training 2) System Administrator training End User Training The end user training is normally handled by conducting a "train -the- trainer' class; how- ever, to comply with the requirements of the RFP, five classes with up to twenty students each will be provided for training of end users. It is anticipated the students attending these classes will become a resource for other users. While the class will provide training in the use of the sys- tem, it will also focus on the specific techniques to assist other users in learning the program. In addition to the end users, it is highly recommended that the system administrators attend this training. The topics covered in this class include: • Overview and design of the COPLINK system. Discussion and demonstration of program functions. • Description of common user errors, their cause and resolution. Theory of association and relationship analysis. Consolidation rules for the node. • Data integrity issues and how to address them. Proper use of the COPLINK Computer -based training program. Hands -on program use. Each student is provided with a printed copy of the COPLINK user manual and a copy of the COPLINK Computer -based training program. It is assumed that suitable training facilities will he provided by OCIIJ agencies that have sufficient user workstations and access to the installed COPLINK system. Knowledge Computing Corporation will provide a computer -based training module (CBT) for basic training on the COPLINK system and to supplement in- person training sessions. Any Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 78 OF 92 copu UNISYS user with proper authorization can access this self -paced program and learn COPLINK functions or refresh their memory on particular topics. The complete program is one hour and forty min- utes in length if run without interruption. The user can navigate forward and backward in the program or select any particular topic to review. The program is also narrated to assist the user in quickly learning the various COPLINK functions. The self -paced learning program may be installed on a network for access by all users, or it is available on CD -ROM for use on individual workstations. Figure 33: The COPLINK self - paced, computer -based training program allows a user to learn the COPLINK system at their own pace. In addition to the end user and system administrator training classes, all COPLINK program modules feature comprehensive on -line help within the program (Figure 34). Individual users have access to the user manual through the on -line help function of the browser. The manual's different sections can be accessed by clicking on the topic listed in the Table of Contents. The on -line help also has a keyword search feature. Typing a keyword will take the user di- rectly to the appropriate section within the help program. System Administrator Training System Administrator training will focus on these areas: Hardware and system tools • Third -party software • COPLINK Administration Program Response lo: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By:. KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 79 OF 92 copuRV UNISYS Hardware and System Tools training will be conducted by Unisys training staff at a Unisys Training facility. There are two classes that will be provided, with one student per class. Addi- tional students may be enrolled at an additional cost of $2,500 per student, per class. 1)Leveraging ES7000 Capabilities Using Windows: Learn to apply your Microsoft skills in the high -end environment; and 2) Server Sentinel Workshop: Implementing and Supporting Self- Managing Tech- nologies in the Data Center. Leveraging ES7000 Capabilities Using Windows is an advanced, 5-day instructor -led train- ing that addresses the concepts and features of Windows Server 2003 and the Unisys ES7000 in the scale -up environment. Through an intense learning solution that combines lecture with an emphasis on hands -on labs, attendees will learn how to leverage the Unisys and Microsoft tech- nologies to deliver simplicity, business agility, and economic advantage while significantly re- ducing risk in their production environment. Topics will include server hardware, operating sys- tem, high availability, resource management, and managing the high -end server environment. The Server Sentinel Workshop prepares IT personnel to unlock the self- managing and self - healing capabilities of Unisys CMP -based servers. The 5 -day, hands -on, instructor -led training covers the features and functionality of Server Sentinel. Topics include installation, configura- tion, navigation, health monitoring and reporting, implementation of self - healing features, and enterprise systems management integration. Through specialized support hardware and soft- ware developed for Unisys mainframe technologies, attendees will learn how Server Sentinel provides the CMP environment with the high level of reliability and manageability necessary to meet the needs of enterprise -class systems Third -party software training will be conducted by KCC staff and will discuss the web soft- ware provided by the Apache Foundation, i.e., HTTP Server and Tomcat Servlet software. Topics include basic setup and installation, managing the server and servlet software, reading the pro- gram logs, and recovering from system errors. COPLINK system administrator training is designed to acquaint the system administrator(s) with the COPLINK Administration program. This class is eight hours in duration. The topics covered in this class include: • Overview and design of the COPLINK Administration program. • Discussion and demonstration of program functions. Security issues. • Description of common user errors, their cause and resolution. • Hands -on COPLINK Administration program use. Discussion of transaction log audits and storage. Each student is provided with a printed copy of the COPLINK Administration program user manual. This class will be conducted twice for five students per class. Both the COPLINK end -user training program and the system administrator training pro- gram are certified by the Alaska Police Standards Council (APSC). KCC's lead instructor is a cur- rently certified APSC instructor and a former Arizona Peace Officer Standards and Training (POST) Board staff member. In addition, he is a former general and specialty course instructor for Arizona POST, the Arizona Supreme Court and Pima Community College. KCC's other train- ing staff members are certified Arizona POST general instructors. If desired, KCC can seek Cali- fornia POST certification for these training courses if one of the OCILJ agencies will sponsor the application. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 80 OF 92 copuw UNISYS Figure 34: A sample of COPLINK On -Line Help Screens. SUB 5.2 Training Classes The training course outlines for the COPLINK program are provided in Appendix "D" of this proposal. SUB 6. Documentation Knowledge Computing Corporation will provide the following documents: Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27. 2004 PAGE 81 OF 92 copuRV • COPLINK Connect /Detect User Manual • COPLINK Visualizer User Manual • COPLINK Active Agent User Manual • COPLINK Mapping User Manual • COPLINK Administration Program User Manual • COPLINK Training Course Lesson Plans • COPLINK Database Schema • COPLINK Data Dictionary UNISYS Knowledge Computing Corporation considers the COPLINK database schema and the COP - LINK data dictionary as Company Confidential Information subject to non - disclosure by the OCILJ working group or any OCILJ member agency staff. SUB 7. Warranty and Ongoing Maintenance Support All COPLINK Software products and ETL services are warranted for ninety (9o) days from the date of final system acceptance. During that time, KCC will monitor the installed COPLINK system as part of its Quality Assurance program. After the ninety-day warranty, the system is normally transferred to an annual maintenance plan. The annual maintenance plan provides the following services: 1) Hours of Technical Support: Ordinary Technical support for the COPLINK sys- tem is available on regular business days (Monday through Friday, holidays ex- cepted), from 8:oo am to 5:oo pm, Mountain Standard Time. Please note that Arizona does not switch to Daylight Savings Time. 2) Method of contacting Knowledge Computing Corporation: The customer will identify not more than three staff members from each organization participating in the project who have the authority to make requests for technical support. One alternate person may be appointed who shall have the authority to contact tech- nical support in the absence of or unavailability of the regular contact persons. 3) Methods of Reporting Technical Support Issues: Customer may report technical support issues by: a) Telephone report to the Technical Support Center. b) A Change Order Request form sent by e-mail to sunnortgcoolink.net c) In- person reporting to a KCC technical support advisor, followed up by a Change Order Request form. 4) Technical Support Telephone number: The toll-free number to call for technical support is 877 -522 -9599• 5) Problem Description: KCC technical support personnel will log the technical sup- port call and request sufficient information to determine exactly what type of problem is being reported. 6) Problem Determination: KCC will respond within one business day to all requests for technical support with a plan outlining the process KCC intends to follow to resolve the problem. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 2T, 2004 PAGE 82 OF 92 CIPURV UNISYS 7) Program Code Error (ABug @) Determination: KCC will attempt to replicate the problem described in the technical support request, following the steps used by the customer. Non reproducible problems will not be considered bugs. 8) Problem Resolution: Upon determination that the technical support issue is a program code error, KCC will so report to the customer and present a mitigation strategy to resolve the problem, along with a tentative time line for problem reso- lution. 9) Report to Customer: Upon resolution of the technical support issue, KCC will provide the customer with a synopsis of the issue, the findings of the KCC techni- cal support staff, and the final resolution of the problem. lo) Program Updates and Upgrades: KCC will provide the customer interim and ma- jor version updates and upgrades according to the terms of the initial deployment contract(s) and any maintenance agreement. 11) Program Patches and Service Packs: Customer will receive any applicable pro- gram patches and service packs as they become available. Such patches and ser- vice packs will designated as either Acritical@ or Anon - critical.@ Customer must install critical patches or service packs to be eligible for continued technical sup- port. 12) Updated Installation Program: KCC will provide customer with a revised installa- tion disk for the COPLINK system as these become necessary due to program modifications and additions. 13) Customer has the option of switching from year -to -year annual maintenance to three -year annual maintenance, or from three -year annual maintenance to year - to -year annual maintenance at the beginning of any maintenance period. Installation Program KCC will provide the Customer with a current installation disk for the COPLINK system and instructions for installation. As the Customer's system is upgraded through new releases of the existing programs, a revised installation disk will be provided to Customer at no charge, so long as an annual maintenance agreement is in effect. Such installation disks and instructions shall be of sufficient clarity to provide direction for reinstallation of the COPLINK system from scratch. Specific Exclusions The Maintenance and Support Services shall specifically exclude the following: 1) [Watermarki]The inclusion of additional functionality and features for the COP - LINK system version installed at Customer's site not specifically described in the initial contract or subsequent Maintenance Agreement, the software require- ments statement (SRS)or in the accepted software. No customization of the COPLINK Solution Suite products will occur beyond that stated in the agree- ments or change orders. 2) New COPLINK products or additional modules developed by KCC not purchased by the customer. 3) Changes in or to the underlying data sources that provide information to the COPLINK system via the migration program. Customer should make inquiries Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 83 OF 92 coPUNJV UNISYS regarding any proposed changes to the underlying data sources to determine how those changes will impact the COPLINK Migrator. 4) Any hardware not provided by KCC /Unisys. 5) Any third -party software not provided with the COPLINK Solution Suite by KCC /Unisys SUB 8. Technical Environment SUB 8.1 System Software Operating System The operating system for the proposed OCIIJ COPLINK data warehouse server is Windows Advanced Server 2003 Enterprise. This is an industry standard application that has been tested with the COPLINK Solution Suite. The Windows Server 2003 family takes the best of Windows 2000 Server technology and makes it easier to deploy, manage, and use. Windows Server 2o03 includes all the functionality needed today from a Windows server operating system, such as se- curity, reliability, availability, and scalability. Windows Server 2003 is a multipurpose operating system capable of handling a diverse set of server roles, depending on needs, in either a centralized or distributed fashion. Windows Server 2003 includes Microsoft Message Queue (MSMQ) 3.0, which provides the critical guar- anteed message delivery functionality using secure Web services standards. Relational Database Management System The relational database management system (RDBMS) that will used is Microsoft SQL Server Enterprise Edition. MS SQL Server is the COPLINK development platform. Four licenses are required for the ES7000 database server. In addition, the test server required will need two additional SQL Server licenses. Since this is a non - critical system with limited performance requirements, SQL Server Standard Edition will be provided for the test environment. SQL Server 2000 exceeds dependability requirements and provides innovative capabilities that increase employee effectiveness, integrate heterogeneous IT ecosystems, and maximize capital and operating budgets. SQL Server 2000 provides the enterprise data management plat- form your organization needs to adapt quickly in a fast - changing environment. Benchmarked for scalability, speed, and performance, SQL Server 2000 is a fully enterprise -class database product, providing core support for Extensible Markup Language (XML) and Internet queries. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 84 OF 92 Price Phase 1, 1 year warranty, all sites. $86,359.00 Phase 2 site, 12o day, Per site Price for COP- LINK data source ETL. Standard Data Source: $525.00 Non - standard Data Source: $975.00 SUB 8. Technical Environment SUB 8.1 System Software Operating System The operating system for the proposed OCIIJ COPLINK data warehouse server is Windows Advanced Server 2003 Enterprise. This is an industry standard application that has been tested with the COPLINK Solution Suite. The Windows Server 2003 family takes the best of Windows 2000 Server technology and makes it easier to deploy, manage, and use. Windows Server 2o03 includes all the functionality needed today from a Windows server operating system, such as se- curity, reliability, availability, and scalability. Windows Server 2003 is a multipurpose operating system capable of handling a diverse set of server roles, depending on needs, in either a centralized or distributed fashion. Windows Server 2003 includes Microsoft Message Queue (MSMQ) 3.0, which provides the critical guar- anteed message delivery functionality using secure Web services standards. Relational Database Management System The relational database management system (RDBMS) that will used is Microsoft SQL Server Enterprise Edition. MS SQL Server is the COPLINK development platform. Four licenses are required for the ES7000 database server. In addition, the test server required will need two additional SQL Server licenses. Since this is a non - critical system with limited performance requirements, SQL Server Standard Edition will be provided for the test environment. SQL Server 2000 exceeds dependability requirements and provides innovative capabilities that increase employee effectiveness, integrate heterogeneous IT ecosystems, and maximize capital and operating budgets. SQL Server 2000 provides the enterprise data management plat- form your organization needs to adapt quickly in a fast - changing environment. Benchmarked for scalability, speed, and performance, SQL Server 2000 is a fully enterprise -class database product, providing core support for Extensible Markup Language (XML) and Internet queries. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 84 OF 92 copuNJV UNISYS Revolutionary self - tuning and dynamic self - configuring features optimize database perform- ance, while management tools automate standard activities. Graphical tools and wizards sim- plify setup, database design, and performance monitoring, allowing database administrators to focus on meeting strategic business needs. SQL Server 2000 provides a powerful and comprehensive data management platform. Every software license includes extensive management and development tools, a powerful extraction, transformation, and loading (ETL) tool, business intelligence and analysis services, and new ca- pabilities such as Notification Services. HTTP Server Software KCC will provide Apache Foundation HTTP server and Apache Foundation Tomcat Servlet software. Should OCILJ choose to use Microsoft IIS in place of the Apache HHTP server, this will only require that valid security certificates be obtained and implemented. Workstations Workstation software requirements are Microsoft Internet Explorer, ver. 5.5, service pack 2 or higher. Windows 2000 /XP operating system is preferred. Windows 98, 98SE, ME and NT 4.0 will work with the COPLINK software, however, uncorrectable Windows programming issues will cause minor formatting differences in the COPLINK display. This will not effect the function of the program. COPLINK will not function with Windows 95 or 3.11, or any other web browser software. SUB 8.2 Web Development Tools There are no additional web development tools required to build the proposed solution. SUB E.3 Third Party Software By standardizing on Microsoft, the enterprise has the ability to quickly address most any business issue due to prime interoperability with the full spectrum of Microsoft products and applications. The COPLINK Mapping program requires a license from ESRI, Inc. for MapObjects Java. The program will reside on the web server. The standard MapObjects Java license is based on a two -CPU server model. Response to: ORANGE COUNTY INTEGRATED LAW 8 JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 85 OF 92 COPLIMV UNISYS SUB 8.4 System Management Software Unisys will provide Server Sentinel. Server Sentinel's self- management capabilities allow for rapid remediation of any issues that may compromise the performance of the ES7000. This in turn will ensure the maintenance of the robust application environment needed to support the COPLINK Solution Suite products. SUB 8.5 Project Environments The Unisys technical approach is based on a proven methodology that has been successful on many previous projects such as the ones identified in our references. Our project manage- ment approach adheres to best practices in software and hardware engineering. Our architectural vision is to achieve the OCILJ information retrieval and analysis goals by building a secure data warehouse to consolidate the disparate data from the various Orange County agencies into a single, integrated data set, and provide a flexible and robust information retrieval and analysis system accessible through an intuitive Web interface. At a management level, the new retrieval system will enhance OCILJ's ability to monitor the use and usefulness of the consolidated data. ES7000 Server Family Introduction The new Unisys ES7000 family of Windows -based 64 -bit servers offers the horsepower that enterprises need to manage high- demand, mission - critical applications and databases. This family of servers is powered by the Intel® Itanium® 2 processor with 6M L3 cache delivering a viable alternative to UNIX /RISC -based systems at an affordable price. The ES7000 comes in two lines: the ES7000 Orion Series and the ES7000 Aries Series. The Unisys Enterprise Server ES7oo0 Aries series supports 8, 12, and as high as 16 processors in a single package, while the Orion series can scale as high as 32 processors. Both leverage Unisys' Cellular MultiProcessing (CMP) architecture, which modularizes system components and allows for easy scalability and supports several different generations of Intel processors. The ES7000 line also includes Unisys Server Sentinel, a self- management tool that coordinates continuous availability. With its features and architecture, the Unisys ES7000 family of servers is ideal for such solu- tions as server consolidation, clustering, online transaction processing (OLTP), business intelli- gence and analytics, and other data - intensive applications. The Unisys ES7000 family of servers delivers simplicity, business agility and economic advantage while significantly reducing risks. Simplicity is at the heart of the ES7000 family of servers. Through Microsoft standardiza- tion, the enterprise eliminates the complexity of having to manage and troubleshoot multiple operating systems. By the same token, it is not necessary to invest exorbitant amounts of time and money to secure IT talent with multiple operating system skill sets. Scaling to one larger ES7000 eliminates the complexity of managing server farms and makes it much easier to optimize the system and implement high - availability best practices. With the self - managing and self - healing benefits of Unisys Server Sentinel, maintaining the server envi- ronment has never been easier. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 86 OF 92 coPUNV UNISYS As workloads increase, the ES7000 family of servers allows the flexibility to scale up accord- ingly. The scale up option is also a very valuable feature whenever an enterprise needs to quickly add users to the system — the ES7000 will ensure the quickest return to steady state. The ES7000 family of servers provides measurable economic advantage to the enterprise. By offering strong price /performance and a platform built with standard building blocks the ES7000 ensures the most value for your server investment. That investment is protected be- cause every ES7000 provides a longer overall product life by supporting select follow -on Intel processors. If an enterprise standardizes on Microsoft operating systems from the desktop to the enter- prise, it can lower IT staffing costs by eliminating the requirement for securing multiple operat- ing system skill sets. An added benefit is predictable training costs. A fully optimized IT staff, coupled with leading edge technology, can help to increase productivity. Running a single oper- ating system in the data center means the potential for lower software licensing costs. By con- solidating applications on an ES7000, clients enjoy significant cost savings related to compara- tive space requirements of multiple server environments. In many instances, there is a savings on power consumption with the deployment of an ES7000 vs. multiple servers. The proposed configuration for the OCILJ COPLINK data warehouse server is a Unisys ES7000/510 four CPU server with 16 GB of RAM. Disk storage is provided by a CLARHON CX30o disk array containing two terabytes of hard disk storage capacity. EMC CLARNON CX300 The EMC CLARHON CX3oo is optimized for cost - effective Windows workgroup solutions. The CX3oo scales from 5 to 6o drives. It also delivers best -in -class performance, array -based local replication. A member of the EMC CLARHON CX series, the CX3oo packs all the data in- tegrity and availability features required for the OCILJ system into a small-size solution. ESL3020 Web and Test Servers The web server and the test server for the OCIW COPLINK node will both be Unisys ESL3020 servers. Each of these servers will come with dual 3.2 Ghz Intel Xeon CPU and 2 GB of RAM. The test server will utilize the CX3oo disk storage to hold the test and development data. Because it is functioning as a database server, the test server will have mirrored system disks. A complete description of each system is attached as Appendix "E." SUB 9. Project Team The OCILJ COPLINK node will be a system that integrates information from a variety of dis- parate data sources and systems and will provide Orange County law enforcement agencies with a streamlined way of retrieving, managing, and analyzing its criminal history records informa- tion. Recognizing the complexity involved in the implementation of this system, KCC has selected a tool set that best meets the needs of the OCILJ agencies and chosen to use best -of- the -breed hardware and project management to meet the OCILJ requirements. KCC partnered with a premiere information technology provider that has a long and distinguished history of providing solid IT solutions on time and on budget. The Unisys staff that will be our partners in this project have core competencies and experience that complement the KCC software solu- tions. Together, KCC and Unisys provide an unmatched set of capabilities that will meet and ex- ceed the requirements of the OCILJ Working Group. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 87 OF 92 copuNJV UNISYS The organization chart for the project team is shown in Figure 35. The KCC team members will consist of the following: Robert Griffin, President and CEO. Mr. Griffin has over thirty years experience in the infor- mation technology arena. As a senior management executive in large firms and as president of several successful start-up companies, Mr. Griffin brings a focus on customer service and project execution to the team, with the management style to "make it happen." Wochiech Wyzga, Chief Technology Officer. Mr. Wyzga has extensive experience in com- puter software design and development. He developed the COPLINK algorithms that perform the advanced, artificial - intelligence based analysis and continues to drive the product line to in- clude ever more functionality and ease of use. As the CTO, Mr. Wyzga has direct responsibility for the deployment and engineering group that will implement the OCILJ COPLINK Solution Suite. William Oliver, Senior Research Engineer. Mr. Oliver has experience in Java coding and da- tabase management. Any custom development required in the OCILJ implementation will be carried out under his supervision. Bradley Cochran, Deployment Manager. Mr. Cochran has experience in both the public and private sector information technology area. As a Tucson Police Department sergeant, he saw the potential of the research at the University of Arizona as it applied to law enforcement. Mr. Coch- ran was the COPLINK project manager at the Tucson Police Department until his retirement in 1999. He then spent four years with a major law enforcement integrator and is familiar with the Southern California law enforcement community. Robert Fund, Product Manager. Mr. Fund is a retired Tucson Police lieutenant and was the department's technology project manager for four years. During that time, he was responsible for thirteen separate technology initiatives that revamped the police department's IT systems. He has broad experience in understanding what the line -level officer needs to function success- fully in today's complex law enforcement environment. As the KCC product manager, Mr. Fund reviews requests from customers for new functionality in the COPLINK product line and coor- dinates these requests with the engineering staff. As an experienced instructor, Mr. Fund also is the lead trainer for KCC. Jason St. Peter, Systems and Technical Support Manager. Mr. St. Peter is KCC's network specialist and has provided guidance and advice to numerous clients installing COPLINK sys- tems. As the technical support manager, Mr. St. Peter is intimately familiar with the COPLINK program functionality. The team members from Unisys Corporation are: Mr. Robert Sprecher, Project Manager. Mr. Sprecher is a Solution Director within the Public Sector practice of Unisys. He has more than 25 years of national and international experience, in technology development, architectural programming, and project management for more than 25,000 prison and jail bed spaces, IT implementation, and facilities development. As a former law enforcement and corrections officer, he also has the knowledge and background to under- stand the requirements of a complex law enforcement IT project. Mr. Larry Layhee, Technical Consultant. Mr. Layhee has 17 years experience in the systems area of the information processing industry utilizing skills in analysis, planning and problem - solving with emphasis on systems deployment and integration. Mr. Layhee will oversee the in- stallation and configuration of the Unisys servers and the system, database and management software. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 88 OF 92 COMIC Detailed staff resumes are in Appendix "F." R4ev OMB IhculeN vM CC RaOen FVq Wee Catlnan PmO�n flSt Oepbrmenl lfgr i RoEM Smamn i_ epbtrreu 6gr Rvka Ilgr. i N . i .......... . 2aCi HeAeprcm 1 Larylellf9¢ �1 - eepbfamY&gr 1 TCtivikJl 1 iCvrtalaN Nnays)i Darcease �Om� SileS�Ne/balu _Oepbrncni&gr Sft Lee OepbP eeyr Tnomvs 8b prcnf 5gr &i My epby Fig, Figure 35: OCILJ Project Team Vb Vkh 1V"p8 CTO UNISYS J nSt. Percy SyenulApr "'d ORANGE COUNTY INTEGRATED LAW& JUSTICE PROJECT TEAM KNOWLEDGE COMPUTING CORPORATION. UNISYS Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 89 OF 92 coPUW SUB 10. Pricing SUB 10.1 Phase 1 Pricing UNISYS Core SW HA-V $265,31102 $161,362:00 Services lyr Warranty $280,400.70 $88,065.00 3yr War- ranty $226,852.00 Annual Recur- ring License Fee 0.00 Citation DB 20,000.00 0,00 OC Sheriff 20,000.00 0.00' Newport Beach 20,000.00 0.00 Irvine 20,000.00 0.00 Garden Grove 50,000.00 0.00 Brea 20,000.00 0.00 Cypress 20,000.00 0`.00 Seal Beach 20,000.00 0.00 Total $265,313.02 $161,362.00 $470,400.70 $88,065,00 $226,852.00 0:00' The above pricing is based on the assumption that the two West Covina Services Group users are in fact two separate databases. WCSG is in the process of conversion. Some of their custom- ers` records are part of a large, multi- agency database and some are on stand -alone databases. For those customers that have their data in the single large database, KCC would consider the single large database as one source. Thus if both Seal Beach PD and Cypress PD are on the multi- agency database, the two agencies would be considered a single source, since the analysis, mapping and migration would apply to the entire dataset. The same holds true for other WCSG users; only if their records are on a stand -alone database would we consider them as a separate data source. COPLINK does not have a recurring license fee. We provide an optional annual maintenance program. The annual maintenance program provides continued technical support for existing COPLINK installations. The services and procedures for the annual maintenance program are described in SUB 7: Warranty. COPLINK annual maintenance is available in both standard and extended versions. The standard version is 8 x 5 support on normal business days. Extended support is available at any time. Annual maintenance costs for COPLINK are based on the total COPLINK system cost (software plus data source costs). For standard maintenance on a year -to -year basis, the cost is 18 percent of the system cost. A three -year or longer agreement is 15 percent Response to: ORANGE COUNTY INTEGRATED LAW 8 JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 90 OF 92 copuRV SUB 10.2 Phase 2 Pricing UNISYS System to Integrate SW FnV Services iyr War- 3yr AVar- Annual Re- First Motorola Prin- 35,000:00 7,200.00 15,750.00 cense Fee 0.00 treksystem, Additional Motorola 17,500.00 3;600.00 7,875.00 0.00 Printrak system Second Intergraph 17,500.00 3,600.00 7,875.00 0:00 System First Versaterm Sys- 35,000.00 7,200.00 15,750.00 0.00 tem Additional'Versaterm 17,500.00 3,600.00 7,875.00 0.00 System Additional West Co- 35,000.00 7,200.00 15,750.00 0.00_ vina S stem Additional_ Northrop 17,500.00 3,600:00 7,875.00 , 0.00 Grumman (PRC) Sys- tem First Alliance PD, 35,000:00 7200.00 15,750.00 0.00 C run system Additional Alliance 17,500.00 3,600.00 7,875.00 0.00 PD, C run system First Spillman System 35,000.00 7,200.00 15,750.00 0.00 Additional Spillman 17,500.00 3,600.00 7,875.00 0.00 System Additional Visionair 17,500.00 3,600.00 7,875.00 10.00 System MS SQL Server Flat' 35,000.00; 7,200.00 15_,750.00 0.00 File database The above pricing assumes that additional RMS from the same vendor are the same version, with identical schema and similar data integrity. This pricing also assumes that the RMS ven- dors Will cooperate with the KCC /Unisys Team in providing the necessary information to ana- lyze, map and migrate the data to the COPLINK data warehouse. VersaTerm and Spillman have been only marginally cooperative in past installations. If multiple RMS from the same vendor are in fact different versions, KCC must consider them to be separate sources and price them accordingly. COPLINK products are priced according to the commissioned census of the agencies con- tributing to the COPLINK node. There is no provision for concurrent user or named user li- censes. COPLINK licensing is offered only on an enterprise level. KCC is offering Phase i pricing as a level three COPLINK installation. This entails a substan- tial savings over the actual level four that the OCIIJ COPLINK node will be when Phase > is complete. While KCC will not charge a level uplift cost for Phase 2, once an additional agency data source is added to the system, the OCILJ COPPLINK node will become a level four node and any data sources added in Phase 2 will be charged at level 4 pricing. The Phase 2 pricing ta- ble reflects the higher data source cost associated with a level four node. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 91 OF 92 COPIII� uNisYs For reference, the current COPLINK price list is included as Appendix °G." SUB 10.3 Analysis Tool Pricing COPLINK Detect, including COPLINK Visualizer and COPLINK Mapping, are included in the system cost described in SUB io -1. COPLINK Solution Suite products are not licensed on a concurrent or named user basis, but only on an enterprise level. There are no additional hard- ware or software costs beyond those already described in this section. Response to: ORANGE COUNTY INTEGRATED LAW & JUSTICE RFP FOR RECORDS MANAGEMENT SYSTEM DATA SHAR- ING SOLUTION By: KNOWLEDGE COMPUTING CORPORATION AUGUST 27, 2004 PAGE 92 OF 92 Appendix "A" Knowledge Computing Corporation Financial Statement 2003 12:08 PM KNOWLEDGE COMPUTING CORPORATION 09114/04 Accrual Basis Profit & Loss January through December 2003 Jan • Dec 03 Ordinary Income/Expense Income 4000 • Sales 1,560,491.77 Total Income 1,560,491.77 Cost of Goods Sold 5000 • Cost of Goods Sold 227,451.47 Total COGS 227,451.47 Gross Profit 1,333,040.30 Expense 6280 • Property Tax 246.27 6298 • Business Relocation 2,860.71 6320 • Seminars and Conferences 12,899.09 6135 • Commercial Insurance 2,775.23 6245 • Outside Services 15,221.13 6000 • Advertising 1,737.22 6100 • Amortization Expense 140.80 6110 • Automobile Expense 0.00 6120 • Bank Service Charges 278.92 6140 • Contributions 1,000.00 6150 • Depreciation Expense 47,898.20 6160 • Dues and Subscriptions 3,387.98 6170 • Equipment Rental 4,621.18 6200 • Interest Expense 2,047.85 6230 • Licenses and Permits 236.00 6235 • Marketing 10,428.26 6240 • Miscellaneous 0.00 6250 • Postage and Delivery 3,441.71 6260 • Printing and Reproduction 2,194.35 6270 • Professional Fees 78,777.81 6290 • Rent 63,543.19 6300 • Repairs and Maintenance 2,373.09 6340 • Telephone 19,486.63 6350 • Travel & Entertainment 99,849.74 6400 • Supplies 13,063.48 6500 • Employee Compensation 822,431.88 6999 • Uncategorized Expenses 0.00 Total Expense 1,210,940.72 Net Ordinary Income 122,099.58 Other Income /Expense Other Income 7015 • Dividend Income 196.26 7010 • Interest Income 1,416.08 Total Other Income 1,612.34 Other Expense Page 1 of 2 12:08 PM KNOWLEDGE COMPUTING CORPORATION 09/14104 Accrual Basis Profit & Loss January through December 2003 Jan - Dec 03 8030 • State income tax expense 50.00 Total Other Expense 50.00 Net Other Income 1,562.34 Net Income 123,661.92 Page 2 of 2 12:09 PM KNOWLEDGE COMPUTING CORPORATION 09114/04 Accrual Basis Balance Sheet As of December 31, 2003 Dec 31, 03 ASSETS Current Assets Checking /Savings 1045 • Bank of America - Money Market 348,497.78 1040 • Bank of America - Checking 6,136.99 1065 • Petty Cash 119.19 Total Checking/Savings 354,753.96 Accounts Receivable 1200 • Accounts Receivable 441,478.00 Total Accounts Receivable 441,478.00 Other Current Assets 1260 • Prepaid Expenses 25,002.80 1250 • Deposits 5,291.63 Total Other Current Assets 30,294.43 Total Current Assets 826,526.39 Fixed Assets 1500 • Fixed Assets 245,009.54 1700 • Accumulated Depreciation - 204,274.44 Total Fixed Assets 40,735.10 Other Assets 1800 • Organization Costs 2,814.00 1810 • Accumulated Amortization - 2,814.00 Total Other Assets 0.00 TOTAL ASSETS 867,261.49 LIABILITIES & EQUITY Liabilities Current Liabilities Accounts Payable 2000 • Accounts Payable - 6,634.00 Total Accounts Payable - 6,634.00 Credit Cards 2240 • Bank of America - CC 2,329.00 2230 • American Express - KCC 8,804.95 Total Credit Cards 11.133.95 Other Current Liabilities 2001 • Accounts Payable - Other 11,665.57 2110 • Accrued Liabilities 18,994.96 2105 • Accrued Wages 5,029.50 2220 • Prepaid Revenue 89,263.31 2100 • Payroll Liabilities 736.40 Total Other Current Liabilities 125,689.74 Page 1 of 2 12:09 PNI KNOWLEDGE COMPUTING CORPORATION 09/14/04 Accrual Basis Balance Sheet As of December 37, 2003 Dec 31, 03 Total Current Liabilities 1 Total Liabilities 130,189.69 Equity 3100 • Capital Stock 3,091,400.10 3500 • Retained Earnings - 2,477,990.22 Net Income 123,661.92 Total Equity 737,071.80 TOTAL LIABILITIES & EQUITY 867,261.49 Page 2 of 2 �y� 7�0� j Imagine it. Done. f♦ ; ti ntag ti i no r;o �. taro Unisys Corporation 21333 Annaai Report We have a clear focus on our vision: Delivering precision thinking and relentless execution to drive clients' business transformation. Unisys is a worldwide information technology services and solutions company. With expertise in consulting, systems integration, outsourcing, infrastructure and server technology, our people are unified in their commitment to help our clients, in more than 100 countries, quickly and efficiently achieve competitive advantage. Revenue Unisys is headquartered in Blue Bell, Pennsylvania, in the Greater Philadelphia area. For more Operaling information, visit our Web site Income as at vvww.unisys.com. For Percent of Revenue investor information, . go to www.unisys.comfinvestor. 1 7.5% 7.2% '0'1 '02 '03 Letter to Stakeholders Focus on.... Client Stories Focus on Performance Corporate Officers Board of Directors Corporate Governance Financial Review Investor Information 56.06 55.66 $5.9B —1—fl '01 '02 '03 Net Income $259M $223M '01 ® '02 '03 567M SG&P.as Percent of Revenue 19.2% 17.7% 17.0% 101 102 '03 1 4 14 15 16 17 19 56 1.; DEARSTAKEHOLDERS r� _. LAWRENCE A. WEINBACH CHAIRMAN, . PRESIDENT AND CHIEF EXECUTIVE OFFICER 2003 was a good . year for Unisys and our stakeholders. Building on the financial consistency we've shown over the past several years, we delivered strong results in 2003 in another volatile year for the information technology industry. Our net income rose 16 percent in 2003 to $258.7 million, or 78 cents per diluted share. We achieved this earnings growth despite a significant negative impact from pension accounting. Due to a number of factors, our pre -tax pension income in 2003 declined to about S23 million from Si44 million in zooz. When you exclude the impact of pension accounting from our results in both years, we grew our earnings per share from 39 cents in zooz to 73 cents in 2003 —an 87 percent increase.' Equally important, we translated our higher earnings into stronger cash flow. We generated $529 million of cash flow from operations in 2003 —up 63 percent from zooz levels. After deducting what we reinvested in capital assets, the majority of which related to revenue - generating projects such as business process outsourcing, we generated $134 million of free cash flow in 2003: We are proud of this accomplishment. Success Factors: Focus and Execution Since zooz, we have significantly grown our earnings and operational cash flow. So, what's behind this success? At Unisys, it comes down to two key factors: focus and execution. In 1997, we set a clear focus for our company: to reposition Unisys as a services -led, technology -based provider of solutions that add value for our clients. Since that time, throughout a tumultuous period for the IT industry, we have stayed on course and executed against this strategy. Our focus has been on selectively pursuing high - quality business opportunities based on "win-win" part- nering relationships with clients. We've rigorously avoided low- margin, commodity -based areas of the market. By the end of 2003, almost 8o percent of our revenue was generated from services and 20 percent from enterprise servers. However, a transformation of this nature is never complete. Nevertheless, we are delivering higher eamings, enhanced financial consistency and improved service to our customers. Continued Strategic Progress As we continue the Unisys transformation, we are focused on Five key strategic objectives for profitably growing our business in 2004. Achieve double -digit growth in our business process outsourcing. Outsourcing helps enhance our financial consistency by providing a reliable stream of revenue and profits over multiyear contracts. Outsourcing is the fastest - growing area of the IT services market, as clients look to reduce costs, improve efficiencies and, in many cases, transform their processes by turning over the management of their data centers and business processes to external partners. ' See reconciliation of GAAP to non -GAAP financial information available on the Unisys Investor Web site at wwwunisys.coNnvestor. At Unisys, we've chosen to focus on opportunities in Business Process Outsourcing (BPO). Because of our capabilities in high -end consulting and transaction processing and our industry expertise, Unisys can manage a client's business processes and transform them for enhanced productivity and effectiveness. That's the approach we've taken in such BPO areas as payment processing, insurance processing, mortgage processing, remittance and claims processing and cargo management. Our outsourcing strategy is delivering results. In 2003, we grew our outsourcing revenue by 17 percent, driven by very strong growth in BPO. We also signed major, multiyear outsourcing contracts with Royal & SunAlliance, HBOS plc, the cities of Minneapolis and Chicago, and the Board of Airline Representatives in Australia, to name a few. We are focused on keeping the momentum going in 2004. Achieve double -digit growth in enterprise security. Recent global events have raised awareness of the need for enterprise security. Security threats can come from anywhere —from air travel and cargo, from containers entering seaports, from e-mail viruses. These developments have created demand for sophisticated services that can help clients secure their infrastructures and their global supply chains. Unisys has focused on this growth opportunity. We have decades of expertise in security, and in recent years we've developed leading -edge tools and methodologies to address complex security issues. We also recently created a Unisys Security Advisory Board of leading security experts from the private sector and government, who advise us on client needs and trends in this market. Here again, our efforts are yielding results. Our enterprise security revenue showed strong double -digit growth in 2003. We continued to build our base of security clients. We also continued to build our leadership in security in the U.S. federal government arena. Building on our ongoing work with the U.S. Transportation Security Administration (TSA) to improve security at U.S. air - ports, in 2003 we were selected to lead four pilot projects for the U.S. Operation Safe Commerce program to evaluate and test security technologies at key U.S. seaports. This is a potentially huge endeavor, and we're honored to be part of the pilot process. Continue to enhance our services operating margins. As we've built our services business to the point where it now represents almost 8o percent of our total revenue, we've also been working to enhance the profit margins of this business. Since services is a people business, much of our effort has centered on strengthening and better utilizing our skill sets. We've recruited hundreds of senior consultants and industry leaders from prominent service firms. We've shifted our delivery people to faster- growing areas such as BPO and federal government work. We've also launched innovative offerings such as our new 3D Visible Enterprise initiative, which allows executives to see the cause and effect of strategic decisions on Financial Summary Year ended December 31 (Dollars in millions, except per share data) 2003 2002 % change Revenue $5,911.2 $5.607.4 5% SG &A 1,007.2 992.0 2% SG&A as % of revenue 17.0% 17.7% - Operating income 427.7 423.2 1% Operating income as % of revenue 7.2% 7.5% - Interest expense 69.6 66.5 5% Net income 258.7 223.0 16% Diluted earnings per share .78 .69 13% Total debt. 1,068.2 829.7 29% Cash flow from operations 529.2 324.5 63% Yearend stock price 14.85 9.90 50% Shares outstanding 331.9M 326.2M 2% Number of employees. 37,300 36,400 2% their IT infrastructure before they make them — allowing them to implement their visions more quickly, and with substantial cost savings. Our services operating margins have improved steadily over the past three years, excluding the impact of pension accounting. Our goal is to achieve a to- percent operating margin in our services business by the end of the fourth quarter of 2005. We still have work to do to achieve that goal, but I'm pleased with our progress. Double -digit growth in our ES7000 servers. As we've grown our services business, Unisys has also transformed our technology offerings. We have focused our technology business on high -end enterprise server technology to support mission - critical environments. We continue to enhance our ClearPath server products to provide more openness, new functionality and additional processing capability. The ClearPath line of proprietary systems continues to be used by thousands of customers worldwide. In addition, our expanded family ofES7000 servers using Intel processors and Microsoft software technology continues to redefine market expectations and economic benefits for industry standard environments. It has established technology leadership, providing the industry's most Flexible and comprehensive product line. Superior price and performance, based on numerous industry- leading benchmarks, have positioned the Unisys ES70oo as the market leader for high -end, Windows -based servers. Clients are reaping the benefits of a significant lower -cost model without compromising their mission - critical objectives. We've been proactive with our partners in building the market for the ES7000 —and these efforts are paying off. Our ES7000 customer revenue grew 25 percent in 2003, and we continue to win large numbers of new clients. In fact, more than 40 percent of our ES7000 sales are to new customers. We also continue to see a growing number of repeat and multiunit orders. These are all very positive signs that momentum in this program will continue to grow. Enhance global brand awareness of Unisys. Our final strategic objective is to continue enhancing our global brand awareness. We are getting the word out on Unisys —who we are, what we do, the tremendous capabilities we've built in this company in recent years, the success of our transformation. We arc enhancing our brand through focused marketing efforts, through our global advertising program and by featuring Unisys experts at conferences and industry events. Here again, we are pleased with our progress. In 2003, we achieved significant milestones in gaining recognition for Unisys among key media and industry analysts. Our transformation was featured in Barron's, The Financial Times, InformationWeek and other leading publications. We also significantly expanded our coverage on Wall Street. We remain focused on building our brand. Commitments For all the changes that have occurred at Unisys, certain core commitments will never change. Unisys and our board of directors are committed to sound corporate governance —to manage the company in the best interests of our stakeholders. We continue to have a strong code of ethical conduct in place. We are committed to promoting diversity and a culture of inclusion in our work force. We are com- mitted to our seven operating principles, not the least of which is absolute integrity in everything we do. We are committed to protecting the privacy of our employees, customers and other constituents. We are committed to social responsibility and sound environmental management. In short, we are a dynamic company —continually changing to meet the needs of the marketplace„ yet based on certain fundamental, unchanging principles. The Unisys transformation continues, and I look forward to reporting on our progress. Regards, Lawrence A. Weinbach r Ftc--� tz ti .41AM7 ps io t. ILL tiff :r focus on ING - The Focus: Integrating global operations and lowering costs for the Netherlands -based company's life and pensions business. The Solution: Unisys 3D Blueprinting tailored to ING's specifications increases produc- tivity, significantly accelerating ,ING'snew product development-and deployment —and keeping its operations, more competitive. This blueprint now serves, as the foundation _ for Unisys Insurance. Blueprint —a repeatable solution that can be applied to address similar business needs of other Unisys clients. ".,- Telenor The Focus: Improving internal switchboard performance for the Norwegian, telecom's business customers. l" �.. The Solution: Unisys integrates leading- edge technologies to develop Talk2Call'", an automated, voice recognition telephone directory attendant that answers corpo- rate switchboard calls around the clock, tracking' down employees wherever they are and transferring callers to the right party —even when the main switchboard is closed. Talk2Call .even cuts call- routing costs by more than half. So innovative. is Talk2Cell", in fact, that it earns Telenor a Computer- world Honors Program Laureate for the 21st Century Achievement Award. focus on How can a cost burden be transformed into a competitive business asset? The answer is out- sourcing. Turning over transaction- intensive processes to a trusted partner with the resources and industry expertise to manage them enables companies to concentrate their energies and assets on being successful. In x003, more and more companies turned to Unisys —so many, in fact, that outsourcing is our fastest- growing business. Through Business Process Outsourcing, for example, we not only increase productivity by streamlining processes, we improve them. And our Information Technology Outsourcing services lift technology issues from our clients' shoulders by managing their data centers and IT network infrastructures. We offer our clients . worldwide industry expertise in financial services, government, transportation, communications and other markets.The bottom line? Proven outcomes for our ever - expanding client base, minimizing their costs and magnifying [heir returns. Consulting. Systems Integration. i Outsourcing. Onfrastructure. Server Technology. ■ I` � Ir. Royal & SunAlliance The Focus: Reducing costs and business risk for one of the world's largest inter- national insurance groups. The,Solution: The London-based insurer adopts a new strategic business model, outsourcing staff and policy maintenance to- Unisys. Through this business process outsourcing plan, Unisys takes over back- office functions, migrating outdated legacy servers onto new systems and re engineering processes to improve operational capability and efficiency. Royal & SunAlliance reduces its costs and increases its levels of customer service and satisfaction. In all, a sound . policy for underwriting continued success. -iJ u i Jy" r3 R i l - t South Africa Department of Home Affairs The Focus: Curtailing identity-related fraud that costs the government hundreds of millions of dollars a year in wrongfully disbursed social service grants. The .Solution: Unisys integrates key com- ponents of the Home Affairs National Identification System (HANTS), and helps develop, build and implement' its. opera- tions, including image capture, control, verification and infrastructure. HANIS will draw on a database of digital finger- prints to identify citizens and legal per- manent residents via smart ID cards. The biometric system will safeguard against forgery, rampant double- dipping for social service grants and other fraudulent activ- ities that the former manual processes could not control. a �y SECURITY Cyber attacks . on enterprises. Audit and risk management issues. Supply chain integrity. Expanding security regulations. Common sense. We are all just beginning to realize the full scope of security requirements. Security is not just a necessity to protect critical business assets — from networks to brand and reputation. It's also an indispensable enabler of business growth. A well planned and implemented security pro- gram can dramatically reduce operational costs and create new sources of revenue from cus- tomer services and relationships based on dig- ital identities. Of course, defining and meeting security requirements can be a complicated task, with business, technical and even regula- tory challenges. So Unisys makes our clients' security our business. \ve combine deep tech- nical knowledge with business- process expertise in key vertical industries. Our experts design, deliver and manage integrated security strate- gies and solutions that help clients transform their business to capitalize on new opportuni- ties. X %fe partner with clients worldwide to help overcome their security challenges and provide peace of mind, today and every day. i Consulting. i Systems Integration. i Outsourcing. i Infrastructure. Server Technology. 9 a Bavarian Ministry of Justice. y The Focus: Improve public service by mod- - ';' -;' °•�-- - - emizing and outsourcing management of IT facilities of this government agency that oversees the Department of Public Prosecution, Bavaria's penal system and all courts of law. !OLIO� The Solution:. By providing a full . range of _ Infrastructure Managed Services, Unisys enables more than 12,000 end users 'ate"'• -- r..s n - over - 200 - locations in Germany's largest __ -- state to more quickly share critical data on pending cases and expedite cases through the court system. Now the Ministry delivers ` - - -_ -- - -- > -° more efficient and comprehensive ser- vices--and gives citizens quicker access to justice. - i ° !"trLxS v W BT Global Services j The Focus: Helping one of the world's leading s'• : telecommunications providers efficiently i +, - • and cost_Wfectively deliver infrastructure ser- vices where its network meets thousands . of its key customers around the globe. o t" The Solution: BT works with Unisys to enhance delivery of its managed services andnsolutions to clients with operations on ,a-, global basis. Unisys manages the ._delivery of connectivity device services that help BT Global Services —BT's inter- - -. national business services and solutions division—maintain its best -in -class status in delivering a growing range of local and international end -to -end communications services, establishing global service standards s and retaining a competitive edge. The connection is clear: gT Global Services improves cost through effective manage- ment of its supply chain —and benefits its customers with consistency of supply and enhanced quality of service. 10 INFRASTRUCTURE Drive business results. Gain Flexibility for next- ; - generation infrastructure and applications. Collaborate with partners for access to expertise. Improve cost control. Sustain and enhance busi- ness value. By providing services that manage transformation, support and security of the IT nfrastructure, Unisys addresses those imperatives for clients and enables diem to do what they do best: focus on their business. Unisys partners with clients, providing services that help them 1 capitalize on a secure, end -to -end infra- structure— servers, desktops, mobile and wireless systems, security facilities, net- works and applications —to deliver new services, transform their business operations and deliver exceptional, y individualized experiences for their employees and customers. We provide IT strategy and planning skills and experience worldwide to optimize existing infrastructure assets, build new networks, con- ' solidate servers and more. Unisys has the worldwide skills, systems and experience to deliver — anywhere. i Consulting. Systems Integration. i Outsourcing. Infrastructure. Server Technology. �1 SERVER TECHNOLOGY Microsoft The Focus: A server platform able to support the software giant's integrated —and ever - growing — sales, service and marketing data warehouse. The Solution: Unisys mighty ES7000s revolutionize how Microsoft employees . access and use customer information. These high-performance servers have multiplied transaction processing five- fold, supporting 375 million writes per day to Microsoft's database, 1.2 billion reads and 14,000 Microsoft users. What's more, this consolidated environment enables the company to better ensure customers' privacy and be more responsive to their needs. We call it business intelligence for intelligent business. Travelsky The Focus: Meeting the growing civil aviation demands of the world's most populous country — smoothly and seamlessly. The Solution: Travelsky, the leading provider of information technology for China's air travel and tourism industries, selects Unisys ClearPath and ES7000servers to power its electronic hooking applications and pro- vide critical data disaster recovery support. Unisys re-engineers Travelsky's distribution and inventory control systems, enabling the government enterprise to .handle the burgeoning .passenger traffic —and keep the country's 27 airlines airborne. j t - A focus on PERFORMANCE You can create great services, develop ingenious solutions, but without the right people with the right ..�/y skills . and the right mindset 'C deliver those services -.r and solution "s; a business cannot be successful. nd s ``�:•cj Unisys people know this. Performance is written into our rallying cry: Imagine it. Done. It's at the core of - ' ^ -`^�� our vision: Deliver precision thinking and relentless execution to drive clients' business transformation. �'�_ • ° ",�.. And it's built into our Operating Principles: External • -_ �,� Obsession, Best or Nothing Invent the-Futuie, Be 7 , ; Bold, Team for Speed Deliver`or Die, and Absolute r +, Integrity. This is how we do business day-to-day. `�•y,:isjrOfo •help maintain top performance, . we have concen- �'•trr'aled on identifying skills shortages and developing training to build.. proficiencies; including an effective management program for all managers. Employees _ — - manage their careers using our online Career Fitness _ �•i Centre, and they can benefit from continual learn- �, , ing. and development through Unisys University. QQQ As for new hires, we employ rigorous recruiting - e methods to bring in people of diverse. backgrounds who are a match for our business, At Un isys�' a all employees receive an annual review to ensure thev'performance objectives are measurable, ever-challenging and on track. And because the tom- - ,.petitive market continually raises the bar, we must 'respond. That's why rewards are based on perfor- ance. It's how our employees stay motivated, and he _we identify and retain the best talent. Be. it enterprise transformation, outsourcing, security, infrastructure or server technology anywhere in the world, Unisys people share a common purpose: helping our clients succeed. This was key to our _ . 4 -ft y o�va all performance in 2003. 14 Top row, left to right David O. Aker Senior vice president. worldwide human resources. A Unisys officer since 1995. Age 57. Middle row, left to Dominick Cavuoto Vice president and president. global financial services. enterprise transformation services. A Unisys officer since 2004. Age 50. Bottom row, left to Jack F. McHale Vice president. investor relations. A Unisys officer since 1966. Age 54. Leigh Alexander Vice president and chief marketing officer. A Unisys officer since 2000. Age 46. Leo C. Daiuto Vice president, product development and tech- nology, A Unisys officer since 2000. Age 58. Carol S. Sabochick Vice president and corporate controller. A Unisys officer since 2002. Age 43.. Richard D. Sadler Senior vice president. corporate communications. A Unisys officer since 1998. Age 53. George R. Gazerwitz Executive vice president and president, systems & technology. A Unisys officer since 1984. Age 63. Nancy Straus Sundheim Senior vice president. general counsel and secretary. A Unisys officer since 1999. Age 52. Greg J. Boreal Vice president and president, global public sector, enterprise transformation services. A Unisys officer since 2004. Age 50. Janet Brutschen Haugen Senior vice president and chief financial officer. A Unisys officer since 1996. Age 45. Janet B. Wallace Executive vice president and president, global infrastructure services. A Unisys officer since 2000. Age 52. Scott A. Battemby Vice president and treasurer. A Unisys officer since 2000. Age 45. Joseph W. McGrath Executive vice president and president, enterprise transformation services. A Unisys officer since 1999. Age 51. Lawrence A. Weinbach Chairman, president and chief executive officer. A Unisys officer since 1997. Age 64. 15 left to right J.P. Bolduc Chairman and chief executive officer of JPB Enterprises Inc., a merchant banking, venture capital and real estate investment holding company, and chief executive officer of J. A. Jones. Previously president and chief executive officer, vice chairman and chief operating officer of W. R. Grace & Co.. a specialty chemicals and health care company. Director of Proudloot PLC and EnPro Industries Inc.A Unisys director since 1992. Age 64. Bottom row, left to right Melvin R. Goodes Retired director and chairman and chief executive officer of Warner - Lambert Co.. a diversified worldwide health care, pharmaceu- tical and consumer products company. Pre- viously held position of president and chief operating officer. A Unisys director since 1987. Age 66.' 'Retired February 2004 16 Dr. James J. Duderstadt President emeritus and university professor of science and engineering at the University of Michigan. A director of CMS Energy Corpora. tion. A Unisys director since 1990. Age 61. Edwin A. Huston Retired vice chairman, Ryder System Inc., an international logistics and transportation solu- tions company. Previ. crusty senior executive vice president, finance. and chief financial officer. A.director of Answerthink Inc.. Enterasys Networks Inc. and Kaman Corp. A Unisys director since 1993. Age 65. Henry C. Duques Retired chairman and chief executive officer. First Date Corporation. an electronic commerce and payment services company. A director of First Data Corporation. CheckFree Corporation and SunGard Data Systems Inc. A Unisys director since 1996. Age 60. Clayton M. Jones Chairman, president and chief executive officer of Rockwell Collins. Inc'., a global aviation electronics and communications company, Previously executive vice president Of that company and senior vice president of its former parent company. Rockwell International Corporation. A Unisys director since 2004. Age 54. Denise K. Fletcher Former executive vice president and chief financial officer of MasterCard Imemadonal. an international payment solutions company. Previously chief financial officer of Bowne Inc... a global document management and infor- mation services provider. A Unisys director since 2001. Age 55. Theodore E. Martin Retired president and chief executive officer of Barnes Group Inc., a manufacturer and distributor of automotive and aircraft components and maintenance products. Previously executive vice president. operations. A director of Ingersoll -Rand Co.. Apples Corp. and C.R. Bard Inc. A Unisys director since 1995. Age 64. Gail D. Foster Executive vice president and chief economist. The Conference Board, a business - sponsored, nonprofit research orga- nization. A director of Baxter International Inc., Caterpillar Inc. and DBS Holdings (Singapore). A Unisys director since. 1993. Age 56. Lawrence A. Weinbach Unisys chairman, presi- dent and chief executive officer since 1997.. Previously managing panner and chief' executive. Andersen Worldwide.. a global pro. fessional services organi- zation. A director of Avon Products Inc. and UBS AG. A Unisys director since 1997. Age 64. CORPORATE GOVERNANCE The Unisys Board of Directors The board of directors is responsible for overseeing the business and affairs of the company. Committees: The board of directors has a standing audit committee, compensation committee, finance committee, and nominating and corporate governance committee. The Audit Committee. Assists the board in its oversight of the integrity of the company's financial statements and its financial reporting and disclosure practices, the soundness of its systems of internal financial and accounting controls, the independence and qualifications of its independent auditors, the performance of its internal and independent auditors, the company's compliance with legal and regulatory requirements and the soundness of its ethical and environmental compliance programs. The Compensation Committee: Oversees the compensation of the company's executives, the company's executive management structure, succession planning for executives, the compensation - related policies and programs involving the company's executive management and the level of benefits of officers and key employees. It also oversees the company's diversity programs. The Finance Committee: Oversees the company's financial affairs, including its capital structure, financial arrangements, capital spending, and acquisition and disposition plans. It also oversees the management and investment of funds in the pension, savings and welfare plans sponsored by the company. The Nominating and Corporate Governance Committee: Identifies and reviews candidates and recommends to the board of directors nominees for membership on the board of directors. Oversees the company's corporate governance. Classification of Directors: The board of directors currently consists of to members, divided into three classes. One class of directors is elected each year to hold office for a three -year term. Nine of the ro directors are independent directors. Compensation of Board The company's nonemployee directors receive an annual $5o,000 retainer, an annual $to,000 attendance fee for regularly scheduled board and committee meetings, and a meeting fee of $t,000 for attendance at certain additional board and committee meetings. In addition, the chairmen of the compensation and the finance committees receive an annual $5,000 retainer, and the chairman of the audit committee receives an annual $lo,000 retainer. During 2003, each nonemployee director also received an option to purchase 12,000 shares of Unisys common stock. Stock options vest in four equal annual installments beginning one year after the date of grant. The annual retainers and annual attendance fee are paid in monthly installments, with 5o percent of each installment paid in cash and 50 percent in the form of common stock equivalent units. The value of each stock unit at any point in time is equal to the value of one share of Unisys common stock. Stock units are recorded in a memorandum account maintained for each director. A director's stock unit account is payable in Unisys common stock, either upon termination of service or on any date at least five years (two years for stock units awarded after January t, zoos) after the stock units are awarded, at the director's option. Directors do not have the right to vote with respect to any stock units. Directors also have the opportunity to defer until termination of service, or until any date at least two years after the deferral, all or a portion of their cash fees. Any deferred cash amounts, and earnings or losses thereon, are recorded in a memorandum account maintained for each director. The right to receive future payments of deferred cash accounts is an unsecured claim against the company's general assets. Directors who are employees of the company do not receive any cash, stock units or stock options for their services as directors. 17 Our board of directors has adopted corporate governance guidelines that cover, among other things, the following: 1 A majority of the board of directors shall qualify as independent under the listing standards of the New York Stock Exchange. 2 The nominating and corporate governance committee reviews annually with the board the independence of outside directors. Following this review, only those directors who meet the independence qualifications prescribed by the New York Stock Exchange and who the board affirmatively deter- mines have no material relationship with the company will be considered independent. The following commercial or chari- table relationships will not be considered to be material rela- tionships that would impair independence: (a) if a director is an executive officer or partner of, or owns more than a io per- cent equity interest in, a company that does business with Unisys, and sales to or purchases from Unisys are less than 1 percent of the annual revenues of that company and (b) if a director is an officer, director or trustee of a charitable organization, and Unisys donates less than r percent of that organization's charitable receipts. 3 Directors should not, except in rare circumstances approved by the board, draw any consulting, legal or other fees from the company. In no event shall any member of the audit com- mittee receive any compensation from the company other than directors'fees. 4 Membership on the audit, compensation, and nominating and corporate governance committees is limited to independent directors. 5 Directors may not stand for election after age 7o or continue to serve beyond the annual stockholders' meeting following the attainment of age 70. 6 Directors should volunteer to resign from the board upon a change in position, including retirement, from the position they held when they were elected to the board. The board, through the nominating and corporate governance com- mittee, will then make a determination whether continued board membership is appropriate under the circumstances. In addition, if the company's chief executive officer resigns from that position, he is expected to offer his resignation from the board at the same time. % The nominating and corporate governance committee is responsible for determining the appropriate skills and char- acteristics required of board members in the content of its current makeup and will consider factors such as indepen- dence, experience, strength of character, mature judgment, technical skills, diversity and age in its assessment of the needs of the board. 8 The company should maintain an orientation program for new directors and continuing education programs for all directors. 9 The board will conduct an annual self - evaluation to determine whether it and its committees are functioning effectively. 10 The nonmanagement directors should meet in executive ses- sion, without the chief executive officer and other members of management, on a regularly scheduled basis. They may also meet in executive session at any time upon request. The posi- tion of presiding director for these executive sessions will rotate, meeting by meeting, among the chairpersons of the audit, compensation and finance committees. 11 The nonmanagement directors will evaluate the perfor- mance of the chief executive officer annually and will meet in executive session, led by the chairperson of the compen- sation committee, to review this performance. The evalua- tion is based on objective criteria, including performance of the business, accomplishment of long -term strategic objec- tives and development of management. Based on this evalu- ation the compensation committee will recommend, and the independent members of the board will determine and approve, the compensation of the chief executive officer. 12 To assist the board in its planning for the succession to the position of chief executive officer, the chief executive officer is expected to provide an annual report on succession planning to the compensation committee. 13 Board members have complete access to Unisys management. Members of senior management who are not board members regularly attend board meetings, and the board encourages senior management, from time to time, to bring into board meetings other managers who can provide additional insights into the matters under discussion. 14 The board and its committees have the right at any time to retain independent outside financial, legal or other advisers. Note: For the MI text of committee charters and governance guidelines, as well as more information on corporate governance, see our Web site: http: / /cow ..unisys.omlimestor. Unisys has been selected for the second year in a row as a component in the Dow Jones Sustainability World Indexes (DJSI World). The selection recognizes the company's leadership in economic, environmental and social business factors that are key to creating long -term stockholder value. Unisys is one of 300 companies globally that are part of the DJSI World and one of 28 technology companies worldwide represented in the index. 18 FINANCIAL REVIEW Management's Discussion and Analysis 20 Consolidated Statements of Income 32 Consolidated Balance Sheets 33 Consolidated Statements of Cash Flows 34 Consolidated Statements of Stockholders' Equity 35 Notes to Consolidated Financial Statements 36 Report of Management 54 Report of independent Auditors 54 Quarterly Financial Information 55 Five -Year Summary of Selected Financial Data 55 to UNISYS CORPORATION Management's Discussion and Analysis of Financial Condition and Results of Operations Overview In recent years the company has undertaken a major repositioning of its business model, its portfolio and its employee skills set to strengthen its capabilities as a services -led solutions provider. The objective of this repositioning is to capitalize on emerging growth opportunities in the information technology ( "IT ") services market and deliver consistent, profitable growth for its stockholders. Recognizing the growing need in the marketplace for IT services and solutions that help clients reduce costs and enhance their competitiveness, the company has pursued services opportunities in business process outsourcing, systems integration and consulting, enterprise security, and other service areas. The company has grown its base of long -term outsourcing contracts that provide a reliable base of annuity revenue over multiple years. Through recruiting and training efforts, the company has strengthened its skills and capabilities in systems integration and consulting to capture higher - margin business opportunities in focused vertical industries. The company has also strengthened its capabilities in enterprise security to capitalize on the growing need by organizations to enhance their security profile against physical and electronic threats. In its technology business, the company has focused on high -end enterprise server technology that offers attractive margins, while de- emphasizing low -end products where margins have been under pressure due to technology commoditization. Across all of these areas, management has focused on improving its margins by pursuing value -added business and by tightly controlling costs. These efforts have enabled the company to deliver consistent financial results during a highly volatile period for the IT industry overall. In 2003 the company reported strong growth in net income and earnings per share, building on its profit growth in 2002. The company has achieved this earnings growth despite the impact of pension accounting, which has resulted in a significant decline in pension income in 2003 and zooz. The company's focus on value -added business and tight cost control has also resulted in a substantial increase in operational cash flow in recent years. The company's management has placed a strong emphasis on generating cash flow, which resulted in significant operating cash flow in zoo3. In 2004, the company plans to maintain its focus on the areas discussed above and continue to build its capabilities as a leading provider of value -added services and high -end server technology to the IT marketplace. Results of operations Company results In 2003, the company reported net income of $258.7 million, or $.78 per diluted share, compared with $223.0 million, or $.69 per share in 2002, and a net loss of $67.1 million, or $.21 per share, in 2001. The results for zoor include a fourth - quarter pretax charge of $276.3 million, or $.64 per share, principally for a work -force reduction, See Note 5 of the Notes to Consolidated Financial Statements. Revenue for 2003 was $5.91 billion compared with $5.61 billion in 2oo2 and $6.02 billion in toot. Revenue in 2003 increased 5% from the prior year. This increase was due to an increase of 9% in Services revenue offset in part by an 8% decline in Technology revenue. Foreign currency fluctuations had a 4% positive impact on revenue in 2oo3 compared with zooz. Revenue in 2002 decreased 7% from the prior year. The decrease was due to a decline in Technology revenue of 16% as well as a 4% decline in Services revenue. Foreign currency fluctuations had a negligible impact on revenue in 2002. Revenue from international operations in 2003, 2.002 and 2001 was $3.15 billion, $3.0 billion and $3.42 billion, respectively. Revenue from U.S. Operations was $2.76 billion in 2003, $2.5o billion in 2oo2 and $2.6o billion in 2001. Total gross profit percent was 29.0% in 2003, 30.1% in 2oo2, and 24.6% in zoor. The decrease in gross profit percent in 2003 principally reflected a decline in pension income as described below. The increase in gross profit in 2ooz from zoor was principally due to the company's focus on higher value -added business opportunities and continued tight cost controls, including the personnel reduction actions taken in zoor and zooz. 20 Selling, general and administrative expenses were $1.01 billion in 2003 (17.0% of revenue), $.99 billion in 2002 (17.706 of revenue), and $1.16 billion in 2001(19.2% of revenue). The increase in 2003 from 2002 was principally due to lower pension income and foreign currency translations, offset in part by continued tight cost controls. The decrease in 2oo2 from 2001, net of the impacts of the fourth- quarter charge in 2001, reflected the benefits of the personnel reduction actions announced in the fourth quarter of zoos and continued tight cost controls. Research and development ( "R &D ") expenses in 2003 were $280.1 million compared with $273.3 million in 2002 and $331.5 million in 2001. The company continues to invest in high -end Cellular MultiPrmssing (CMP) server technology and in key programs within its industry practices. In 2003, the company reported operating income of $427.7 million, or 7.2% of revenue, compared with operating income of $423.2 million, or 7.5% of revenue in 2002 and an operating loss of $4.5 million in 2001. Interest expense was $69.6 million in 2003, $66.5 million in 2oo2 and $70.o million in 2001. The increase in 2003 was due to higher average borrowings. The decline in 2002 was principally due to lower average borrowings and lower average interest rates. Other income (expense), net, which can vary from year to year, was income of $22.4 million in 2003, an expense of $z3.9 million in 2002 and income of $1.5 million in 2001. The difference in 2oo3 from 2oo2 was principally due to equity income of $18.3 million in 2003 compared with a loss of $12.4 million in 2002. Specifically, in 2003 the company recognized $12.2 million income related to its share of a subsidy recorded by Nihon Unisys, Ltd. ( "NUL") upon transfer of a portion of its pension plan obligation to the Japanese government. In zooz, the company recognized a charge of $21.8 million related to its share of an early retirement charge recorded by NUL. In addition in 2003, the company recorded $10.7 million of income related to minority investors'share of losses of companies owned 51% by the company, compared with $.3 million in 2002. Partially offsetting these items were foreign exchange losses in 2003 of $u.3 million compared with losses in 2oo2 Of $1.2 million. The lower other income (expense), net in 2oo2 from 2001 was principally due to foreign exchange losses of $1.2 million in zooz compared with foreign exchange gains of $21.4 million in 2001 (principally due to Latin America), equity investment losses of $12.4 million in 2oo2 (principally due to the $21.8 million charge relating to the NUL early retirement charge discussed above) compared with equity income of $10.4 million in 2001. In addition, in 2001, the company recorded a charge of $26.5 million related to the early extinguishment of debt. Pension income for 2003 was $22.6 million compared with $143.5 million in 2002 and $170.0 million in 2001. At the beginning of each year, accounting rules require that the company establish an expected long -term rate of return on its pension plan assets. The principal reason for the decline in pension income in 2003 was that, effective January 1, 2oo3, the company reduced its expected long -term rate of return on plan assets for its U.S. pension plan to 8.75% from 9.5006. In addition, the discount rate used for the U.S, pension plan declined to 6.75% at December 31, 2oo2, from 7.50% at December 31, 2001. The remaining reasons for the decline in pension income were lower expected return on U.S. plan assets due to asset declines and the company's change as of January 1, 2003 to a cash balance plan in the U.S. Additionally for international plans, declines in discount rates, lower expected long -term rates of return on plan assets, and currency translation contributed to lower pension income. The principal reason for the decline in pension income in 2002 was that, effective January L 2oo2, the company reduced its expected long -term rate of return on plan assets for its U.S. pension plan to 9.5% from 10.006. The company records pension income or expense, as well as other employee - related costs such as FICA and medical insurance costs, in operating income in the following income statement categories: cost of sales, selling, general and administrative expenses, and research and development expenses. The amount allocated to each line is based on where the salaries of the active employees are charged. Income before income taxes in 2003 was $380.5 million compared with $332.8 million in 2002 and a loss of $73.0 million in 2001. The provision for income taxes in 2oo3 was $121.8 million (32% effective tax rate) compared with $to9.8 million (330ib effective tax rate) in 2oo2 and $(5.9) million in zoo1. It is expected that the effective tax rate will be 32% for 2004. At December 31, zoo3, the company owned approximately 28% of the voting common stock of NUL. The company accounts for this investment by the equity method. NUL is the exclusive supplier of the company's hardware and software products in Japan. The company considers its investment in NUL to be of a long -term strategic nature. For the years ended December 31, 2003, 2oo2 and 2001, total direct and indirect sales to NUL were approximately $275 million, $27o million and $340 million, respectively. 21 At December 31, 2003, the market value of the comparry's investment in NUL was approtdmately $z58 million and the amount of this investment recorded on the company's books was $152 million, which is net of $74 million relating to the company's share of NUL's minimum pension liability adjustment. The market value is determined by both the quoted price per share of NUL's shares on the Tokyo stock exchange and the current exchange rate of the Japanese yen to the U.S. dollar. At any point in time, the company's book value may be higher or lower than the market value. The company would reflect impairment in this investment only if the loss in value of the investment were deemed to be other than a temporary decline. Segments results The company has two business segments: Services and Technology. Revenue classifications by segment are as follows: Services - systems integration and consulting, outsourcing, infrastructure services and core maintenance; Technology - enterprise -class servers and specialized technologies. The accounting policies of each business segment are the same as those followed by the company as a whole. Intersegment sales and transfers are priced as if the sales or transfers were to third parties. Accordingly, the Technology segment recognizes intersegment revenue and manufacturing profit on hardware and software shipments to customers under Services contracts. The Services segment, in turn, recognizes customer revenue and marketing profit on such shipments of company hardware and software to customers. The Services segment also includes the sale of hardware and software products sourced from third parties that are sold to customers through the company's Services channels. In the company's consolidated statements of income, the manufacturing costs of products sourced from the Technology segment and sold to Services customers are reported in cost of revenue for Services. Also included in the Technology segment's sales and operating profit are sales of hardware and software sold to the Services segment for internal use in Services agreements. The amount of such profit included in operating income of the Technology segment for the years ended December 31, 2003, 2002 and 2001, was $24.4 million, $19.z million and $21.8 million, respectively. The profit on these transactions is eliminated in Corporate. The company evaluates business segment performance on operating income exclusive of restructuring charges and unusual and nonrecurring items, which are included in Corporate. Ail other corporate and centrally incurred costs are allocated to the business segments based principally on revenue, employees, square footage or usage. See Note 16 of the Notes to Consolidated Financial Statements. Information by business segment for 2003, 2002 and zoos is presented below: (Millions of dollars) Total Eliminations Services Technology 2003 $4,444.6 $1,573.5 Intersegment $(363.4) Customer revenue $5,911.2 Total revenue $4,691.9 $1,219.3 Intersegment Gross profit percent $(319.8) 25.9 293.9 Total revenue $5,911.2 $(319.8) $4,717.8 $1,513.2 Gross profit percent 29.0% 20.2% 50.4% Operating income percent 7.2% 5.0% 12.7% 2002 Customer revenue $5,607.4 $4.285.1 $1,322.3 Intersegment $(331.9) 38.8 293.1 Total revenue $5,607.4 S(331.9) $4,323.9 $1,615.4 Gross profit percent 30.1% 22.2% 46.5% Operating income percent 7.5% 5.9% 11.7% 2001 Customer revenue $6,018.1 $4,444.6 $1,573.5 Intersegment $(363.4) 73.8 289.6 Total revenue $6,018.1 $(363.4) $4,518.4 $1,863.1 Gross profit percent 24.6% 19.7% 43.090 Operating income percent 4.5% 2.1% 11.6% Gross profit pee nr and operating income percent are as a percent of total revenue 22 In the Services segment, customer revenue was $4.69 billion in 2003, $4.29 billion in 2002 and $4.44 billion in zoos. Revenue in 2003 was up 9% from 2oo2, principally due to a 17% increase in outsourcing ($1.68 billion in 2003 compared with $1.44 billion in 2002), a to% increase in systems integration and consulting ($1.6o billion in 2003 compared with $1.46 billion in 2002), a 1% increase in infrastructure services ($.84 billion in 2003 compared with $.83 billion in 2002) and a 3% increase in core maintenance ($.57 billion in 2003 compared with $.56 billion in 2002). Revenue in zoo2 was down 4% from zoos, as an 11% increase in outsourcing ($1.44 billion in 2002 compared with $1.3o billion in zoos) was more than offset by a 24% decline in infrastructure services ($.83 billion in 2002 compared with $I.o9 billion in 2001) and a 4% decline in core maintenance revenue ($.56 billion in 2002 compared with $.58 billion in 2001). Systems integration and consulting revenue in 2002 was $1.46 billion compared with $1.47 billion in zoos. In 2003, the systems integration business benefited from growth in the company's U.S. Federal government business. Throughout the three years, outsourcing revenue continued to grow as the company continues to expand this business. The growth in outsourcing revenue was particularly driven by growth in business process outsourcing. Within the Services segment, the change in revenue in 2002 from 2001 reflected then - current market conditions, as well as the company's de- emphasis of low- margin commodity hardware sales within infrastructure services contracts. Services gross profit was 20.2% in 2003, 22.2% in 2002 and 19.7% in tool, and operating income percent was 5.0% in 2003, 5.9% in 2002 and 2.10/0 in zoos. The decline in gross profit and operating income margins in 2003 were principally due to a lower pension income compared with 2002. The company achieved the margin improvements in 2002 compared with zoos by executing its strategy of selectively pursuing higher value -added business opportunities, growing its annuity -based outsourcing business and resizing its workforce to meet the market demand. In the Technology segment, customer revenue was $1.22 billion in 2003, $1.3z billion in 2002 and $1.57 billion in zoos. Demand throughout the period in the Technology segment remained weak industry -wide as customers deferred spending on new computer hardware and software. Revenue in 2003 was down S% from 20oz, due to a 21% decrease in sales of specialized technology products ($.29 billion in 2003 compared with $.37 billion in 2002) and a 3% decline in sales of enterprise -class servers ($.93 billion in 2003 compared with $.96 billion in 2002). The 8% decline in Technology customer revenue in 2003 as well as the 16% decline in customer revenue in 2002 reflected the impact of the global downturn in information technology spending on sales of high -end server products, as well as lower commodity hardware sales as a result of the company's decision to de- emphasize sales of these products. Technology gross profit percent was 50.4% in 2003, 46.5% in 2002 and 43.0% in zoos, and Technology operating income percent was 12.7 % in z003,11.7% in 2002 and 11.6% in 2001. The margin improvements in 2003 primarily reflected a richer mix of ClearPath servers and software offset in part by lower pension income. The margin improvements in 2002 primarily reflected, within C1earPath revenue, a higher proportion of high -end, higher margin products, increased demand for high -end payment systems products and continued tight cost controls. New accounting pronouncements Effective January 1, 2003, the company adopted SFAS No. 145, "Rescission of FASB Statements No. 4, 44 and 64, Amendment of FASB Statement No. 13, and Technical Corrections." SFAS No. 145 rescinds SFAS No. 4, which required that all gains and losses from extinguishment of debt be reported as an extraordinary item. Previously recorded losses on the early extinguishment of debts that were classified as an extraordinary item in prior periods have been reclassified to other income (expense), net. The adoption of SFAS No. 145 had no effect on the company's consolidated financial position, consolidated results of operations, or liquidity. Effective January 1, 2003, the company adopted SFAS No. 146, "Accounting for Costs Associated with Exit or Disposal Activities." SFAS No. 146 requires companies to recognize costs associated with exit or disposal activities when they are incurred rather than at the date of commitment to an exit or disposal plan. SFAS No. 146 replaces previous accounting guidance provided by Emerging Issues Task Force ( "EITF ") Issue No. 94 -3, "Liability Recognition for Certain Employee Termination Benefits and Other Costs to Exit an Activity (including Certain Costs Incurred in a Restructuring)," and is effective for the company for exit or disposal activities initiated after December 31, 2002. Adoption of this statement had no material impact on the company's consolidated financial position, consolidated results of operations, or liquidity. �*3 Effective January 1, 2003, the company adopted the Financial Accounting Standards Board's ( "FASB ") Interpretation No. 45, "Guarantor's Accounting and Disclosure Requirements for Guarantees, Including Indirect Guarantees of Indebtedness of Others, an Interpretation of FASB Statements No. 5, 57, and 107 and Rescission of FASB Interpretation No. 34" ( "FIN 45 "). The interpretation requires that upon issuance of a guarantee, the entity must recognize a liability for the fair value of the obligation it assumes under that guarantee. In addition, FIN 45 requires disclosures about the guarantees that an entity has issued, including a roll - forward of the entity's product warranty liabilities. This interpretation is intended to improve the comparability of financial reporting by requiring identical accounting for guarantees issued with separately identified consideration and guarantees issued without separately identified consideration. Adoption of this Interpretation had no material impact on the company's consolidated financial position, consolidated results of operations, or liquidity. Effective July 1, 2003, the company adopted the FASB's consensus on E1TF Issue No. oo -21, "Accounting for Revenue Arrangements with Multiple Deliverables." This issue addresses how to account for arrangements that may involve the delivery or performance of multiple products, services, and/or rights to use assets. The final consensus of this issue is applicable to agreements entered into in fiscal periods beginning after June 15, 2oo3. Adoption of this issue had no material impact on the company's consolidated financial position, consolidated results of operations, or liquidity. In January 2003, the FASB issued Interpretation No. 46 ( "FIN 46 "), "Consolidation of Variable Interest Entities, an interpretation of ARB 51 "The primary objectives of this interpretation are to provide guidance on the identification of entities for which control is achieved through means other than through voting rights ( "variable interest entities ") and how to determine when and which business enterprise (the "primary beneficiary ") should consolidate the variable interest entity. This new model for consolidation applies to an entity in which either (i) the equity investors (if any) do not have a controlling financial interest; or (ii) the equity investment at risk is insufficient to finance that entity's activities without receiving additional subordinated financial support from other parties. In addition, FIN 46 requires that the primary beneficiary, as well as all other enterprises with a significant variable interest in a variable interest entity, make additional disclosures. Certain disclosure requirements of FIN 46 were effective for financial statements issued after January 31, zoo3. In December 2oo3, the FASB issued FIN 46 (revised December zoo3), "Consolidation of Variable Interest Entities" ( "FIN 46 -R ") to address certain FIN 46 implementation issues. The effective dates and impact of FIN 46 and FIN 46 -R are as follows: (i) Special- purpose entities ( "SPEs ") created prior to February 1, 2003. The company must apply either the provisions of FIN 46 or early adopt the provisions of FIN 46 -R at the end of the first interim or annual reporting period ending after December 15, 2003. (ii) Non -SPEs created prior to February 1, 2003. The company is required to adopt FIN 46 -R at the end of the first interim or annual reporting period ending after March 15, 2004. (iii) All entities, regardless of whether an SPE, that were created subsequent to January 31, zoo3. The provisions of FIN 46 were applicable for variable interests in entities obtained after January 31, zoo3. The adoption of the provisions applicable to SPEs and all other variable interests obtained after January 31, 2oo3 did not have a material impact on the company's consolidated financial position, consolidated results of operations, or liquidity. The company is currently evaluating the impact of adopting FIN 46 -R applicable to Non -SPEs created prior to February 1, 2.003 but does not expect a material impact. In May 2003, the EITF reached a consensus on Issue No. 03 -5, "Applicability of AICPA Statement of Position 97 -2, Software Revenue Recognition, to Non - Software Deliverables in an Arrangement Containing More -Than- Incidental Software." The FASB ratified this consensus in August 2003. E1TF Issue No. 03 -5 affirms that AICPA Statement of Position 97 -2 applies to non - software deliverables, such as hardware and services, in an arrangement if the software is essential to the functionality of the non - software deliverables. The adoption of E1TF Issue No. 03 -5 did not have a material impact on the company's consolidated financial position, consolidated results of operations, or liquidity. Effective January 1, zooz, the company adopted SFAS No. 143. "Accounting for Asset Retirement Obligations:' This statement addresses financial accounting and reporting for legal obligations associated with the retirement of tangible long -lived assets that result from the acquisition, construction, development and normal operation of a long -lived asset. SFAS No. 143 requires that the fair value of a liability for an asset retirement obligation be recognized in the period in which it is incurred, if a reasonable estimate of fair value can be made. The associated asset retirement costs are capitalized as part of the carrying amount of the long -lived asset and subsequently allocated to expense over the asset's useful life. Adoption of SFAS No. 143 had no effect on the company's consolidated financial position, consolidated results of operations, or liquidity. 24 Effective January 1, 2002, the company adopted SFAS No. 144, "Accounting for the Impairment or Disposal of Long - Lived Assets." This statement addresses financial accounting and reporting for the impairment or disposal of long -lived assets. SFAS No. 144 requires an impairment loss to be recognized only if the carrying amounts of long -lived assets to be held and used are not recoverable from their expected undiscounted future cash flows. Adoption of SFAS No. 144 had no effect on the company's consolidated financial position, consolidated results of operations, or liquidity. Financial condition Cash and cash equivalents at December 31, 2003 were $635.9 million compared with $3oL8 million at December 31, 2002. During 2003, cash provided by operations was $529.2 million compared with $324.5 million in zooz, principally reflecting strong working capital management and an increase in profitability. Cash expenditures related to prior -year restructuring actions (which are included in operating activities) in 2003, zooz and 2001 were $58.4 million, $104.4 million and $71.5 million, respectively, and are expected to be approximately $to million in 2oo4, principally for international work -force reductions and facility costs. Personnel reductions in 2oo3 related to prior -year restructuring actions were approximately Soo. No additional personnel reductions are expected related to prior -year restructuring actions. Cash used for investing activities in 2003 was $468.8 million compared with $379.z million in zooz. During 2oo3, both proceeds from investments and purchases of investments, which represent derivative financial instruments used to manage the company's currency exposure to market risks from changes in foreign currency exchange rates, increased from the prior year as a result of an increase in the company's exposure, principally related to intercompany accounts. The increase in cash used for investing activities was due to net purchases of investments of $68.1 million for 2003 compared with $38.3 million in the prior -year period. In addition in zoo3, the investment in marketable software was $144.1 million compared with $139.9 million in zooz, and capital additions were $251.3 million in 2003 compared with $196.2 million in zooz. The increase in capital additions principally reflected additions of revenue - generating assets, particularly in the company's outsourcing business. Cash provided by financing activities during 2003 was $255.5 million compared with $25.3 million in zooz. In 2003, the company had net proceeds from issuance of long -term debt of $293.3 million, as described below. In addition, during 2003, there was a reduction of $64.5 million in short -term borrowings compared with a reduction of $t.6 million in zooz. In March 2oo3, the company issued $30o million of 6 7/8% senior notes due zmo. At December 31, 2003, total debt was $1.1 billion, an increase of $238.5 million from December 31, 2002. See Note to of the Notes to Consolidated Financial Statements for components of the company's long -term debt. The company has a $500 million credit agreement that expires in May 2006. As of December 31, 2003, there were no borrowings under this facility, and the entire $500 million was available for borrowings. Borrowings under the agreement bear interest based on the then- current LIBOR or prime rates and the company's credit rating. The credit agreement contains financial and other covenants, including maintenance of certain financial ratios, a minimum level of net worth and limitations on certain types of transactions, which could reduce the amount the company is able to borrow. Events of default under the credit agreement include failure to perform covenants, material adverse change, change of control and default under other debt aggregating at least $25 million. If an event of default were to occur under the credit agreement, the lenders would be entitled to declare all amounts borrowed under it immediately due and payable. The occurrence of an event of default under the credit agreement could also cause the acceleration of obligations under certain other agreements and the termination of the company's U.S. trade accounts receivable facility, described below. In addition, the company and certain international subsidiaries have access to certain uncommitted lines of credit from various banks. Other sources of short -term funding are operational cash flows, including customer prepayments, and the company's U.S. trade accounts receivable facility. Using this facility, the company sells, on an ongoing basis, up to $225 million of its eligible U.S. trade accounts receivable through a wholly owned subsidiary, Unisys Funding Corporation I. The facility is renewable annually at the purchasers' option and expires in December zoo6. See Note 6 of the Notes to Consolidated Financial Statements. At December 31, 2oo3, the company had short -term borrowings of $17.7 million, borrowed principally by international subsidiaries, at a weighted average interest rate at December 31 of 7.40/6. 25 At December 31, 2003, the company met all covenants and conditions under its various lending and funding agreements. Since the company believes that it will continue to meet these covenants and conditions, the company believes that it has adequate sources and availability of short -term funding to meet its expected cash requirements. As described more fully in Notes 5, to and 13 of the Notes to Consolidated Financial Statements, at December 31, 2oo3 the company had certain cash obligations, which are due as follows: (Millions) Total Less than 1 year 1 -3 years 4-5 years After 5 years Notes payable $ 17.7 $ 17.7 Long -term debt 1,050.0 $550.0 $200.0 $300.0 Capital lease obligations 5.6 2.2 2.2 1.2 Operating leases 657.0 130.0 184.8 116.7 225.5 Minimum purchase obligations 20.0 10.0 10.0 Work -force reductions 5.8 5.0 .8 Total $1,756.1 $164.9 $747.8 $317.9 $525.5 As more fully described in Note 13 to the Notes to Consolidated Financial Statements, the company could have an additional obligation under an operating lease for one of its facilities. At December 31, 2003, the company had outstanding standby letters of credit and surety bonds of approximately $28o million related to performance and payment guarantees. On the basis of experience with these arrangements, the company believes that any obligations that may arise will not be material. The company may, from time to time, redeem, tender for, or repurchase its securities in the open market or in privately negotiated transactions depending upon availability, market conditions, and other factors. The company has on file with the Securities and Exchange Commission an effective registration statement covering $1.2 billion of debt or equity securities, which enables the company to be prepared for future market opportunities. Stockholders' equity increased $539.2 million during 2003, principally reflecting a reduction in the minimum pension liability adjustment of $164.8 million, currency translation of $65.3 million, net income of $255.7 million, $5o.6 million for issuance of stock under stock option and other plans, and $4.9 million of tax benefits related to employee stock plans. Market risk The company has exposure to interest rate risk from its short -term and long -term debt. In general, the company's long -term debt is fixed rate, and the short -term debt is variable rate. See Note to of the Notes to Consolidated Financial Statements for components of the company's long -term debt. The company believes that the market risk assuming a hypothetical l0% increase in interest rates would not be material to the fair value of these financial instruments, or the related cash flows, or future results of operations. The company is also exposed to foreign currency exchange rate risks. The company uses derivative financial instruments to reduce its exposure to market risks from changes in foreign currency exchange rates. The derivative instruments used are foreign exchange forward contracts and foreign exchange options. See Note 14 of the Notes to Consolidated Financial Statements for additional information on the company's derivative financial instruments. The company has performed a sensitivity analysis assuming a hypothetical ro% adverse movement in foreign currency exchange rates applied to these derivative financial instruments described above. As of December 31, 2003 and 2002, the analysis indicated that such market movements would have reduced the estimated fair value of these derivative financial instruments by approximately $58 million and $45 million, respectively. Based on changes in the timing and amount of interest rate and foreign currency exchange rate movements and the company's actual exposures and hedges, actual gains and losses in the future may differ from the above analysis. 26 Critical accounting policies Outsourcing In recent years, the company's outsourcing business has increased significantly. Typically the terms of these contracts are between three and 10 years. In a number of these arrangements, the company hires certain of the customers' employees and often becomes responsible for the related employee obligations, such as pension and severance commitments. In addition, system development activity on outsourcing contracts may require significant upfront investments by the company. The company funds these investments, and any employee- related obligations, from customer prepayments and operating cash flow. Also, in the early phases of these contracts, gross margins may be lower than in later years when the work force and facilities have been rationalized for efficient operations, and an integrated systems solution has been implemented. Revenue under these contracts is recognized when the company performs the services or processes transactions in accordance with contractual performance standards. Customer prepayments (even if nonrefundable) are deferred (classified as a liability) and recognized systematically over future periods as services are delivered or performed. Costs on outsourcing contracts are generally charged to expense as incurred. However, direct costs incurred related to the inception of an outsourcing contract are deferred and charged to expense over the contract term. These costs consist principally of initial customer setup and employment obligations related to employees assumed. In addition, the costs of equipment and software, some of which is internally developed, is capitalized and depreciated over the shorter of their life or the term of the contract. At December 31, 2003 and 2002, the net capitalized amount related to outsourcing contracts was $477.5 million, and $321.0 million, respectively. These costs are tested for recoverability quarterly. Systems integration For long -term systems integration contracts, the company recognizes revenue and profit as the contracts progress using the percentage -of- completion method of accounting, which relies on estimates of total expected contract revenues and costs. The company follows this method since reasonably dependable estimates of the revenue and costs applicable to various elements of a contract can be made. Since the financial reporting of these contracts depends on estimates, which are assessed continually during the term of the contracts, recognized revenue and profit are subject to revisions as the contract progresses to completion. Revisions in profit estimates are reflected in the period in which the facts that give rise to the revision become known. Accordingly, favorable changes in estimates result in additional revenue and profit recognition, and unfavorable changes in estimates result in a reduction of recognized revenue and profit. When estimates indicate that a loss will be incurred on a contract upon completion, a provision for the expected loss is recorded in the period in which the loss becomes evident. As work progresses under a loss contract, revenue continues to be recognized, and a portion of the contract costs incurred in each period is charged to the contract loss reserve. For other systems integration projects, the company recognizes revenue when the services have been performed. Taxes The company accounts for income taxes in accordance with SFAS No. tog, "Accounting for Income Taxes;' which requires that deferred tax assets and liabilities be recognized using enacted tax rates for the effect of temporary differences between the book and tax bases of recorded assets and liabilities. SFAS No. tog also requires that deferred tax assets be reduced by a valuation allowance, if it is more likely than not that some portion or all of the deferred tax asset will not be realized. At December 31, 2003 and 2002, the company had deferred tax assets in excess of deferred tax liabilities of $2,034 million and $2,178 million, respectively. For the reasons cited below, at December 31, 2003 and 2002, management determined that it is more likely than not that $1,583 million and $1,726 million, respectively, of such assets will be realized, resulting in a valuation allowance of $451 million and $452 million, respectively. The company evaluates quarterly the realizability of its deferred tax assets by assessing its valuation allowance and by adjusting the amount of such allowance, if necessary. The factors used to assess the likelihood of realization are the company's forecast of future taxable income and available tax planning strategies that could be implemented to realize the net deferred tax assets. The company has used tax planning strategies to realize or renew net deferred tax assets in order to avoid the potential loss of future tax benefits. 27 Approximately 48 billion of future taxable income (predominately U.S.) ultimately is needed to realize the net deferred tax assets at December 31, zoo3. Failure to achieve forecasted taxable income might affect the ultimate realization of the net deferred tax assets. Factors that may affect the company's ability to achieve sufficient forecasted taxable income include, but are not limited to, the following: increased competition, a decline in sales or margins, loss of market share, delays in product availability or technological obsolescence. In addition, the company operates within multiple taxing jurisdictions and is subject to audit in these jurisdictions. These audits can involve complex issues, which may require an extended period of time to resolve. In management's opinion, adequate provisions for income taxes have been made for all years. Pensions The company accounts for its defined benefit pension plans in accordance with SFAS No. 87, "Employers' Accounting for Pensions," which requires that amounts recognized in financial statements be determined on an actuarial basis. As permitted by SFAS No. 87, the company uses a calculated value of plan assets (which is further described below). SFAS No. 87 allows that the effects of the performance of the pension plan's assets and changes in pension liability discount rates on the company's computation of pension income (expense) be amortized over future periods. A substantial portion of the company's pension amounts relates to its defined benefit plan in the United States. A significant element in determining the company's pension income (expense) in accordance with SFAS No. 87 is the expected long -term rate of return on plan assets. The company sets the expected long -term rate of return based on the expected long -term return of the various asset categories in which it invests. The company considers the current expectations for future returns and the actual historical returns of each asset class. Also, since the company's investment policy is to actively manage certain asset classes where the potential exists to outperform the broader market, the expected returns for those asset classes are adjusted to reflect the expected additional returns. For 2oo4 and 20o3, the company has assumed that the expected long -term rate of return on U.S. plan assets will be 8.75%. A change of 25 basis points in the expected long -term rate of return for the companys U.S. pension plan causes a change of approximately $10 million in pension expense. The assumed long -term rate of return on assets is applied to a calculated value of plan assets, which recognizes changes in the fair value of plan assets in a systematic manner over four years. This produces the expected return on plan assets that is included in pension income (expense). The difference between this expected return and the actual return on plan assets is deferred. The net deferral of past asset gains (losses) affects the calculated value of plan assets and, ultimately, future pension income (expense). At December 31, 2003, for the company's U.S. defined benefit pension plan, the calculated value of plan assets was $4.48 billion compared with the fair value of plan assets of $+13 billion. At the end of each year, the company determines the discount rate to be used to calculate the present value of plan liabilities. The discount rate is an estimate of the current interest rate at which the pension liabilities could be effectively settled at the end of the year. In estimating this rate, the company looks to rates of return on high - quality, fixed -income investments that (i) receive one of the two highest ratings given by a recognized ratings agency and (ii) are currently available and expected to be available during the period to maturity of the pension benefits. At December 31, 20o3, the company determined this rate to be 6.25% for its US. defined benefit pension plan, a decrease of 5o basis points from the rate used at December 31, 2oo2. A change of 25 basis points in the U.S. discount rate causes a change in pension expense of approximately $11 million and a change of approximately $105 million in the projected benefit obligation. The net effect of changes in the discount rate, as well as the net effect of other changes in actuarial assumptions and experience, have been deferred, as permitted by SFAS No. 87. Management chose the above assumptions as to the expected long -term rate of return on plan assets and the discount rate with consultation from and concurrence of the company's outside actuaries. SFAS No. 87 defines gains and losses as changes in the amount of either the projected benefit obligation or plan assets resulting from experience different from that assumed and from changes in assumptions. Because gains and losses may reflect refinements in estimates as well as real changes in economic values and because some gains in one period may be offset by losses in another and vice versa, SFAS No. 87 does not require recognition of gains and losses as components of net pension cost of the period in which they arise. As a minimum, amortization of an unrecognized net gain or loss must be included as a component of net pension cost for a year if, as of the beginning of the year, that unrecognized net gain or loss exceeds 10 percent of the greater of the projected benefit obligation or the calculated value of plan assets. If amortization is required, the minimum amortization is that excess above the 10 percent divided by the average remaining service period of active employees 28 expected to receive benefits under the plan. For the companys U.S. defined benefit pension plan, that period is approximately nine years. At December 31, 2003, based on the calculated value of plan assets, the estimated unrecognized loss was $1.25 billion. For the year ended December 31, 2003, the company recognized consolidated pretax pension income of $22.6 million, compared with $143.5 million of consolidated pretax pension income for the year ended December 31, 2002. Approximately $8o million of the decline was in the U.S., and $40 million was in international subsidiaries, principally the plans in the United Kingdom. The reasons for the decline in the US. were as follows: (a) a reduction in the expected long -term rate of return on plan assets from 9.50010 to 8.75%, (b) a decline in the discount rate from 7.50% to 6.75 %, (c) lower expected returns on plan assets due to lower assets than the prior year, and (d) the change to a cash balance plan which was effective Ianuary t, zoo3. The decline in international plans was principally due to declines in discount rates, lower expected long -term rates of returns on plan assets and currency translations. For 2004, the company expects to recognize pension expense of approximately $85 million ($33 million of expense in the U.S. and $52 million of expense in international plans). This would represent a change of approximately $l08 million from 2003, substantially all in the U.S. The change in the U.S. will be due to: (a) lower expected returns on plan assets of approximately $35 million due to amortization of the difference between the calculated value of plan assets and the fair value of plan assets, (b) a 5o basis -point reduction in the discount rate, which causes an approximate $23 million increase in pension expense, and (c) an approximate $44 million increase in amortization of net unrecognized losses. During 2oo3, the company trade cash contributions to its worldwide defined benefit pension plans of approximately $63 million and expects to make cash contributions of approximately $66 million during 2004• In accordance with regulations governing contributions to U.S, defined benefit pension plans, the company is not required to fund its U.S, qualified defined benefit plan in 2004• At December 31 of each year, accounting rules require a company to recognize a liability on its balance sheet for each pension plan if the fair value of the assets of that pension plan is less than the present value of the pension obligation (the accumulated benefit obligation, or ABO "). This liability is called a "minimum pension liability." Concurrently, any existing prepaid pension asset for the pension plan must be removed. These adjustments are recorded as a charge in "accumulated other Comprehensive income (loss)" in stockholders' equity. If at any future year -end, the fair value of the pension plan assets exceeds the ABO, the charge to stockholders' equity would be reversed for such plan. Alternatively, if the fair market value of pension plan assets experiences further declines or the discount rate is reduced, additional charges to accumulated other comprehensive income (loss) may be required at a future year -end. At December 31, 2002, for all of the company's defined benefit pension plans, the ABO exceeded the fair value of pension plan assets. At December 31, zoo3, the difference between the ABO and the fair value of pension plan assets decreased. As a result at December 31, 2003, the company adjusted its minimum pension liability as follows: decreased its pension plan liabilities by approximately $30o million, increased its investments at equity by approximately $6 million relating to the company's share of the change in NUL's minimum pension liability, decreased prepaid pension asset by $56 million, and offset these changes by a credit to other comprehensive income of approximately $250 million, or $165 million net of tax. This accounting has no effect on the company's net income, liquidity or cash flows. Financial ratios and net worth covenants in the company's credit agreements and debt securities are unaffected by charges or credits to stockholders' equity caused by adjusting a minimum pension liability. Factors that may affect future results From time to time, the company provides information containing "forward - looking" statements, as defined in the Private Securities Litigation Reform Act of 1495• Forward - looking statements provide current expectations of future events and include any statement that does not directly relate to any historical or current fact. Words such as "anticipates," "believes," "expects' "intends," "plans," "projects" and similar expressions may identify such forward - looking statements. All forward - looking statements rely on assumptions and are subject to risks, uncertainties and other factors that could cause the company's actual results to differ materially from expectations. These other factors include, but are not limited to, those discussed below. Any forward- looking statement speaks only as of the date on which that statement is made. The company assumes no obligation to update any forward - looking statement to reflect events or circumstances that occur after the date on which the statement is made. 29 The company's business is affected by changes in general economic and business conditions. The company continues to face a challenging economic environment. In this environment, many organizations are delaying planned purchases of information technology products and services. If the level of demand for the company's products and services declines in the future, the company's business could be adversely affected. The company's business could also be affected by acts of war, terrorism or natural disasters. Current world tensions could escalate and this could have unpredictable consequences on the world economy and on our business. The information services and technology markets in which the company operates include a large number of companies vying for customers and market share both domestically and internationally. The company's competitors include systems integrators, consulting and other professional services firms, outsourcing providers, infrastructure services providers, computer hardware manufacturers and software providers. Some of the company s competitors may develop competing products and services that offer better price- performance or that reach the market in advance of the company's offerings. Some competitors also have or may develop greater financial and other resources than the company, with enhanced ability to compete for market share, in some instances through significant economic incentives to secure contracts. Some also may be better able to compete for skilled professionals. Any of these factors could have an adverse effect on the company's business. Future results will depend on the company's ability to mitigate the effects of aggressive competition on revenues, pricing and margins and on the company's ability to attract and retain talented people. The company operates in a highly volatile industry characterized by rapid technological change, evolving technology standards, short product life cycles and continually changing customer demand patterns. Future success will depend in part on the company's ability to anticipate and respond to these market trends and to design, develop, introduce, deliver or obtain new and innovative products and services on a timely and cost - effective basis. The company may not be successful in anticipating or responding to changes in technology, industry standards or customer preferences, and the market may not demand or accept its services and product offerings. In addition, products and services developed by competitors may make the company's offerings less competitive. The company's future results will depend in part on its ability to continue to accelerate growth in outsourcing and infrastructure services. The company's outsourcing contracts are multiyear engagements under which the company takes over management of a client's technology operations, business processes or networks. The company will need to maintain a strong financial position in order to grow its outsourcing business. In a number of these arrangements, the company hires certain of its clients' employees and may become responsible for the related employee obligations, such as pension and severance commitments. In addition, system development activity on outsourcing contracts may require the company to make significant upfront investments. As long -term relationships, these outsourcing contracts provide a base of recurring revenue. However, in the early phases of these contracts, gross margins may be lower than in later years when the work force and facilities have been rationalized for efficient operations, and an integrated systems solution has been implemented. Future results will depend on the companys ability to effectively complete the rationalizations and solution implementations. Future results will also depend in part on the company's ability to drive profitable growth in systems integration and consulting. The company's systems integration and consulting business has been adversely affected by the current economic slowdown. In this economic environment, customers have been delaying systems integration projects. The company's ability to grow profitably in this business will depend in part on an improvement in economic conditions and a pick -up in demand for systems integration projects. It will also depend on the success of the actions the company has taken to enhance the skills base and management team in this business and to refocus the business on integrating best -of- breed, standards -based solutions to solve client needs. In addition, profit margins in this business are largely a function of the rates the company is able to charge for services and the chargeability of its professionals. If the company is unable to maintain the rates it charges, or appropriate chargeability, for its professionals, profit margins will suffer. The rates the company is able to charge for services are affected by a number of factors, including clients' perception of the company's ability to add value through its services; introduction of new services or products by the company or its competitors; pricing policies of competitors; and general economic conditions. Chargeability is also affected by a number of factors, including the company's ability to transition employees from completed projects to new engagements, and its ability to forecast demand for services and thereby maintain an appropriate head count. 30 Future results will also depend, in part, on market acceptance of the company's high -end enterprise servers. In its technology business, the company is focusing its resources on high -end enterprise servers based on its Cellular Multiprocessing (CMP) architecture. The company's CMP servers are designed to provide mainframe -class capabilities with compelling price - performance by making use of standards -based technologies such as Intel chips and Microsoft operating system software. The company has transitioned both its legacy C1earPath servers and its Intel -based ES7000s to the CMP platform, creating a common platform for all the company's high -end server lines. Future results will depend, in part, on customer acceptance of the new CMP -based C1earPath Plus systems and the company's ability to maintain its installed base for C1earPath and to develop next- generation ClearPath products that are purchased by the installed base. In addition, future results will depend, in part, on the company's ability to generate new customers and increase sales of the Intel -based ES7000 line. The company believes there is significant growth potential in the developing market for high -end, Intel -based servers running Microsoft operating system software. However, competition in this new market is likely to intensify in coming years, and the company's ability to succeed will depend on its ability to compete effectively against enterprise server competitors with more substantial resources and its ability to achieve market acceptance of the ES7000 technology by clients, systems integrators, and independent software vendors. A number of the company's long -term contracts for infrastructure services, outsourcing, help desk and similar services do not provide for minimum transaction volumes. As a result, revenue levels are not guaranteed. In addition, some of these contracts may permit termination or may impose other penalties if the company does not meet the performance levels specified in the contracts. Some of the company's systems integration contracts are fixed- priced contracts under which the company assumes the risk for delivery of the contracted services and products at an agreed -upon fixed price. At times the company has experienced problems in performing some of these fixed -price contracts on a profitable basis and has provided periodically for adjustments to the estimated cost to complete them. Future results will depend on the company's ability to perform these services contracts profitably. The company frequently enters into contracts with governmental entities. Risks and uncertainties associated with these government contracts include the availability of appropriated funds and contractual provisions that allow governmental entities to terminate agreements at their discretion before the end of their terms. The success of the company's business is dependent on strong, long -term client relationships and on its reputation for responsiveness and quality. As a result, if a client is not satisfied with the company's services or products, its reputation could be damaged and its business adversely affected. In addition, if the company fails to meet its contractual obligations, it could be subject to legal liability, which could adversely affect its business, operating results and financial condition. The company has commercial relationships with suppliers, channel partners and other parties that have complementary products, services or skills. Future results will depend, in part, on the performance and capabilities of these third parties, on the ability of external suppliers to deliver components at reasonable prices and in a timely manner, and on the financial condition of, and the companys relationship with, distributors and other indirect channel partners. Approximately 53% of the company's total revenue derives from international operations. The risks of doing business internationally include foreign currency exchange rate fluctuations, changes in political or economic conditions, trade protection measures, import or export licensing requirements, multiple and possibly overlapping and conflicting tax laws, and weaker intellectual property protections in some jurisdictions. The company cannot be sure that its services and products do not infringe on the intellectual property rights of third parties, and it may have infringement claims asserted against it or against its clients. These claims could cost the company money, prevent it from offering some services or products, or damage its reputation. 31 UNISYS CORPORATION Consolidated Financial Statements Consolidated Statements of Income Year Ended December 31 (Millions, except per share data) 2003 2002 2001 Revenue Services $4,691.9 $4,285.1 $4,444.6 Technology 1,219.3 1,322.3 1,573.5 5,911.2 5,607.4 6,018.1 Costs and expenses Cost of revenue: Services 3,654.7 3,244.9 3,624.6 Technology 541.5 674.0 910.2 4,196.2 3,918.9 4,534.8 Selling, general and administrative expenses 1,007.2 992.0 1,156.3 Research and development expenses 280.1 273.3 331.5 5,483.5 5,184.2 6,022.6 Operating income (loss) 427.7 423.2 (4.5) Interest expense 69.6 66.5 70.0 Other income (expense), net 22.4 (23.9) 1.5 Income (loss) before income taxes 380.5 332.8 (73.0) Provision (benefit) for income taxes 121.8 109.8 (5.9) Net income (lose) $ 258.7 $ 223.0 $ (67.1) Earnings (loss) per share Basic $ .79 $ .69 $ (.21) Diluted $ .78 $ .69 $ (.21) See notes to consolidated financial statements 32 UNISYS CORPORATION Consolidated Balance Sheets December 31 (Millions) 2003 2002 Assets 2,258.0 1,946.0 Current assets 1,352.7 1,282.4 Cash and cash equivalents $ 635.9 $ 301.8 Accounts and notes receivable, net 1,027.8 955.6 Inventories: 477.5 321.0 Parts and finished equipment 121.7 165.3 Work in process and materials 116.9 127.5 Deferred income taxes 270.0 311.3 Other current assets 85.7 84.5 Total 2,258.0 1,946.0 Properties 1,352.7 1,282.4 Less - Accumulated depreciation and amortization 928.5 835.6 Properties, net 424.2 446.8 Outsourcing assets, net 477.5 321.0 Marketable software, net 332.2 311.8 Investments at equity 153.3 111.8 Prepaid pension cost 55.5 Deferred income taxes 1,384.6 1,476.0 Goodwill 177.5 160.6 Other long-term assets 211.8 207.4 Total $ 5,474.6 $ 4,981.4 Liabilities and stockholders' equity Current liabilities Notes payable Current maturities of long -term debt Accounts payable Other accrued liabilities Income taxes payable Total long -term debt Accrued pension liability Other long -term liabilities Stockholders' equity Common stock Accumulated deficit Other capital Accumulated other comprehensive loss Stockholders' equity $ 17.7 $ 77.3 2.2 4.4 513.8 532.5 1,305.7 1,$12.8 214.1 228.9 2,053.5 2,155.9 1,048.3 748.0 433.6 727.7 544.0 4918 3.3 3.3 1414.8) 1673.5) 3,818.6 3,763.1 (2,01 1.9) (2,236.9) 1,395.2 856.0 Total $ 5,474.6 $ 4,981.4 See notes to consolidated financial statements. 33 UNISYS CORPORATION Consolidated Statements of Cash Flows Year Ended December 31 (Millions) 2003 2002 2001 Cash fIowa from operating activities Net income (loss) $ 258.7 $ 223.0 $ (67.1) Add (deduct) items to reconcile net income (loss) to net cash provided by operating activities: Depreciation and amortization of properties and outsourcing assets 219.0 176.8 156.0 Amortization: Marketable software 123.6 121.0 145.5 Goodwill 16.5 Decrease (increase) in deferred income taxes, net 57.2 39.4 144.4) (Increase) decrease in receivables, net (67.7) 156.5 72.3 Decrease in inventories 541 53.0 79.7 Increase (decrease) in accounts payable and other accrued liabilities 30.3 (129.2) (145.8) Decrease in income taxes payable (4.8) 115.5) (58.0) (Decrease) increase in other liabilities (70.9) (61.2) 247.8 Increase in other assets (50.9) (251.2) (238.8) Other (19.4) 11.9 38.7 Net cash provided by operating activities 529.2 324.5 202.4 Cash flows from investing activities Proceeds from investments 5,054.0 3,447.1 3,028.7 Purchases of investments (5,122.1) (3,485.4) (3,009.0) Investment in marketable software (144.1) (139.9) (136.81 Capital additions of properties and outsourcing assets (251.3) (196.2) (199.4) Purchases of businesses 15.3) (4.8) (9.11 Net cash used for investing activities (468.8) (379.2) (325.61 Cash flows from financing activities Proceeds from issuance of long -term debt 293.3 536.5 Net reduction in short -term borrowings (64.5) (1.6) (127.7) Proceeds from employee stock plans 31.5 29.0 316 Payments of long -term debt (4.81 (2.1) (370.81 Net cash provided by financing activities 255.5 25.3 71.6 Effect of exchange rate changes on cash and cash equivalents 18.2 5.3 (.51 Increase [decrease) in cash and cash equivalents 334.1 1241) (52.1) Cash and cash equivalents, beginning of year 301.8 325.9 378.0 Cash and cash equivalents, end of year $ 635.9 $ 301.8 $ 325.9 See notes to consolidated financial statemenrs 34 UNISYS CORPORATION Consolidated Statements of Stockholders' Equity Sea notes to consolidated financial statements 35 Other, Accumulated (63.1) (63.1) Comprehensive loss Principally Other Comprehensive Common Stock Accumulated Treasury Stock Paid -In Comprehensive Income (Millions) Shares Par Value Deficit Shares Cost Capital Loss (Loss) Balance at December 31, 2000 317.3 $3.2 S (829.4) (1.9) $142.1) $3,698.1 $ (643.7) Issuance of stock under stock Balance at December 31, 2001 322.5 3.2 1896.5) 11.9) (42.3) 3,755.1 option and other plans 5.2 (.2) 52.2 Net loss (67.1) option and other plans $ (67.1) Other comprehensive loss: 1.1) 46.9 Translation adjustments 223.0 (67.5) Cash flow hedges 223.0 Other comprehensive loss: 4.4 Sea notes to consolidated financial statements 35 (63.1) (63.1) Comprehensive loss $ (130.2) Unearned compensation .2 Tax benefit related to stock plans 4.6 Balance at December 31, 2001 322.5 3.2 1896.5) 11.9) (42.3) 3,755.1 (706.8) Issuance of stock under stock option and other plans 5.6 .1 1.1) 46.9 Net income 223.0 $ 223.0 Other comprehensive loss: Translation adjustments (33.8) Cash flow hedges (5.9) Minimum pension liability (1,490.4) (1,530.1) 11,530.11 Comprehensive loss $(1,307.1 Tax benefit related to stock plans 3.5 Balance at December 31, 2002 328.1 3.3 (673.5) (1.9) (42.41 3,805.5 (2,236.9) Issuance of stock under stock option and other plans 5.7 (.2) 50.8 Net income 258.7 $ 258.7 Other comprehensive income: Translation adjustments 65.3 Cash flow hedges (5.1) Minimum pension liability 164.8 225.0 226.0 Comprehensive income $ 483.7 Tax benefit related to stock plans 4.9 Balance at December 31. 2003 333.8 $3.3 $(414.8) (1.9) $(416) $3,861.2 $(2,011.9) Sea notes to consolidated financial statements 35 UNISYS CORPORATION Notes to Consolidated Financial Statements Summary of significant accounting policies Principles of consolidation The consolidated financial statements include the accounts of all majorkyowned subsidiaries. Investments in companies representing ownership interests of 20% to 50% are accounted for by the equity method. Use of estimates The preparation of financial statements in conformity with generally accepted accounting principles in the United States requires management to make estimates and assumptions that affect the amounts reported in the financial statements and accompanying notes. Actual results could differ from those estimates and assumptions. Cash equivalents All short-term investments purchased with a maturity of three months or less are classified as cash equivalents. Inventories Inventories are valued at the lower of cost or market. Cost is determined principally on the first -in, f rstout method. Properties Properties are carried at cost and are depreciated over the estimated lives of such assets using the straight -line method. The principal depreciation rates used are summarized below: Rate per Year I ) Buildings 2 -5 Machinery and office equipment 5 -25 Rental equipment 25 Internal -use software 12 -33 Advertising costs The company expenses all adver- tising costs as they are incurred. The amount charged to expense during 2003, 2002 and 2001 was $17.9 million, $29.3 million and $35.6 million, respectively. Revenue recognition The company recognizes rev- enue when persuasive evidence of an arrangement exists, delivery has occurred, the fee is fixed or determinable and collectibility is probable. Revenue from hardware sales is recognized upon ship- ment and the passage of title. Outside the United States, the company recognizes revenue even if it retains a form of title to products delivered to customers, provided the sole pur- pose is to enable the company to recover the products in the event of customer payment default and the arrangement does not prohibit the customer's use of the product in the ordinary course of business. Revenue from software licenses is recognized at the inception of the initial license term and upon execution of an extension to the license term. Revenue for post - contract soft- ware support arrangements, which are marketed separately, is recorded on a straight -line basis over the support period for multi -year contracts and at inception for contracts of one year or less. The company also enters into multiple - element arrangements, which may include any combination of hard- ware, software or services. In these transactions, the 36 company allocates the total revenue to be earned under the arrangement among the various elements based on their relative fair value. For software, and elements for which soft- ware is essential to the functionality, the allocation is based on vendor - specific objective evidence of fair value. The company recognizes revenue on multiple - element arrangements only if: (i) any undelivered products or services are not essential to the functionality of the delivered products or services, (ii) the com- pany has an enforceable claim to receive the amount due in the event it does not deliver the undelivered products or ser- vices, (iii) there is evidence of the fair value for each undeliv- ered product or service, and (iv) the revenue recognition criteria otherwise have been met for the delivered elements. For software arrangements with extended payment terms beyond 12 months, the company generally recognizes rev- enue at the inception of the arrangement, provided that the arrangement meets the software revenue recognition criteria discussed above, considering, among other things, the history of successfully collecting under the original payment terms without providing refunds or concessions. Revenue from equipment and software maintenance is rec- ognized on a straight -line basis as earned over the lives of the respective contracts. Revenue for operating leases is recognized on a monthly basis over the term of the lease and for sales -type leases at the inception of the lease term. Revenue and profit under systems integration contracts are recognized either on the percentage-of-completion method of accounting using the cost-to-cost method, or when services have been performed, depending on the nature of the project. For contracts accounted for on the percentageof- completion basis, revenue and profit recognized in any given accounting period are based on estimates of total projected contract costs; the estimates are continually re- evaluated and revised, when necessary, throughout the life of a contract. Any adjust- ments to revenue and profit due to changes in estimates are accounted for in the period of the change in estimate. When estimates indicate that a loss will be incurred on a contract upon completion, a provision for the expected loss is recorded in the period in which the loss becomes evident. Revenue from time and materials service contracts and out- sourcing contracts is recognized as the services are provided. Income taxes Income taxes are provided on taxable income at the statutory rates applicable to such income. Deferred taxes have not been provided on the cumulative undistributed earnings of foreign subsidiaries because such amounts are expected to be reinvested indefinitely. Marketable software The cost of development of com- puter software to be sold or leased, incurred subsequent to establishment of technological feasibility, is capitalized and amortized to cost of sales over the estimated revenue - producing lives of the products, but not in excess of three years following product release. Outsourcing assets Costs on outsourcing contracts are generally expensed as incurred. However, certain costs incurred upon initiation of an outsourcing contract are deferred and expensed over the contract life. These costs consist principally of initial customer setup and employment obligations related to employees assumed. Additionally, marketable software develop- ment costs incurred to develop specific outsourcing application software products are capitalized once technological feasibility has been established. Capitalized software used in outsourcing arrangements is amortized based on current and estimated future revenue from the product. The amortization expense is not less than straight -line amortization expense over the product's useful life. Fixed assets acquired in connection with outsourcing contracts are capitalized and depreciated in accor- dance with the fixed asset policy described above. Recoverability of outsourcing assets is subject to various busi- ness risks, including the timely completion and ultimate cost of the outsourcing solution, realization of expected profitability of existing outsourcing contracts and obtaining additional outsourcing cus- tomers. These risks could result in an impairment of a portion of the associated assets, which are tested for recoverability quarterly. Translation of foreign currency The local currency is the functional currency for most of the company's international subsidiaries, and as such, assets and liabilities are translated into U.S. dollars at year -end exchange rates. Income and expense items are translated at average exchange rates during the year. Translation adjustments resulting from changes in exchange rates are reported in other comprehensive income. All other exchange gains and losses on intercompany balances are reported in other income (expense), net. For those international subsidiaries operating in hyper- inflationary economies, the U.S. dollar is the functional currency, and as such, nonmonetary assets and liabilities are translated at historical exchange rates and monetary assets and liabilities are translated at current exchange rates. Exchange gains and losses arising from translation are included in other income (expense), net. Stock -based compensation plans The company has stock -based employee compensation plans, which are described more fully in Note 17. The company applies the recognition and measurement principles of APB Opinion No. 25, "Accounting for Stock Issued to Employees," and related interpretations in accounting for those plans. For stock options, no compensation expense is reflected in net income as all stock options granted had an exercise price equal to or greater than the market value of the underlying common stock on the date of grant. In addition, no compensation expense is recog- nized for common stock purchases under the Employee Stock Purchase Plan. Pro forma information regarding net income and earnings per share is required by Statement of Financial Accounting Standards (" SFAS ") No. 123, "Accounting for Stock -Based Compensation," and has been determined as if the company had accounted for its stock plans under the fair value method of SFAS No. 123. For purposes of the pro forma disclosures, the estimated fair value of the options is amortized to expense over the options' vesting period. The following table illustrates the effect on net income and earnings per share if the company had applied the fair value recognition provisions of SFAS No 123. Year ended December 31 $ (Millions, except per share data) 2003 2002 2001 Net income (loss) as reported $258.7 $ 223.0 $ (67.1) Deduct total stock -based employee .64 $ compensation expense determined $ (.37) under fair value method for all $ awards, net of tax (47.7) (49.0) (51.8) Pro forma net income (loss) $211.0 $ 174.0 $(118.9) Earnings (lossl per share Basic - as reported $ .79 $ .69 $ (.211 Basic - pro forma $ .64 $ .54 $ (.37) Diluted - as reported $ .78 $ .59 $ 1-21) Diluted - pro forma $ .63 $ .54 $ (.37) Retirement benefits The company accounts for its defined benefit pension plans in accordance with SFAS No. 87, "Employers' Accounting for Pensions," which requires that amounts recognized in financial statements be determined on an actuarial basis. A significant element In determining the company's pension income (expense) is the expected long -term rate of return on plan assets. This expected return is an assumption as to the average rate of earnings expected on the funds invested or to be invested to provide for the benefits included in the projected pen- sion benefit obligation. The company applies this assumed long -term rate of return to a calculated value of plan assets, which recognizes changes in the fair value of plan assets in a systematic manner over four years. This pro- duces the expected return on plan assets that is included in pension income (expense). The difference between this expected return and the actual return on plan assets is deferred. The net deferral of past asset gains (losses) affects the calculated value of plan assets and, ultimately, future pension income (expense). At December 31 of each year, the company determines the fair value of its pension plan assets as well as the dis- count rate to be used to calculate the present value of plan liabilities. The discount rate is an estimate of the interest rate at which the pension benefits could be effectively set- tled. In estimating the discount rate, the company looks to rates of return on high - quality, fixed- income investments currently available and expected to be available during the period to maturity of the pension benefits. The company specifically uses a portfolio of fixed - income securities, which receive at least the second - highest rating given by a recognized rating agency. Reclassifications Certain prior -year amounts have been reclassified to conform with the 2003 presentation. 37 2 Earnings per share The following table shows how earnings per share were computed for the three years ended December 31, 2003. Year ended December 31 (Millions, except per share data) Basic earnings (loss) per share computation Net income (loss) Weighted average shares (thousands) Basic earnings (loss) per share Diluted earnings (loss) per share computation Net income (loss) Weighted average shares (thousands) Plus incremental shares from assumed conversions of employee stock plans Adjusted weighted average shares Diluted earnings lloss) per share 2003 2002 2001 $ 258.7 $ 223.0 $ (67.1) 329,349 323,526 318,207 $ .79 $ .69 $ 1.21) $ 258.7 $ 223.0 $ (67.1) 329,349 3.599 323,526 1,218 318,207 332,948 (1.4) 324,744 318,207 $ .78 $ .69 $ (.21) The following shares were not included in the computation of diluted earnings per share because the option prices were above the average market price of the company's common stock, (in thousands): 2003, 22,005; 2002, 35,415; 2001, 28,653. 3 Acquisitions and goodwill In November 2003, the company purchased KPMG's Belgian consulting business for approximately $3.3 million of cash plus assumed liabilities. This business provides consulting, systems integration, network infrastructure, outsourcing and technology solutions. The purchase price will be allocated to assets acquired and liabilities assumed based on their estimated fair values. The preliminary allocation of the purchase price assumes that the excess of the purchase price over the assets acquired and liabilities assumed will be allocated to goodwill. There can be no assurance that this preliminary allocation will represent the final purchase price allocation. The purchase price alloca- tion will be finalized in the first quarter of 2004 after finalization of appraisals. Effective January 1, 2002, the company adopted SFAS No. 142, "Goodwill and Other Intangible Assets." SFAS No. 142 no longer permits the amortization of goodwill and indefinite -lived intangible assets. Instead, these assets must be reviewed annually for impair- ment in accordance with this statement. SFAS No. 142 requires a company to perform an impairment test on an annual basis and whenever events or circumstances occur indicating that the goodwill may be impaired. During 2003, the company performed its annual impairment test, which indicated that the company's goodwill was not impaired. 38 The changes in the carrying amount of goodwill by segment for the years ended December 31, 2003 and 2002, were as follows: (Millions) Total services Technology Balance at December 31, 2001 $159.0 $41.9 $117.1 Acquisition 3.0 3.0 Foreign currency translation adjustments (1.4) (2.4) 1.0 Balance at December 31, 2002 160.6 42.5 118.1 Acquisition 10.3 10.3 Foreign currency translation adjustments 6.6 4.5 2.1 Balance at December 31, 2003 $177.5 $57.3 $120.2 The company's net income and earnings per share adjusted to exclude goodwill amortization were as follows: Year ended December 31, (Millions, except per share data) 2003 2002 2001 Reported net income (loss) $ 258.7 $ 223.0 $(67.1) Add back goodwill amortization, net of tax Adjusted net income (loss) Earnings (loss) per share Basic As reported Goodwill amortization As adjusted Diluted As reported Goodwill amortization As adjusted 4 Accounting changes Effective January 1, 2003, the company adopted SFAS No. 145, "Rescission of FASB Statements No. 4, 44 and 64, Amendment of FASB Statement No. 13, and Tech- nical Corrections." SFAS No. 145 rescinds SFAS No. 4, which required that all gains and losses from extinguish- ment of debt be reported as an extraordinary item. Pre- viously recorded losses on the early extinguishment of debts that were classified as an extraordinary item in prior periods have been reclassified to other income (expense), net. The adoption of SFAS No. 145 had no effect on the company's consolidated financial position, consolidated results of operations, or liquidity. Effective January 1, 2003, the company adopted SFAS No. 146, "Accounting for Costs Associated with Exit or Disposal Activities." SFAS No. 146 requires com- panies to recognize costs associated with exit or dis- posal activities when they are incurred rather than at the date of a commitment to an exit or disposal plan. SFAS No. 146 replaces previous accounting guidance provided by Emerging Issues Task Force ( "EITF ") Issue No. 94 -3, "Liability Recognition for Certain Employee Termination Benefits and Other Costs to Exit an Activity (including Certain Costs Incurred in a Restructuring)," and is effec- tive for the company for exit or disposal activities initi- ated after December 31, 2002. Adoption of this statement had no material impact on the company's consolidated financial position, consolidated results of operations, or liquidity. Effective January 1, 2003, the company adopted the Financial Accounting Standards Board's ( "FASB ") Interpre- tation No. 45, "Guarantor's Accounting and Disclosure Requirements for Guarantees, Including Indirect Guarantees of Indebtedness of Others, an Interpretation of FASB Statements No. 5, 57, and 107 and Rescission of FASB Interpretation No. 34" ('FIN 45'). The interpretation requires that upon issuance of a guarantee, the entity must recognize a liability for the fair value of the obligation it assumes under that guarantee. In addi- tion, FIN 45 requires disclosures about the guarantees that an entity has issued, including a roll - forward of the entity's product warranty liabilities. This interpretation is intended to improve the comparability of financial reporting by requiring identical accounting for guarantees issued with separately identified consideration and guarantees issued without separately identi- fied consideration. Adoption of this Interpretation had no mate- rial impact on the company's consolidated financial position, consolidated results of operations, or liquidity. Effective July 1, 2003, the company adopted the FASB's consensus on EITF Issue No. 00 -21, "Accounting for Revenue Arrangements with Multiple Deliverables." This issue addresses how to account for arrangements that may involve the delivery or performance of multiple products, services, and /or rights to use assets. The final consensus of this issue is applicable to agreements entered into in fiscal periods beginning after June 15, 2003- Adoption of this issue had no material impact on the company's consolidated financial position, consolidated results of operations, or liquidity. In January 2003, the FASB issued Interpretation No. 46 ( "FIN 46 "), "Consolidation of Variable Interest Entities, an interpretation of ARB 51." The primary objectives of this inter- pretation are to provide guidance on the identification of enti- ties for which control is achieved through means other than through voting rights ( "variable interest entities ") and how to determine when and which business enterprise (the "primary beneficiary") should consolidate the variable interest entity. This new model for consolidation applies to an entity in which either (i) the equity investors (if any) do not have a controlling financial interest; or (ii) the equity investment at risk is insuffi- cient to finance that entity's activities without receiving addi- tional subordinated financial support from other parties. In addition, FIN 46 requires that the primary beneficiary well as all other enterprises with a significant variable interest in a variable interest entity, make additional disclosures. Certain disclosure requirements of FIN 46 were effective for financial statements issued after January 31, 2003. In December 2003, the FASB issued FIN 46 (revised December 2003), "Consoli- dation of Variable Interest Entities" ( "FIN 46 -13") to address certain FIN 46 implementation issues. The effective dates and impact of FIN 46 and FIN 46-R are as follows: (i) Special -pur- pose entities ( "SPEs ") created prior to February 1, 2003. The company must apply either the provisions of FIN 46 or early adopt the provisions of FIN 46-R at the end of the first interim or annual reporting period ending after December 15, 2003. (ii) Non -SPEs created prior to February 1, 2003. 39 14.1 $ 258.7 $223.0 $(53.0) $ .79 $ .69 $ (.21) .04 $ .79 $ .69 $ (.17) $ .78 $ ,69 $ (.21) .04 $ .78 $ .69 $ (.17) 4 Accounting changes Effective January 1, 2003, the company adopted SFAS No. 145, "Rescission of FASB Statements No. 4, 44 and 64, Amendment of FASB Statement No. 13, and Tech- nical Corrections." SFAS No. 145 rescinds SFAS No. 4, which required that all gains and losses from extinguish- ment of debt be reported as an extraordinary item. Pre- viously recorded losses on the early extinguishment of debts that were classified as an extraordinary item in prior periods have been reclassified to other income (expense), net. The adoption of SFAS No. 145 had no effect on the company's consolidated financial position, consolidated results of operations, or liquidity. Effective January 1, 2003, the company adopted SFAS No. 146, "Accounting for Costs Associated with Exit or Disposal Activities." SFAS No. 146 requires com- panies to recognize costs associated with exit or dis- posal activities when they are incurred rather than at the date of a commitment to an exit or disposal plan. SFAS No. 146 replaces previous accounting guidance provided by Emerging Issues Task Force ( "EITF ") Issue No. 94 -3, "Liability Recognition for Certain Employee Termination Benefits and Other Costs to Exit an Activity (including Certain Costs Incurred in a Restructuring)," and is effec- tive for the company for exit or disposal activities initi- ated after December 31, 2002. Adoption of this statement had no material impact on the company's consolidated financial position, consolidated results of operations, or liquidity. Effective January 1, 2003, the company adopted the Financial Accounting Standards Board's ( "FASB ") Interpre- tation No. 45, "Guarantor's Accounting and Disclosure Requirements for Guarantees, Including Indirect Guarantees of Indebtedness of Others, an Interpretation of FASB Statements No. 5, 57, and 107 and Rescission of FASB Interpretation No. 34" ('FIN 45'). The interpretation requires that upon issuance of a guarantee, the entity must recognize a liability for the fair value of the obligation it assumes under that guarantee. In addi- tion, FIN 45 requires disclosures about the guarantees that an entity has issued, including a roll - forward of the entity's product warranty liabilities. This interpretation is intended to improve the comparability of financial reporting by requiring identical accounting for guarantees issued with separately identified consideration and guarantees issued without separately identi- fied consideration. Adoption of this Interpretation had no mate- rial impact on the company's consolidated financial position, consolidated results of operations, or liquidity. Effective July 1, 2003, the company adopted the FASB's consensus on EITF Issue No. 00 -21, "Accounting for Revenue Arrangements with Multiple Deliverables." This issue addresses how to account for arrangements that may involve the delivery or performance of multiple products, services, and /or rights to use assets. The final consensus of this issue is applicable to agreements entered into in fiscal periods beginning after June 15, 2003- Adoption of this issue had no material impact on the company's consolidated financial position, consolidated results of operations, or liquidity. In January 2003, the FASB issued Interpretation No. 46 ( "FIN 46 "), "Consolidation of Variable Interest Entities, an interpretation of ARB 51." The primary objectives of this inter- pretation are to provide guidance on the identification of enti- ties for which control is achieved through means other than through voting rights ( "variable interest entities ") and how to determine when and which business enterprise (the "primary beneficiary") should consolidate the variable interest entity. This new model for consolidation applies to an entity in which either (i) the equity investors (if any) do not have a controlling financial interest; or (ii) the equity investment at risk is insuffi- cient to finance that entity's activities without receiving addi- tional subordinated financial support from other parties. In addition, FIN 46 requires that the primary beneficiary well as all other enterprises with a significant variable interest in a variable interest entity, make additional disclosures. Certain disclosure requirements of FIN 46 were effective for financial statements issued after January 31, 2003. In December 2003, the FASB issued FIN 46 (revised December 2003), "Consoli- dation of Variable Interest Entities" ( "FIN 46 -13") to address certain FIN 46 implementation issues. The effective dates and impact of FIN 46 and FIN 46-R are as follows: (i) Special -pur- pose entities ( "SPEs ") created prior to February 1, 2003. The company must apply either the provisions of FIN 46 or early adopt the provisions of FIN 46-R at the end of the first interim or annual reporting period ending after December 15, 2003. (ii) Non -SPEs created prior to February 1, 2003. 39 The company is required to adopt FIN 46-8 at the end of 5 Fourth - quarter charges the first interim or annual reporting period ending after March 15, 2004. (iii) All entities, regardless of whether an 2001 charge In response to the weak economic environment SPE, that were created subsequent to January 31, 2003. in 2001, the company took actions to reduce its cost structure. In The provisions of FIN 46 were applicable for variable the fourth quarter of 2001, the company recorded a pretax charge interests in entities obtained after January 31, 2003. The of $276.3 million, or $.64 per share, primarily for a work -force adoption of the provisions applicable to SPEs and all reduction of approximately 3,750 people (1,700 in the United other variable interests obtained after January 31, 2003 States and 2,050 outside the United States). Of the total, 1,910 did not have a material impact on the company's consoli- people left the company in 2001, which included 764 people who dated financial position, consolidated results of opera- accepted an early retirement program in the United States. For tions, or liquidity. The company is currently evaluating those employees who accepted the early retirement program, the impact of adopting FIN 46-R applicable to Non -SPEs cash requirements were provided through the company's pension created prior to February 1, 2003 but does not expect a plan. These activities did not significantly affect the company's material impact. operations while they were ongoing. A further breakdown of the In May 2003, the EITF reached a consensus on Issue individual components of these costs follows: No. 03 -5, 'Applicability of AICPA Statement of Position 97 -2, Software Revenue Recognition, to Non - Software work -Force Idle Deliverables in an Arrangement Containing More -Than- Reductions(1) Lease Incidental Software" The FASB ratified this consensus in l$ in Millions) Headcount Total U.S. Int'I Costs Other(2) August 2003. EITF Issue No. 03 -5 affirms that AICPA work -force Statement of Position 97 -2 applies to non - software deliv- reductions(1) erables, such as hardware and services, in an arrange- Early retirement 764 $ 58.8 $ 58.8 ment if the software is essential to the functionality of Involuntary the non - software deliverables. The adoption of EITF reductions 3,001 145.9 18.8 $127.1 Issue No. 03 -5 did not have a material impact on the company's consolidated financial position, consolidated Subtotal 3.765 204.7 77.6 127.1 results of operations, or liquidity. $ Other 71.6 2s.5 $ a2.t Effective January 1, 2002, the company adopted Total charge 3.765 276.3 77.6 127.1 29.5 42.1 SFAS No. 143, "Accounting for Asset Retirement Obliga- Utilized (1,910) (127.2) (62.5) (22.6) (421) tions." This statement addresses financial accounting Balance at and reporting for legal obligations associated with the Dec. 31, 2001 1,855 149.1 15.1 104.5 29.5 - retirement of tangible long -lived assets that result from Additional the acquisition, construction, development and normal provisions 996 31.9 8.7 21.8 1.4 operation of a long -lived asset. SFAS No. 143 requires Utilized (1,890) (98.01 (13.4) (75.5) (9.1) that the fair value of a liability for an asset retirement Reversal of obligation be recognized in the period in which it is excess reserves (330) (20.2) (4.6) (12.4) 13.2) incurred if a reasonable estimate of fair value can be Other(31 4.8 1.6 5.3 12.1) made. The associated asset retirement costs are capital- ized as part of the carrying amount of the long -lived Balance at Dec. 31, 2002 631 67.6 7.4 43.7 16.5 - asset and subsequently allocated to expense over the Additional asset's useful life. Adoption of SFAS No. 143 had no provisions 4 2.2 .8 1.4 effect on the company's consolidated financial position, Utilized (523) (54.6) (7.6) (37.7) (9.3) consolidated results of operations, or liquidity. Reversal of Effective January 1, 2002, the company adopted excess reserves (112) (4.6) (13) (2.9) SFAS No. 144, "Accounting for the Impairment or Dis- Other(3) 73 2.2 .8 (1.7) posal of Long -Lived Assets." This statement addresses Balance at financial accounting and reporting for the impairment or Dec. 31. 2003 - $ 11.9 $ .3 $ 4.7 $ 6.9 $ - disposal of long -lived assets. SFAS No. 144 requires an impairment loss to be recognized only if the carrying Expected future utilization: amounts of long -lived assets to be held and used are not 2004 S 8.8 $ .3 $ 3.9 $ 4.6 recoverable from their expected Undiscounted future 2005 and thereafter 3.1 .8 2.3 cash flows. Adoption of SFAS No. 144 had no effect on the company's consolidated financial position, consoli- 11 Includes severance, notice pay, madicar and other beneffs. dated results Of Operations, Or liquidity. (2) Includes product andprogram discontinuances, principally representing a provision for asset write offs. 13) Changes in estimates and translation adjustments. 40 Most of the 2001 fourth - quarter charges were related to work -force reductions ($204.7 million), principally sever- ance costs. Other employee - related costs are not signifi- cant. Approximately $58.8 million of this total was funded from the company's U.S. pension plan. The remainder of the cost related to work -force reductions as well as idle lease costs, discussed below, is being funded from the company's operating cash flow. The charge related to idle lease costs was $29.5 million and relates to contractual obligations (reduced by estimated sublease income) existing under long -term leases of vacated facilities. Estimates of the amounts and timing of sublease income were based on discussions with real estate brokers that considered the marketability of the individual property involved. The charge for product and program discontinuances was $42.1 million and princi- pally represented capitalized marketable software and inventory related to products or programs that were dis- continued at December 31, 2001. These actions have lowered the company's cost base (principally employee - related costs), thereby making the company better able to compete in the marketplace. Cash expenditures related to the 2001 restructuring charges in 2003, 2002 and 2001 were approximately $53.6 million, $95.4 million and $23.3 million, respec- tively. Cash expenditures are expected to be approxi- mately $8.8 million for 2004 and $3.1 million in total for all subsequent years principally for idle lease costs. During 2002, the company reduced the accrued work- force portion of the reserve by $17.0 million. This reduc- tion related to 330 employees who were designated for involuntary termination but were retained as a result of job positions that became available due to voluntary ter- minations or acceptance of alternative positions within the company. In addition, given the continuing weak eco- nomic environment, the company identified new restruc- turing actions and recorded an additional provision of $30.5 million, for a work -force reduction of 996 people. The 2001 fourth - quarter charge was recorded in the following statement of income classifications: cost of revenue, $163.8 million; selling, general and administra- tive expenses, $83.2 million; research and development expenses, $27.6 million; and other income (expense), net, $1.7 million. 2000 charge As a result of a strategic business review of its operations in 2000, the company took actions to focus its resources on value -added business opportunities, de- emphasize or eliminate low- return busi- nesses and lower its cost base. In the fourth quarter of 2000, the company recorded a pretax charge of $127.6 million, or $.29 per diluted share, primarily for a work- force reduction of 2,000 people (1,400 in the United States and 600 outside the United States). Of the total, approximately 500 people left the company in 2001 and 1,300 in 2000. Of the total work -force reduction, 742 people accepted an early retirement program in the United States. For those employees who accepted the early retirement program, cash requirements were pro- vided through the company's pension plan. Cash expen- ditures related to the 2000 restructuring charges were $1.2 million in 2003, $5.5 million in 2002 and $39.3 mil- lion in 2001. Cash expenditures for 2004 are expected to be approximately $.8 million. A further breakdown of the individual components of these costs follows: Work -Force Reductionsll) (Millions) Total U. S. Int't Other 12) Work -force reductions (1) Early retirement $ 57.8 $57.8 Involuntary reductions 60.9 13.3 $47.6 Subtotal 118.7 71.1 47.6 Other (2) 8.9 $8.9 Total charge 127.6 71.1 47.6 8.9 Utilized (71,9) (58.71 17.8) 15.4) Balance at Dec. 31, 2000 55.7 12.4 39.8 3.5 Utilized (40.0) (8.8) (30.5) (.7) Other(3) (7.1) (2.3) (4.0) 0) Balance at Dec. 31, 2001 8.6 1.3 5.3 2.0 Utilized (6.6) (1.3) (3.3) (2.0) Balance at Dec. 31, 2002 2.0 - 2.0 Utilized (1.2) (1.2) Balance at Dec. 31, 2003 $ .8 $ - $ .8 $ - Expected future utilization: 2004 $ .8 $ .8 (I) includes severance, nonce pay, medical and Other benefits. 0 Includes facilities costs. and product and program disconlinuances. (3) Includes changes in estimates, reversals of excess reserves, translawn adjustments and additional provisions. In 2001, there was a reduction in accrued work -force provisions principally for the reversal of unneeded reserves due to approximately 200 voluntary terminations. Prior -year charges As a result of prior -year actions related to a strategic realignment of the company's business in 1997 and 1995, cash expenditures in 2003, 2002 and 2001 were $3.6 million, $3.5 million and $8.9 million, respectively. At December 31, 2003, a $5.8 million accrued liability remains principally for idle lease costs. Cash expenditures for 2004 are expected to be approximately $2.5 million. 41 6 Accounts receivable In December 2003, the company renewed its agreement to sell, through Unisys Funding Corporation I, a wholly owned subsidiary, interests in eligible U.S. trade accounts receivable for up to $225 million. The agree- ment is renewable annually, at the purchasers' option, for up to three years. Unisys Funding Corporation I has been structured to isolate its assets from creditors of Unisys. The company received proceeds of $2.3 billion, in each of 2003, 2002 and 2001, from ongoing sales of accounts receivable interests under the program. At December 31, 2003 and 2002, the company retained subordinated interests of $144 million and $120 million, respectively, in the associated receivables; these receiv- ables have been included in accounts and notes receiv- able, net in the accompanying consolidated balance sheets. As collections reduce previously sold interests, interests in new eligible receivables can be sold, subject to meeting certain conditions. At December 31, 2003 and 2002, receivables of $225 million and $199 million, respectively, were sold and therefore removed from the accompanying consolidated balance sheets. The selling price of the receivables interests reflects a discount based on the A -1 rated commercial paper bor- rowing rates of the purchasers 0.1% at December 31, 2003, and 1.5% at December 31, 2002). The company remains responsible for servicing the underlying accounts receivable, for which it will receive a fee of 0.5% of the outstanding balance, which it believes represents ade- quate compensation. The company estimates the fair value of its retained interests by considering two key assumptions: the payment rate, which is derived from the average life of the accounts receivable, which is less than 60 days, and the rate of expected credit losses, Based on the company's favorable collection experience and very short-term nature of the receivables, both assumptions are considered to be highly predictable. Therefore, the company's estimated fair value of its retained interests in the pool of eligible receivables is approximately equal to book value, less the associated allowance for doubtful accounts. The discount on the sales of these accounts receivable during the years ended December 31, 2003, 2002 and 2001, was $3.4 million, $4.2 million and $12.2 million, respectively. These discounts are recorded in other income (expense), net in the accompanying consolidated statements of income. 42 Revenue recognized in excess of billings on services contracts, or unbilled accounts receivable, was $146.7 mil- lion and $133.3 million at December 31, 2003 and 2002, respectively. Such amounts are included in accounts and notes receivable, net. At December 31, 2003 and 2002, the company had long -term accounts and notes receivable, net of $141.0 million and $144.0 million, respectively. Such amounts are included in other long -term assets in the accompanying consolidated balance sheets. 7 Income taxes Year ended December 31 (Millions) 2003 2002 2001 Income (loss) before income taxes United States $ 177.7 $ 125.7 $ 69.4 Foreign 202.8 207.1 (142.4) Total income (loss) before income taxes $ 380.5 $ 332.6 $ 173.0) Provision for income taxes Current United States $ (34.5) $ (6.5) $ (1.6) Foreign 49.1 62.4 24.0 State and local 17.2 7.7 3.5 Total 31.8 63.6 25.9 Deferred $133.2 $116.5 $ (25.6) United States 45.9 19.2 (16.2) Foreign 44.1 27.0 (15.61 Total 90,0 46.2 (31.81 Total provision (benefiU for income taxes $ 121.8 $ 109.8 $ (5.9) Following is a reconciliation of the provision for income taxes at the United States statutory tax rate to the provision (benefit) for income taxes as reported: Year ended December 31 (Millions) 2003 2002 2001 United States statutory income tax (benefit) $133.2 $116.5 $ (25.6) Foreign tax differential 17.4 (4.11 44.6 State taxes 11.1 5.0 2.3 U.S. federal tax refund claims, audit issues and other matters 136.3) (16.0) 126.1) Other (3.6) 8.4 0.1) Provision (benefit) for income taxes S 121.8 $109.8 S (5.9) The tax effects of temporary differences and carryforwards that give rise to significant portions of deferred tax assets and liabilities at December 31, 2003 and 2002, were as follows: December 31 (Millions) 2003 2002 Deferred tax assets 2,205.6 2,323.5 Capitalized research and (4503) (451.5) development 5 534.5 $ 556.2 Tax loss carryfomards 395.2 384.4 Foreign tax credit carryforwards 139.3 98.3 Other tax credit carryforwards 238.8 238.1 Capitalized intellectual $ 172.1 $ 146.0 property rights 254.3 302.4 Pensions 156.2 259.8 Postretirement benefits 64.3 70.5 Depreciation 66.2 52.6 Employee benefits 50.4 44.4 Restructuring 8.3 29.7 Other 298.1 277.1 SFAS No. 109 requires that deferred tax assets be reduced by a valuation allowance if it is more likely than not that some portion or all of the deferred tax asset will not be realized. The valuation allowance at December 31, 2003, applies principally to tax loss carryforwards and temporary differences relating to state and local and certain foreign taxing jurisdictions that, in management's opinion, are more likely than not to expire unused. During 2003, the net decrease in the valuation allowance was $.8 million. Cumulative undistributed earnings of foreign sub- sidiaries, for which no U.S. income or foreign withholding taxes have been recorded, approximated $825 million at December 31, 2003. As the company intends to per- manently reinvest all such earnings, no provision has been made for income taxes that may become payable upon distribution of such earnings, and it is not practi- cable to determine the amount of the related unrecog- nized deferred income tax liability. While there are no specific plans to distribute the undistributed earnings in the immediate future, where economically appropriate to do so, such earnings may be remitted. Cash paid, net of refunds, during 2003, 2002 and 2001 for income taxes was $64.4 million, $72.3 million and $97.0 million, respectively. At December 31, 2003, the company has U.S. federal and state and local tax loss carryforwards and foreign tax loss carryforwards for certain foreign subsidiaries, the tax effect of which is approximately $395.2 million. These carryforwards will expire as follows (in millions): 2004, $5.9; 2005, $7.0; 2006, $9.9; 2007, $10.5; 2008, $20.6; and $341.3 thereafter. The company also has available tax credit carryforwards of approximately $378.1 million, which will expire as follows (in millions): 2004, $9.3; 2005, $30.9; 2006, $ -; 2007, $75.1; 2008, $51.9; and $210.9 thereafter. The company has substantial amounts of net deferred tax assets. Failure to achieve forecasted taxable income might affect the ultimate realization of such assets. Fac- tors that may affect the company's ability to achieve suf- ficient forecasted taxable income include, but are not limited to, the following: increased competition, a decline in sales or margins, loss of market share, delays in product availability or technological obsolescence. 8 Properties Properties comprise the following: December 31 (Millions) 2003 2002 Land 2,205.6 2,323.5 Valuation allowance (4503) (451.5) Total deferred tax assets $1,754.9 $1,872.0 Deferred tax liabilities 179.5 167.0 Sales -type leases $ 72.2 $ 78.5 Other 99.9 67.5 Total deferred tax liabilities $ 172.1 $ 146.0 Net deferred tax assets $1,582.8 $1,726.0 SFAS No. 109 requires that deferred tax assets be reduced by a valuation allowance if it is more likely than not that some portion or all of the deferred tax asset will not be realized. The valuation allowance at December 31, 2003, applies principally to tax loss carryforwards and temporary differences relating to state and local and certain foreign taxing jurisdictions that, in management's opinion, are more likely than not to expire unused. During 2003, the net decrease in the valuation allowance was $.8 million. Cumulative undistributed earnings of foreign sub- sidiaries, for which no U.S. income or foreign withholding taxes have been recorded, approximated $825 million at December 31, 2003. As the company intends to per- manently reinvest all such earnings, no provision has been made for income taxes that may become payable upon distribution of such earnings, and it is not practi- cable to determine the amount of the related unrecog- nized deferred income tax liability. While there are no specific plans to distribute the undistributed earnings in the immediate future, where economically appropriate to do so, such earnings may be remitted. Cash paid, net of refunds, during 2003, 2002 and 2001 for income taxes was $64.4 million, $72.3 million and $97.0 million, respectively. At December 31, 2003, the company has U.S. federal and state and local tax loss carryforwards and foreign tax loss carryforwards for certain foreign subsidiaries, the tax effect of which is approximately $395.2 million. These carryforwards will expire as follows (in millions): 2004, $5.9; 2005, $7.0; 2006, $9.9; 2007, $10.5; 2008, $20.6; and $341.3 thereafter. The company also has available tax credit carryforwards of approximately $378.1 million, which will expire as follows (in millions): 2004, $9.3; 2005, $30.9; 2006, $ -; 2007, $75.1; 2008, $51.9; and $210.9 thereafter. The company has substantial amounts of net deferred tax assets. Failure to achieve forecasted taxable income might affect the ultimate realization of such assets. Fac- tors that may affect the company's ability to achieve suf- ficient forecasted taxable income include, but are not limited to, the following: increased competition, a decline in sales or margins, loss of market share, delays in product availability or technological obsolescence. 8 Properties Properties comprise the following: December 31 (Millions) 2003 2002 Land 5 5.5 $ 5.3 Buildings 145.7 140.5 Machinery and office equipment 927.3 868.1 Internal -use software 179.5 167.0 Rental equipment 94.7 101.5 Total propenias $1,352.7 $1,282.4 9Investments at equity and minority interests Substantially all of the company's investments at equity consist of Nihon Unisys, Ltd., a publicly traded Japanese company ( "NUL "). NUL is the exclusive supplier of the company's hardware and software products in Japan. The company considers its investment in NUL to be of a long -term strategic nature. For the years ended December 31, 2003, 2002 and 2001, total direct and indi- rect sales to NUL were approximately $275 million, $270 million and $340 million, respectively. At December 31, 2003, the company owned approximately 28% of NUL's common stock that had a market value of approximately $258 million. The company's share of NUL's earnings or 43 losses is recorded semiannually on a quarter -lag basis in other income (expense), net in the company's consoli- dated statements of income. During the years ended December 31, 2003, 2002 and 2001, the company recorded equity income or (loss) related to NUL of $18.2 million, $(11.8) million and $10.4 million, respectively. The year ended December 31, 2003, included $12.2 million income related to the company's share of a subsidy recorded by NUL upon transfer of a portion of its pension plan obligation to the Japanese government. The year ended December 31, 2002, included a $21.8 million charge related to the company's share of an early retire- ment charge recorded by NUL. The company has approxi- mately $185 million of retained earnings that represents undistributed earnings of NUL. Summarized financial information for NUL as of and for its fiscal years ended March 31 is as follows: (Millions) 2003 2002 2001 Year ended March 31 1,178.8 1,257.6 1,304.9 Revenue $2,535.5 $2,451.6 $2,819.2 Gross profit 845.9 646.0 615.5 Pretax income (loss) 128.4 (101.2) 653 Net income (loss) 68.5 (62.4) 44.0 At March 31 $ 400.0 $ 400.0 7'/6% senior notes due 2008 Current assets 1,178.8 1,257.6 1,304.9 Noncurrent assets 903.1 892.3 709.6 Current liabilities 772.0 936.3 913.7 Noncurrent liabilities 782.7 851.2 357.0 Minority interests 14.2 10.7 11.0 The company owns 51 % of Intelligent Processing Solutions Limited ( "iPSL "), a UK -based company, which provides high - volume payment processing. iPSL is fully consolidated in the company's financial statements. The minority owners' interests are reported in other long -term liabilities ($48.9 million and $52.8 million at December 31, 2003 and 2002, respectively) and in other income (expense), net in the company's financial statements. 10 Debt Long -term debt comprises the following: December 31 (Millions) 2003 2002 6'fa% senior notes due 2006 $ 400.0 $ 400.0 7'/6% senior notes due 2008 200.0 200.0 7r /4% senior notes due 2005 150.0 150.0 67/8% senior notes due 2010 300.0 Other, not of unamortized discounts .5 2.4 Total 1,050.5 752.4 Less - current maturities 2.2 4.4 Total long- term debt $1,048.3 $748.0 44 Total long -term debt maturities in 2004, 2005, 2006, 2007 and 2008 are $2.2 million, $151.6 million, $400.6 million, $.9 million and $200.3 million, respectively. Cash paid during 2003, 2002 and 2001 for interest was $76.6 million, $73.6 million and $92.9 million, respectively. Capitalized interest expense during 2003, 2002 and 2001 was $14.5 million, $13.9 million and $11.8 million, respectively. At December 31, 2003, the company had short-term borrowings of $17.7 million, borrowed principally by international subsidiaries, at a weighted average interest rate at December 31 of 7.4%. In March 2003, the company issued $300 million of 6 718% senior notes due 2010. In 2001, the company completed a cash tender offer for $319.2 million principal amount of its 11 V4% senior notes due 2004 and redeemed, at a premium, the remaining $15.0 million outstanding principal amount of such notes. As a result of these actions, the company recorded a charge of $26.5 million, for the premium paid, unamortized debt - related expenses and transaction costs. The company has a $500 million credit agreement that expires in May 2006. As of December 31, 2003, there were no borrowings under this facility. Borrowings under the agreement bear interest based on the then - current LIBOR or prime rates and the company's credit rating. The credit agreement contains financial and other covenants, including maintenance of certain financial ratios, a minimum level of net worth and limitations on certain types of transactions, which could reduce the amount the company is able to borrow. Events of default under the credit agreement include failure to perform covenants, material adverse change, change of control and default under other debt aggregating at least $25 million. If an event of default were to occur under the credit agreement, the lenders would be entitled to declare all amounts borrowed under it immediately due and payable. The occurrence of an event of default under the credit agreement could also cause the acceler- ation of obligations under certain other agreements and the termination of the company's U.S. trade accounts receivable facility. In addition, the company and certain international subsidiaries have access to certain uncom- mitted lines of credit from various banks. At December 31, 2003, the company met all covenants and conditions under its various lending and funding agreements. 11 Other accrued liabilities Other accrued liabilities (current) comprise the following: December 31 (Millions) 2003 2002 Customers' deposits and $ 19.2 $ 16.1 prepayments S 409.6 $ 343.1 Deferred revenue 216.1 222.6 Payrolls and commissions 1973 210.5 Accrued vacations 128.6 1131 Taxes other than income taxes 72.9 74.5 Restructuring- 12.1 65.8 Other 269.1 283.2 Total other accrued liabilities $1,305.7 $1,312.8 -At December 31, 2003 and 2002, an additional $6.4 million and $12.6 million, respectively, was reported in other long -term liabilities on the consolidated balance sheets. 1 2 Product warranty For equipment manufactured by the company, the company warrants that it will substantially conform to relevant published specifications for 12 months after shipment to the customer. The company will repair or replace, at its option and expense, items of equipment that do not meet this warranty. For company software, the company warrants that it will conform substantially to then - current published functional specifications for 90 days from customer's receipt. The company will pro- vide a workaround or correction for material errors in its software that prevent its use in a production environment. The company estimates the costs that may be incurred under its warranties and records a liability in the amount of such costs at the time revenue is recognized. Factors that affect the company's warranty liability include the number of units sold, historical and antici- pated rates of warranty claims and cost per claim. The company quarterly assesses the adequacy of its recorded warranty liabilities and adjusts the amounts as necessary. Presented below is a reconciliation of the aggregate product warranty liability: Year ended December 31 (Millions) 2003 2002 Balance at January 1 $ 19.2 $ 16.1 Accruals for warranties issued during the period 23.5 16.4 Settlements made during the period 08.3) (15.2) Changes in liability for pre - existing warranties during the period, including expirations (3.6) 1.9 Balance at December 31 $ 20.8 $ 19.2 3 Rental expense and commitments Rental expense, less income from subleases, for 2003, 2002 and 2001 was $165.6 million, $159.0 million and $161.6 million, respectively. Minimum net rental commitments under noncance- lable operating leases outstanding at December 31, 2003, substantially all of which relate to real properties, were as follows: 2004, $130.0 million; 2005, $102.0 million; 2006, $82.8 million; 2007, $66.1 million; 2008, $50.6 million; and $225.5 million thereafter. Such rental commitments have been reduced by minimum sublease rentals of $126.6 mil- lion, due in the future under noncancelable subleases. In June 2003, the company entered into a new lease for its facility at Malvern, PA, that replaces a former lease that was due to expire in March 2005. The new lease has a 60 -month term expiring in June 2008. Under the new lease, the company has the option to purchase the facility at any time for approximately $34 million. In addition, if the company does not exercise its purchase option and the lessor sells the facility at the end of the lease term for a price that is less than approximately $34 million, the company will be required to guarantee the lessor a residual value on the property of up to $29 million. The lessor is a substantive independent leasing company that does not have the characteristics of a variable interest entity as defined by FIN 46 and is therefore not consolidated by the company. The company has accounted for the lease as an oper- ating lease, and therefore, neither the leased facility nor the related debt is reported in the company's accompa- nying consolidated balance sheets. As stated above, under the lease, the company is required to provide a guaranteed residual value on the facility of up to $29 million to the lessor at the end of the 60 -month lease term. The com- pany recognized a liability of approximately $1 million for the related residual value guarantee. The value of the guarantee was determined by computing the estimated present value of probability- weighted cash flows that might be expended under the guarantee, discounted using the company's incremental borrowing rate of approximately 6.5 %. The company has recorded a liability for the fair value of the obligation with a corresponding asset recorded as prepaid rent, which will be amortized to rental expense over the lease term. The liability will be subsequently assessed and adjusted to fair value as necessary. At December 31, 2003, the company had outstanding standby letters of credit and surety bonds of approxi- mately $280 million related to performance and payment guarantees. On the basis of experience with these arrangements, the company believes that any obligations that may arise will not be material. 45 14 Financial instruments Due to its foreign operations, the company is exposed to the effects of foreign currency exchange rate fluctua- tions on the U.S, dollar. The company uses derivative financial instruments to manage its exposure to market risks from changes in foreign currency exchange rates. The derivative instruments used are foreign exchange forward contracts and foreign exchange options. Certain of the company's qualifying derivative financial instruments have been designated as cash flow hedging instruments. Such instruments are used to manage the company's currency exchange rate risks for forecasted transactions involving intercompany sales and royalties and third -party royalty receipts. For the forecasted inter- company transactions, the company generally enters into derivative financial instruments for a six -month period by initially purchasing a three -month foreign exchange option, which, at expiration, is replaced with a three -month for- eign exchange forward contract. For forecasted third -party royalty receipts, which are principally denominated in Japanese yen, the company generally purchases 12 -month foreign exchange forward contracts. The company recognizes the fair value of its cash flow hedge derivatives as either assets or liabilities in its con- solidated balance sheets. Changes in the fair value related to the effective portion of such derivatives are recognized in other comprehensive income until the hedged item is recognized in earnings, at which point the accumulated gain or loss is reclassified out of other comprehensive income and into earnings. The ineffective portion of such derivative's change in fair value is immediately recognized in earnings. The amount of ineffectiveness recognized in earnings during the years ended December 31, 2003, 2002 and 2001, related to cash flow hedge derivatives for third -party royalties was a gain of approximately $.5 million, $1.7 million and $4.2 million, respectively. The ineffective amount related to cash flow hedge derivatives for intercompany transactions was immaterial. Both the amounts reclassified out of other comprehensive income and into earnings and the ineffectiveness recognized in earnings related to cash flow hedge derivatives for fore- casted intercompany transactions are recognized in cost of revenue, and in revenue for forecasted third -party royalties. Substantially all of the accumulated income and loss in other comprehensive income related to cash flow hedges at December 31, 2003, is expected to be reclassified into earnings within the next 12 months. When a cash flow hedge is discontinued because it is probable that the original forcasted transaction will not occur by the end of the original specified time period, the company is required to reclassify any gains or losses out of other comprehensive income and into earnings. 46 The amount of such reclassifications during the years ended December 31, 2003, 2002 and 2001, was immaterial. In addition to the cash flow hedge derivatives men- tioned above, the company enters into foreign exchange forward contracts that have not been designated as hedging instruments. Such contracts generally have maturities of one month and are used by the company to manage its exposure to changes in foreign currency exchange rates principally on intercompany accounts. The fair value of such instruments is recognized as either assets or liabilities in the company's consolidated balance sheets, and changes in the fair value are recognized immediately in earnings in other income (expense), net in the company's consolidated statements of income. During the years ended December 31, 2003, 2002 and 2001, the company recognized foreign exchange transaction gains or (losses) in other income (expense), net in its consolidated statements of income of $(11.3) million, $(1.2) million and $21.4 million, respectively. Financial instruments also include temporary cash investments and customer accounts receivable. Tempo- rary investments are placed with creditworthy financial institutions, primarily in oversecuritized treasury repur- chase agreements, Eurotime deposits, or commercial paper of major corporations. At December 31, 2003, the company's cash equivalents principally have maturities of less than one month. Due to the short maturities of these instruments, they are carried on the consolidated balance sheets at cost plus accrued interest, which approximates market value. Realized gains or losses during 2003 and 2002, as well as unrealized gains or losses at December 31, 2003, were immaterial. Receiv- ables are due from a large number of customers that are dispersed worldwide across many industries. At December 31, 2003 and 2002, the company had no significant concentrations of credit risk. The carrying amount of cash and cash equivalenm notes payable and long -term debt approximates fair value. 1 5 Litigation There are various lawsuits, claims and proceedings that have been brought or asserted against the company. Although the ultimate results of these lawsuits, claims and proceedings are not currently determinable, manage- ment does not expect that these matters will have a material adverse effect on the company's consolidated financial position, consolidated results of operations, or liquidity. 16 Segment information The company has two business segments: Services and Technology. The products and services of each segment are marketed throughout the world to commercial businesses and governments. Revenue classifications by segment are as follows: Services - systems integration and consulting, outsourcing, infrastructure services, and core maintenance; Technology - enterprise -class servers and specialized technologies. The accounting policies of each business segment are the same as those described in the summary of signifi- cant accounting policies. Intersegment sales and transfers are priced as if the sales or transfers were to third parties. Accordingly, the Technology segment recognizes interseg- mertt revenue and manufacturing profit on hardware and software shipments to customers under Services con- tracts. The Services segment, in turn, recognizes cus- tomer revenue and marketing profit on such shipments of company hardware and software to customers. The Services segment also includes the sale of hardware and software products sourced from third parties that are sold to customers through the company's Services channels. In the company's consolidated statements of income, the manufacturing costs of products sourced from the Technology segment and sold to Services customers are reported in cost of revenue for Services. Also included in the Technology segment's sales and operating profit are sales of hardware and software sold to the Services segment for internal use in Services engagements. The amount of such profit included in operating income of the Technology segment for the years ended December 31, 2003, 2DD2 and 2001, was $24.4 million, $19.2 million and $21,8 million, respectively. The profit on these transactions is eliminated in Corporate. The company evaluates business segment perfor- mance on operating Income exclusive of restructuring charges and unusual and nonrecurring items, which are included In Corporate. All corporate and centrally incurred costs are allocated to the business segments based principally on revenue, employees, square footage or usage. Corporate assets are principally cash and cash equivalents, prepaid pension assets and deferred income taxes. The expense or income related to corporate assets is allocated to the business segments. In addition, corporate assets include an offset for interests in accounts receivable that have been recorded as sales in accordance with SFAS No. 140, because such receivables are included in the assets of the business segments. No single customer accounts for more than 10% of revenue. Revenue from various agencies of the U.S. Government, which is reported in both business segments, approximated $895 million, $579 million and $623 million in 2003, 2002 and 2001, respectively. Included in these amounts are $165 million, $86 million and $17 million, respectively of revenue associated with products leased to various agencies of the U.S. Government and sold to a third -party finance company. A summary of the company's operations by business segment for 2003, 2002 and 2001 is presented below: (Millions) Total Corporate Services Technology 2003 Customer revenue $5,911.2 $ 4,691.9 $1,219.3 Intersegment $ (319.8) 25.9 293.9 Total revenue $5,971.2 $ 1379.81 S4,717.8 Operating income $ 427.7 $ 1.6) S 236.2 S 192.1 (loss) Depreciation and 193.6 148 0 amortization 342.6 5,474.6 2,244.1 2,256.3 974.2 Total assets Investments at 1.1 152 2 equity Capital expenditures 153.3 251.3 11.8 202.3 37.2 2002 Customer revenue $6.607.4 $ 4,285.1 $ 1,322.3 Intersegment $ (331.91 38.8 293.1 Total revenue $5.607.4 $ (331.91 $ 4,323.9 $ 1,615.4 Operating income $ 423.2 $ Q1.41 $ 256.0 $ 188.6 (loss) Depreciation and 167.2 130.6 amortization 297.6 4,981.4 1,995.3 2,002.0 984.1 Total assets Investments at 110.7 equity 111.8 196.2 1.1 15.3 142.4 38.5 Capital expenditures 2001 Customer revenue $6,018.1 $ 4.443 6 $ 1.7833.6 $ (363 4) Intersegment Total revenue $6,018.1 $ (363.4) $ 4,518.4 $1,863.1 operating income $ (4.5) $ (315.7) S 94.7 S 216.5 (loss) Depreciation and 155.1 182.9 amortization 318.0 5,769.1 2,617.6 2,009.3 1,142.2 Total assets Investments at 1.8 210.5 equity Capital expenditures 212.3 199.4 28.9 113.8 56.7 47 Presented below is a reconciliation of total business segment operating income to consolidated income (loss) before income taxes: Year ended December 31 (Millions) 2003 2002 2001 Total segment operating $2,986.1 $3,151.5 635.9 income $ 428.3 $ 444.6 $ 311.2 Interest expense (69.6) (66.5) (70.0) Other income (expense), net 22.4 (23.9) 1.5 Corporate and eliminations 1.6) 121.4) (39.4) Fourth - quarter charges 572.1 556.6 (276.3) Total income (loss) before income taxes $ 380.5 $ 332.8 $ (73.0) Presented below is a reconciliation of total business segment assets to consolidated assets: December 31 (Millions) 2003 2002 2001 Total segment assets Cash and cash equivalents Prepaid pension assets Deferred income taxes Elimination for sale of receivables Other corporate assets u $3,230.5 $2,986.1 $3,151.5 635.9 301.8 325.9 55.5 2,316.7 2,357.4 2,598.9 1,221.0 1,654.6 1,787.3 1,090.4 (264.4) (273.5) (191.8) 162.5 179.7 172.1 Total assets $5,474.6 $4,981.4 $5,769.1 Customer revenue by classes of similar products or services, by segment, is presented below: Year ended December 31 (Millions) 2003 2002 2001 Services $5,911.2 United States $2,757.1 $2,500.7 $2,595.3 Systems integration 837.4 749.3 823.9 Other foreign 2,316.7 2,357.4 2,598.9 and consulting $1.595.8 $1,455.6 $1,465.3 Outsourcing 1,682.7 1,441.2 1,302.3 Infrastructure services 841.3 831.7 1,094.9 Core maintenance 572.1 556.6 582.1 4,691.9 4,285.1 4,444.6 Technology Enterprise-class servers 928.7 955.9 1,048.5 Specialized technologies 290.6 366.4 525.0 1,219.3 1,322.3 1,573.5 Total $5,911.2 $5,607.4 $6,018.1 Geographic information about the company's revenue, which is principally based on location of the selling organization, and properties, is presented below: (Millions) 2003 2002 2001 Revenue $5,911.2 United States $2,757.1 $2,500.7 $2,595.3 United Kingdom 837.4 749.3 823.9 Other foreign 2,316.7 2,357.4 2,598.9 Total $5,911.2 $5,607.4 $6,018.1 Properties, net United States $ 278.7 $ 293.9 $ 320.4 United Kingdom 44.9 39.9 39.0 Other foreign 100.6 113.0 109.4 Total $ 424.2 $ 446.8 $ 468.8 17 Employee plans Stock plans Under the company's plans, stock options, stock appreciation rights, restricted stock, and restricted stock units may be granted to officers, directors and other key employees. Options have been granted to purchase the com- pany's common stock at an exercise price equal to or greater than the fair market value at the date of grant. Options generally have a maximum duration of 10 years and become exercisable in annual installments over a four -year period following date of grant. Restricted stock and restricted stock units have been granted and are subject to forfeiture until the expiration of a specified period of service commencing on the date of grant. Compensation expense resulting from the awards is charged to income ratably from the date of grant until the date the restrictions lapse and is based on fair market value at the date of grant. During the years ended December 31, 2003, 2002 and 2001, $.9 million, $.2 million and $.6 million was charged to income, respectively. The company has a worldwide Employee Stock Purchase Plan ( "ESPP "), which enables substantially all regular employees to purchase shares of the com- pany's common stock through payroll deductions of up to 10% of eligible pay with a limit of $25,000 per employee. The price the employee pays is 85% of the market price at the beginning or end of a calendar quarter, whichever is lower. During the years ended December 31, 2003, 2002 and 2001, employees purchased newly issued shares from the company for $25.4 million, $24.1 million and $28.8 million, respectively. U.S. employees are eligible to participate in an employee savings plan. Under this plan, employees may contribute a percentage of their pay for investment in various investment alternatives. Company matching con- tributions of 2% of pay are made in the form of newly issued shares of company common stock. The charge to income related to the company match for the years ended December 31, 2003, 2002 and 2001, was $18.8 million, $17.9 million and $18.0 million, respectively. The company applies APB Opinion 25 for its stock plans and the disclosure-only option under SFAS No. 123. Accordingly, no compensation expense is recog- nized for stock options granted and for common stock purchases under the ESPP. Year ended December 31 (Shares in thousands) 2003 Weighted Avg. Shares Exercise Price Outstanding at $22.56 22,085 beginning of year 38,890 $19.73 Granted 5,327 8.93 Exercised (7361 8.39 Forfeited and expired (119831 16.84 The fair value of stock options is estimated at the date of grant using a Black - Scholes option pricing model with the following weighted average assumptions for 2003, 2002 and 2001, respectively: risk -free interest rates of 2.89 %, 4.44% and 5.08%, volatility factors of the expected market price of the company's common stock of 55%, a weighted average expected life of the options of five years and no dividends. A summary of the status of stock option activity follows: 2002 2001 Weighted Avg. Weighted Avg. Shares Exercise Price Shares Exercise Price 28,653 $22.56 22,085 $24.44 13,873 14.39 9,122 17.75 (647) 7.68 (697) 6.91 (2.989) 29.18 (1,857) 27.07 Outstanding at end of year 41,498 18.70 38,890 19.73 28,653 22.56 Exercisable at end of year 21,704 22.18 15,570 21.94 11,709 19.90 Shares available for granting Shares Life ' options at end of year 19,560 12,449 2,477 Weighted average fair value of options granted during the year $ 4.20 December 31, 2003 $ 5.95 (Shares in thousands) Outstanding Exercisable Exercise Average Average Average Price Range Shares Life ' Exercise Price Shares Exercise Price $5.75 -11.79 9,795 6.71 $ 8.64 4,013 $ 8.78 $11.79 -12.11 8,912 8.13 12.10 2,144 12.10 $12.11 -22.72 10,287 6.52 19.19 6,225 20.15 $22.72 -34.13 12,376 6.21 30.80 9,194 31.52 $34.13 -51.73 128 5.33 38.55 128 38.55 Total 41,498 6.81 18.70 21,704 22.18 Average contractual remaining life in years. $ 9.80 49 Retirement benefits December 31 is the measurement date for both U.S. and international defined benefit pension plans. Retirement plans' funded status and amounts recognized in the company's consolidated balance sheets at December 31, 2003 and 2002, follow: U.S. Plans International Plans December 31 (Millions) 2003 2002 2003 2002 Change in benefit obligation Benefit obligation at beginning of year $4,123.9 $3,869.0 $1,317.8 $ 947.0 Service cost 58.8 36.0 41.3 27.6 Interest cost 267.4 278.9 80.0 64.3 Plan participants' contributions 8.5 7.2 Plan amendments (74,0) 2.2 1.2 Actuarial loss 194.2 319.1 92.8 117.3 Benefits paid 1292.7) (305.1) (44.5) (49.71 Effect of terminations, settlements and curtailments 5.0 2.6 Foreign currency translation adjustments 211.4 152.1 Other* 82.7 48.2 Benefit obligation at end of year $4,351.6 $4,123.9 $1,797.2 $1,317.8 Accumulated benefit obligation $4.3272 $4,121.5 $1.561.5 S1,149.1 Change in plan assets Fair value of plan assets at beginning of year $3,574.4 $4,300.1 $ 974.6 $ 914.9 Actual return on plan assets 841.9 (428.2) 118.8 (111.6) Employer contribution 5.9 7.6 56.6 34.6 Plan participants' contributions 8.5 7.2 Benefits paid (292.71 (305.1) (44.5) (49.7) Foreign currency translation adjustments 161.5 126.2 Other* 80.7 53.0 Fair value of plan assets at end of year $4,129.5 $3,574.4 $1,356.2 $ 974.6 Funded status $ (222.1) $ (549.5) $ (441.0) $ (343.2) Unrecognized net actuarial loss 1,601.3 1,865.9 640.6 514.6 Unrecognized prior service (benefit) cost (62.4) (74.4) 11.1 6.8 Net amount recognized $1,316.8 $1,242.0 $ 210.7 $ 178.2 Amounts recognized in the consolidated balance sheets consist of: Prepaid pension cost $ 55.5 $ - Intangible asset 8.8 6.8 Accrued pension liability S (197.7) $ (547.1) (235.9) (180.6) Accumulated other comprehensive loss ** 1,514.5 1,789.1 382.3 352.0 $1,316.8 $1,242.0 $ 210.7 $ 178.2 • Represents amounts of pension assets and liabilities assumed by the company at the inception of certain outsourcing contracts related to the customers' employees hired by the company. •'In addition to amounts recognized in other comprehensive loss relating to company pension plans, the company recorded $74.0 million and $80.4 million at December 31, 2003 and 2002, respectively, in other comprehensive loss related to its share of Nuts minimum pension liability adjustment. Information for plans with an accumulated benefit obligation in excess of plan assets at December 31, 2003 and 2002, follows: December 31 (Millions) 2003 2002 Projected benefit obligation $5,691.1 $5,441.7 Accumulated benefit obligation 5.574.0 5,270.6 Fair value of plan assets 5,146.1 4,549.0 50 Net periodic pension cost for 2003, 2002 and 2001 includes the following components: Year ended December 31 (Millions) Service cost Interest cost Expected return on plan assets Amortization of prior service (benefit) cost Amortization of asset or liability at adoption Recognized net actuarial loss (gain) Settlement/curtailment (gain) loss Net periodic pension (income) cost U.S. Plans International Plans 2003 2002 2001 2003 2002 2001 $ 58.8 $ 36.0 $ 35.2 $ 41.3 $ 27.6 $ 22.3 267.4 278.9 273.7 80.0 64.3 55.1 (403.6) (459.8) (476.2) 197.2) (91.4) (79.4) (12.0) (5.6) (5.5) 1.0 .8 .9 .3 20.6 1.7 1.2 14.0 2.6 (1.0) (A) 7.1 1.8 3.4 $ (68.8) $ (149.2) $(171.6) $ 46.2 $ 5.7 $ 1.6 Weighted - average assumptions used to determine net periodic pension cost for the years ended December 31 were as follows: Discount rate 6.75^/ 7.50% 8.00% 5.86% 6.25% 6.57% Rate of compensation increase 5.40% 5.40% 5.40% 3.64% 3.80% 3.77% Expected long -term rate of return on assets" 8.75% 9.50% 10.00% 7.64% 8.20% 8.54% ' For 2004, the company has assumed that the expected long -term rate of return on plan assets for its U.S. defined benefit pension plan will be 9.75 %. Weighted- average assumptions used to determine benefit obligations at December 31 were as follows: Discount rate Rate of compensation increase The allocation for the U.S. pension plan at December 31, 2003 and 2002, follows: December 31 2003 2002 Asset Category 100% 100% Equity securities 68% 64% Debt securities 24 27 Real estate 6 8 Cash 2 1 Total 100% 100% The company's investment policy targets and ranges for each asset category are as follows: Asset Category Target Range Equity securities 68% 65 -71% Debt securities 26% 23 -29% Real estate 6% 3-9% Cash 0% 0-5% The company periodically reviews its asset allocation taking into consideration plan liabilities, plan payment streams and then - current capital market assumptions. The actual asset allocation is monitored monthly relative to the established policy targets and ranges. If the actual asset allocation is close to or out of any of the ranges, a review is conducted. Rebal- ancing will occur toward the target allocation with due consideration given to the liquidity of the investments and transaction costs. 6.25% 6.75% 7.50% 5.30% 5.86% 6.25% 4.60% 5.40% 5.40% 3.00% 3.64% 3.80% The objectives of the company's investment strategies are as follows: (a) to provide a total return that, over the long term, maximizes investment return on assets, at a level of risk deemed appropriate, (b1 to maximize return on assets by investing primarily in equity securities, (c) to diversify investments within asset classes to reduce the impact of losses in single investments, and (d) to invest in compliance with the Employee Retirement Income Security Act of 1974 CERISA" 1, as amended, and any subsequent applicable regulations and laws. The company sets the expected long -term rate of return based on the expected long -term return of the various asset categories in which it invests. The company considered the current expectations for future returns and the actual historical returns of each asset class. Also, since the company's investment policy is to actively manage certain asset classes where the potential exists to outperform the broader market, the expected returns for those asset classes were adjusted to reflect the expected additional returns. The company expects to make cash contributions of approximately $66 million to its worldwide defined ben- efit pension plans in 2004. In accordance with regulations governing contributions to U.S. defined benefit pension plans, the company is not required to fund its U.S. qualified defined benefit pension plan in 2004. 51 As of December 31, 2003, the following benefit payments, which reflect expected future service, are expected to be paid from the U.S. defined benefit pension plans: Year ending December 31 (Millions) Expected payments 2004 $ 297.4 2005 301.3 2006 306.8 2007 313.6 2008 320.3 20032013 1,716.0 Other postretirement benefits December 31 is the measurement date for the com- pany's postretirement medical plan. A reconciliation of the benefit obligation, fair value of the plan assets and the funded status of the postretirement medical plan at December 31, 2003 and 2002, follow: December 31 (Millions) 2003 2002 Change in benefit obligation Amortization of prior Benefit obligation at beginning of year $ 227.4 $ 220.1 Interest cost 14.6 14.7 Plan participants' contributions 30.4 30.7 Actuarial loss 11.1 17.5 Benefits paid 457.9) (56.6) Benefit obligation at end of year $ 225.6 $ 227.4 Change in plan assets Fair value of plan assets at beginning of year $ 11.9 $ 13.4 Actual return on plan assets .4 1.1 Employer contributions 25.3 22.3 Plan participants' contributions 30.4 30.7 Benefits paid 157.9) (55.6) Fair value of plan assets at end of year $ 10.1 $ 11.9 Funded status $ (215.5) $ (215.5) Unrecognized net actuarial loss 48.4 40.7 Unrecognized prior service benefit (5.9) (7.9) Accrued benefit cost $(173.0) $(182.7) 52 Net periodic postretirement benefit cost for 2003, 2002 and 2001, follows: Year ended December 31 (Millions) 2003 2002 2001 Interest cost $14.6 $14.7 $15.2 Amortization of prior service benefit (2.0) (2.0) (2.0) Recognized net actuarial loss 3.1 1.9 1.3 Net periodic benefit cost $15.7 $14.6 $14.5 Weighted- average assumptions used to determine net periodic postretirement benefit cost for the years ended December 31 were as follows: Discount rate 7.00% 7.40% 7.70% Expected return on plan assets 6.75% 8.00% 8.00% Weighted-average assumptions used to determine benefit obligation at December 31 were as follows: Discount rate 6.74% 7.00% 7.40% The plan assets are invested as follows: 94% debt securi- ties and 6% cash. The company reviews its asset allocation periodically, taking into consideration plan liabilities, plan pay- ment streams and then - current capital market assumptions. The company sets the long -term expected return on asset assumption based principally on the long -term expected return on debt securities. These return assumptions are based on a combination of current market conditions, capital market expectations of third -party investment advisors and actual historical returns of the asset classes. The company expects to contribute approximately $25 mil- lion to its postretirement benefit plan in 2004. Assumed health care cost trend rates at December 31 2003 2002 Health care cost trend rate assumed for next year 9.3% 10.5% Rate to which the cost trend rate is assumed to decline (the ultimate trend rate) 5.50% 5.5% Year that the rate reaches the ultimate trend rate 2008 2008 A one - percentage -point change in assumed health care cost trend rates would have the following effects (in millions of dollars): 1- Percentage- 1- Peroentage- Pointlncrease Point Decrease Effect on total of service and interest cost $ .7 Effect on postretirement benefit obligation 10.9 110.91 As of December 31, 2003, the following benefit payments are expected to be paid from the company's postretirement medical plan: Year ending December 31 (Millions) Expected payments 2004 $ 24.5 2005 25.6 2006 26.7 2007 27.3 2008 27.6 2009 -2013 116.0 On December 8, 2003, the president of the United States signed into law the Medicare Prescription Drug, Improvement and Modernization Act of 2003 (the "Act "), The Act introduces a prescription drug benefit under Medicare as well as a federal subsidy to sponsors of retiree health care benefit plans that pro- vide a benefit that is at least actuarially equivalent to Medicare Part D. Under a Financial Accounting Standards Board Staff Position FSP FAS 106-1, issued on January 12, 2004, the com- pany has elected to defer accounting for the effects of the Act. Therefore, the measures of the postretirement benefit obliga- tion and the net periodic postretirement benefit cost herein do not reflect the effects of the Act on the plan. Specific authora- tive guidance on the accounting for the federal subsidy is pending, and that guidance, when issued, could require the company to change previously reported information. 18 Stockholders' equity The company has 720.0 million authorized shares of common stock, par value $.01 per share, and 40.0 million shares of autho- rized preferred stock, par value $1 per share, issuable in series. Each outstanding share of common stock has attached to it one preferred share purchase right. The rights become exercisable only if a person or group acquires 20% or more of the company's common stock, or announces a tender or exchange offer for 30% or more of the common stock. Until the rights become exercisable, they have no dilutive effect on net income per common share. At December 31, 2003, 87.2 million shares of unissued common stock of the company were reserved principally for stock options and for stock purchase and savings plans. Comprehensive income (loss) for the three years ended December 31, 2003, includes the following components: Year ended December 31 (Millions) 2003 2002 2001 Net income (loss) $ 258.7 $ 223.0 $ (67.1) Other comprehensive income (loss) Cumulative effect of change $ (643.7) in accounting principle $ - WAS No. 133), net of tax Change during period of $1.8 3.3 Cash flow hedges Income (loss), net of tax of $18.6), $14.3) and $5.1 115.9) (7.9) 9.7 Reclassification adjustments, December 31, 2001 net of tax of $5.9. $1.2 (711.2) and $(4.6) 10.8 2.0 (8.6) Foreign currency translation (1,530.1) adjustments 65.3 (33.8) (67.5) Minimum pension liability, net Balance at of tax of $(85.9) and $731.2 154.8 (1,490.4) Total other comprehensive income Moss) 225.0 (1,530,1) (63.1) Comprehensive income (loss) $ 483.7 $(1,307.1) $(130.2) Accumulated other comprehensive income (loss) as of December 31, 2003, 2002 and 2001, is as follows (in millions of dollars): Minimum Translation Cash Flow Pension Total Adjustments Hedges Liability Balance at December 31, 2000 $ (643.7) $ (643.7) $ - $ - Change during period (63.1) (67.5) 4.4 Balance at December 31, 2001 (706.8) (711.2) 4.4 - Changeduringperiod (1,530.1) (33.8) (5.9) (1,490.4) Balance at December 31, 2002 (2,236.9) (745.0) 0.5) (1,490.4) Change during period 225.0 65.3 (5.1) 164.8 Balance at December 31, 2003 $(2,011.9) $(679.7) $(6.6) $(1,325.6) 63 Report of Management The management of the company is responsible for the integrity of its financial statements. These statements have been prepared in conformity with accounting principles generally accepted in the United States and include amounts based on the best estimates and judgments of management. Financial information included elsewhere in this report is consistent with that in the financial statements. The company maintains a system of internal accounting controls designed to provide reasonable assurance that assets are safeguarded against loss or unauthorized use, and that transactions are executed in accordance with management's authorization and recorded and summarized properly. This system is augmented by written policies and procedures, an internal audit program, and the selection and training of qualified personnel. Ernst & Young LLP, independent auditors, have audited the company's financial statements. Their accompanying report is based on audits conducted in accordance with auditing standards generally accepted in the United States, which require a review of the system of internal accounting controls and tests of accounting procedures and records to the extent necessary for the purpose of their audits. The Board of Directors, through its Audit Committee, which is composed entirely of independent directors, oversees management's responsibilities in the preparation of the financial statements and selects the independent auditors, subject to stockholder ratification. The Audit Committee meets regularly with the independent auditors, representatives of management, and the internal auditors to review the activities of each and to assure that each is properly discharging its responsibilities. To ensure complete independence, the internal auditors and representatives of Ernst & Young LLP have full access to meet with the Audit Committee, with or without management representatives present, to discuss the results of their audits and their observations on the adequacy of internal controls and the quality of financial reporting. Lawrence A. Weinbach Janet Brutschea Haugen Chairman, President Senior Vice President and Chief Executive Officer and Chief Financial Officer Report of Independent Auditors To the Board of Directors of Unisys Corporation We have audited the accompanying consolidated balance sheets of Unisys Corporation as of December 3t, x003 and zooz, and the related consolidated statements of income, stockholders' equity, and cash flows for each of the three years in the period ended December 31, 2003. These financial statements are the responsibility of Unisys Corporation's management. Our responsibility is to express an opinion on these financial statements based on our audits. We conducted our audits in accordance with auditing standards generally accepted in the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion. In our opinion, the financial statements referred to above present fairly, in all material respects, the consolidated financial position of Unisys Corporation at December 31, 2003 and zooz, and the consolidated results of its operations and its cash flows for each of the three years in the period ended December 31, 2003, in conformity with accounting principles generally accepted in the United States. As discussed in Note 3 to the consolidated financial statements, in zooz Unisys Corporation adopted Statement of Financial Accounting Standards No. 14z, "Goodwill and Other Intangible Assets," which resulted in Unisys Corporation changing the method of accounting for goodwill. 16� * f*7 LLF Philadelphia, Pennsylvanian January zo, 2004 54 UNISYS CORPORATION Supplemental Financial Data (Unaudited) Quarterly financial information (Millions, except per share data) 2003 First Second Third Fourth Quarter Quarter Quarter Quarter Year Revenue $1,398.9 $1,425.0 $1,449.7 $1,637.6 $5,911.2 Gross profit 387.1 392.1 425.1 510.7 1,715.0 Income before income taxes 57.5 78.2 84.0 160.8 380.5 Net income 38.5 52.5 56.2 111.5 258.7 Earnings (loss) per share - basic ,12 .16 .17 .34 .79 - diluted .12 .16 .17 .33 .78 Market price per share - high 11.24 12.45 14.19 16.85 16.85 -low 8.25 9.08 11.41 13.32 8.25 2002 Revenue $1,362.5 $1,359.8 $1,332.3 $1,552.8 $5,607.4 Gross profit 389.3 404.5 403.0 491.7 1,688.5 Income before income taxes 48.9 62.9 88.1 132.9 332.8 Net income 32.7 42.2 59.0 89.1 223.0 Earnings per share - basic .10 .13 .18 .27 .69 - diluted .10 .13 .18 .27 .69 Market price per share - high 13.74 13.84 9.67 11.49 13.84 - low 10.78 8.30 6.39 5.92 5.92 The individual quarterly per -share amounts may not total to the per-share amount for the full year because of accounting rules governing the wmputation of earnings per share. Market prices per Share are as quoted on the New York Stock Exchange composite listing. Five -year summary of selected financial data (Millions, except per share data) 2003 2002 2001111 2000111 1999 Results of operations Revenue $ 5,911.2 $5,607.4 $6,018.1 $6,885.0 $7,544.6 Operating income (loss) 427.7 423.2 (4.5) 426.8 960.7 Income (loss) before income taxes 380.5 332.8 (73.0) 348.5 751.7 Net income (loss) 258.7 223.0 (67.1) 225.0 510.7 Dividends on preferred shares 36.7 Earnings (loss) on common shares 258.7 223.0 (67.1) 225.0 474.0 Earnings (loss) per common share Basic .79 .69 (.21) .72 1.65 Diluted -78 .69 (.21) .71 1.59 Financial position Total assets $ 5,474.6 $4,981.4 $5,769.1 $5,713.3 $5,885.0 Long -term debt 1,048.3 748.0 745.0 536.3 950.2 Common stockholders' equity 1,395.2 856.0 2,112.7 2,186.1 1,953.3 Common stockholders' equity per share 4.20 2.62 6.59 6.93 6.29 Other data Research and development $ 280.1 $ 273.3 $ 331.5 $ 333.6 $ 339.4 Capital additions of properties and outsourcing equipment 251.3 196.2 199.4 198.3 219.6 Investment in marketable software 144.1 139.9 136.8 152.4 122.8 Depreciation and amortization of properties and outsourcing equipment 219.0 176.8 156.0 148.3 148.4 Amortization Marketable software 123.6 121.0 145.5 115.5 110.9 Goodwill 16.5 21.8 21.7 Common shares outstanding (millions) 331.9 326.2 320.6 315.4 310.6 Stockholders of record (thousands) 26.3 27.3 28.4 29.7 32.8 Employees (thousands) 37.3 36.4 38.9 36.9 35.8 (1) Includes special pretax charges Of $276.3 million and $727.6 million for the years ended December 31, 2001 and 2000, respectively 55 INVESTOR INFORMATION Stock Information Common Stock The company has 720.0 million authorized shares of common stock, par value $.01 per share. At December 31, too3, there were 331.9 million shares outstanding and about 26,300 stockholders of record. Unisys common stock (trading symbol "UIS ") is listed for trading on the New York Stock Exchange, the SWX Swiss Exchange and on exchanges in Amsterdam, Brussels and London. Preferred Stock The company has 4o.o million shares of authorized preferred stock, par value $1 per share, issuable in series. At December 31, 2003, there were no shares of preferred stock outstanding. Voting Rights Each share of Unisys common stock outstanding on the record date for the annual meeting is entitled to one vote on each matter to be voted upon at the meeting. Annual Meeting Stockholders are invited to attend the Unisys 2oo4 Annual Meeting of Stockholders, which will be held at The Hilton inn at Penn, 3600 Sansom Street, Philadelphia, Pennsylvania, on Thursday, April zz, 2004, at 9:3o a.m. Formal notice of the meeting, along with the proxy statement and proxy materials, was mailed or otherwise made available on or about March 18, 2004, to stockholders of record as of February 27, 2004. General Investor Inquiries and Correspondence Investors with general questions about the Company we invited to contact Unisys Investor Relations at 215- 986 -6999 or investor@unisys.com. Direct investor correspondence to: Jack F. McHale Vice President, Investor Relations Unisys Corporation Unisys Way Blue Bell, PA 19424 Investor Web Site Unisys makes investor information available on its Web site at http: / /www.unisys.com /investor. This site is updated regularly and includes quarterly earnings releases, key management presentations, a delayed Unisys stock quote, management biographies, corporate governance information, key publications such as the annual report, and other information useful to stockholders. 56 Company Financial Information Unisys offers a telephone information service that provides fast, convenient access to company financial news. Stockholders can use this service to call seven days a week, 24 hours a day, to hear the most current financial results and other general investor information. Callers also can use this service to request a printed copy of the current quarterly earnings release by fax or mail. �ln the United States and Canada, call l- Boo -9- UNISYS (986 -4797) Outside the United States, call +402- 573 -3678 Several publications that contain information of interest to investors and potential investors are also available via written or telephone request. These publications include: �2oo3 and previous -year annual reports Forms 10 -K and to -Q filed with the Securities and Exchange Commission You can obtain these publications without charge via the Unisys Investor Web site or by contacting: Investor Relations, Az -15 Unisys Corporation Unisys Way Blue Bell, PA 19424 215-986-5777 Stockholder Services EquiServe Trust Company, NA., is the company's stock transfer agent and registrar. Administrative inquiries relating to stockholder records, lost stock certificates, change of ownership or address, or the exchange of PulsePoint Communications common stock certificates should be directed to: EquiServe Trust Company, NA. P.O. Box 43o69 Providence, RI 02940 -3o69 781-575-2723 Toll free: 888- 764 -5596 (in the U.S. and Canada) Hearing impaired: 800- 952-9245 (TDD) Internet: http: / /www.equiserve.com Independent Auditors Ernst & Young LLP Philadelphia, Pennsylvania Statements made by Unisys in this annual report that are not historical facts, including those regarding future performance, are forward - looking statements under the Private Securities Litigation Reform Act of 1995• These statements are based on current expectations and assumptions and involve risks and uncertainties that could cause actual results to differ from expectations. These risks and uncertainties are discussed on pages 29 -31 of this report. focus on „ -� OII EU UAMO G (� PGSIINOPLESS How we operate in the marketplace is the foundation: for our success To help keep us on course,:our people apply a series of operating prin ciples that guide the way �we do business. Why are these operatint principles so important to us? They help us keep an important coin mitment to our clients: to deliver precision thinking and relentles! execution to drive our clients' business transformation. External Obsession: ll7 41 Q M Best or Nothing: uTu G)mNTM ailif T2-C.1� EuB GIft;[ Invent the Future: MG C)5 '� 1 Cti`$[(;/} (iiLi [Y3 L'}Ei3 fild �311f�C] �: YDC1;�;�3 *_Gfglju *�i177i1f1Sio f$��f�7C�G1i Be Bold:CffOfSffiF}�1 CUSL� C7 ir�A Q�CCiil� ere iz do a are i tren h—a d speea o delivery —in p- ,aporigg JULthirEa-trie. Deliver he pees o qD cam= to d WM to do it. We av to i a ou de i gs and 11 al ay stand for what r g a d t i6r1- j �m''urd # 6 �.. �In,_�I HIIJozr rtT DIY r�A4 h�il^U5r27r Cry 114 k�+ F f ✓�I3"ru { Si ,� 7oev,� rE mr'1 r 1 it 11 U . fA7i,,rI RifLYTr P I' L+` •- I,Y+lw P Pil!tl 9V rr Tr .4'X�t.Y' i •r �i`t4tTM��tditTnNA'ib arw ❑o� J iTa -P 1 +S•di dVI T-r 97c,100 '0_04n ^'I eq. la m J r1 Ii�?ILP j ('t.7R7FkL ii lr I tr Iq! Ir a �rB *C9 rrT�t. iwJ�7r c$r'i� wa'tri,� E_"riJ uPiL,Jd��lil CtY ,Tt'T!nl'.11 rylr L1 � °. Snrii I i '? Consulting Systems Integration. Outsourcing. Infrastructure. Server Technology. munisys.com .Printed in U S America 3104 41363995.000 Appendix "C" Unisys Server Benchmarks WAI ZDNet Make the Case Series: IT Business Case Template: Itanium@ 2 -based Unisys ES7000* family of servers — Powering Business Intelligence Sponsored by heel Corporation, featuring Intel® hanium ®2 -b3sed Unisys FS7000 family of servers for business intelligence. Itanium is a trademark or registered trademark of Intel Corporation or its subsidiaries in the United States and other countries. -Other names and brands may be claimed as the property of others. Copyright (c) 1995 -2003 CNL'T Networks, Inc. All rights reserved. General Introduction ES7000 Server Family Introduction The new Unisys` ES7000 family of Windows' -based 64 -bit servers offers the horsepower that enterprises need to manage high- demand, mission - critical applications and databases. This family of servers is powered by the Intel® ItaniumO 2 processor with 6M L3 cache delivering a viable alternative to UNIX/RISC -based systems at an affordable price. The ES7000 comes in two lines: the ES7000 Orion Series and the ES7000 Aries Series. The Unisys Enterprise Server ES7000 Aries series supports 8, 12, and as high as 16 processors in a single package, while the Orion series can scale as high as 32 processors. Both leverage Unisys' Cellular MultiProcessing (CMP) architecture, which modularizes system components and allows for easy scalability and supports several different generations of Intel processors. The ES7000 line also includes Unisys Server Sentinel, a self- management tool that coordinates continuous availability. With its features and architecture, the Unisys ES7000 family of servers is ideal for such solutions as server consolidation, clustering, online transaction processing (OLTP), business intelligence and analytics, and other data - intensive applications. The Unisys ES7000 family of servers delivers simplicity, business agility and economic advantage while significantly reducing risks. Simplicity Simplicity is at the heart of the ES7000 family of servers. Through Microsoft standardization, the enterprise eliminates the complexity of having to manage and troubleshoot multiple operating systems. By the same token, it is not necessary to invest exorbitant amounts of time and money to secure IT talent with multiple operating system skill sets. Scaling to one larger ES7000 eliminates the complexity of managing server farms and makes it much easier to optimize the system and implement high - availability best practices. With the self- managing and self - healing benefits of Unisys Server Sentinel, maintaining the server environment has never been easier. Business Agility By standardizing on Microsoft, the enterprise has the ability to quickly address most any business issue due to prime interoperability with the full spectrum of Microsoft products and applications. As workloads increase, the ES7000 family of servers allows the flexibility to scale up accordingly. The scale up option is also a very valuable feature whenever an enterprise needs to quickly add users to the system — for events like mergers and acquisitions, the ES7000 will ensure the quickest return to steady state. Server Sentinel's self- management capabilities allow for rapid remediation of any issues that may compromise the performance of the ES7000. This in turn will ensure the maintenance of the robust application environment an enterprise needs to maintain competitive advantage. Copyright 1995 -2003 CNI-r Networks, Inc. All rights reserved. Economic Advantage The ES7000 family of servers provides measurable economic advantage to the enterprise. By offering strong pricelperformance and a platform built with standard building blocks the ES7000 ensures the most value for your server investment. That investment is protected because every ES7000 provides a longer overall product life by supporting select follow -on Intel processors. If an enterprise standardizes on Microsoft operating systems from the desktop to the enterprise, it can lower IT staffing costs by eliminating the requirement for securing multiple operating system skill sets. An added benefit is predictable training costs. A fully optimized IT staff, coupled with leading edge technology, can help to increase productivity and maintain competitive advantage. Running a single operating system in the data center means the potential for lower software licensing costs. What's more, by consolidating applications on an ES7000, clients enjoy significant cost savings related to comparative space requirements of multiple server environments. In many instances, there is a savings on power consumption with the deployment of an ES7000 vs. multiple servers. Reduced Risk By scaling -up on a single ES7000, it is much easier for the enterprise to protect and implement a Disaster Recovery environment. Instead of having to mirror multiple servers, only one ES7000 would require a backup. For those organizations that require a clustered environment, Unisys offers pre- packaged, pre- configured, fault - resilient options in rack - mountable cells. This reduced footprint ultimately lowers the total cost of implementing Disaster Recovery plans due to lower space requirements. Clients can enjoy peace of mind by running pre- tested styles and configurations with the ES7000. Unisys has tested multiple styles and configurations so clients can be certain mission - critical applications are not exposed to unexpected system outages. Unlike many other platform vendors, Unisys tests and certifies a very broad array of third party products for use with the Microsoft Windows' 2000 Datacenter Server operating system. This minimizes the risk of incompatibility while providing clients with a more complete choice of products and more Flexibility when deploying Datacenter Server. If a problem should arise with the system, the self- managing capabilities of the ES7000 will quickly diagnose the problem and assist in rapid remediation. This results in limited downtime versus waiting for a member of the IT staff to address the problem. ES7000 /400 Series Introduction The Unisys ES7000 64 -bit Windows -based servers deliver the performance and reliability for implementing large- scale, mission - critical databases and business intelligence solutions. Supporting Intel's new Itanium 2 processor, the ES7000 /400 series of servers offers three distinct models that offer enterprise -class computing. The systems' ability to support future processors based on the Intel Itanium architecture provides significantly better investment protection than commodity server vendors. The mainframe -class Copyright 1995 -2007 CNI r Networks, Inc. All rights reserved. reliability, availability, and serviceability (RAS) characteristics and the ability to create up to four independent partitions, each running its own 64 -bit Microsoft Windows Server 2003 operating system image, make the ES7000 /400 Series servers an ideal platform for consolidation, mission - critical applications, and large -scale databases needing room for growth. As you make your case for Unisys ES7000 /400 series based on the Intel Itanium 2 processor, consider these key points: • Itanium 2 processor -based Unisys servers utilize Intel's Explicitly Parallel Instruction Computing (EPIC) technology to deliver leading performance, reliability, scalability, and resource - intensive computing capability. Server Sentinel's self management functionality complements Intel's Machine Check Architecture (MCA), which allows for sophisticated error- checking of caches, dalapaths, and the system bus that prevents system failure. • Unisys' Cellular MultiProcessing (CMP) architecture accommodates the use of different Intel processor generations and types. This business case explores the opportunities and benefits that can be realized in the deployment of Intel® Itanium® 2 -based Unisys ES7000 family of servers for high- performance computing, as well as the costs and associated risks involved. However, the template may need customization to suit your needs. Each organization is likely to have unique challenges and opportunities that the business case should address. Copyright 1995 -2003 CNET Nctworks, Inc. All rights tcserved. II. Need /Opportunity Key technical and business objectives for adopting the Unisys ES7000/400 Servers: A. Tangible goals or objectives • Achieve high return from IT investments • Minimize upfront IT investment costs • Lower total cost of ownership • Deliver high performance and speed for mission - critical applications and databases • Ensure system flexibility and scalability • Maximize longevity of IT Investments • Minimize administration costs • Reduce complexity • Consolidate computing resources on a single platform • Ensure continuous availability, reliability and security from server platform A.1 ES7000 and Microsoft SQL Server 2000 provide: • A deeper and richer business analytics platform solution • A capability of creating a nearer to "real time" analytics solution • A platform that allows customers to increase their business intelligence applications performance in all critical areas: concurrent user workloads, data volumes, and load times • Provide an evolutionary path to 64 -bit computing. Businesses can run their applications on 32 -bit, while taking advantage of the 64 -bit processors for running large databases and business intelligence applications B. Scope Processor Architecture • Use of the Intel Itanium 2 processor allows for leading performance, large memory addressability, and throughput — making it optimal for applications requiring reduced response times, large number of transactions and concurrent users, as well as intensive computing capability • Itanium architecture's Explicitly Parallel Instruction Computing (EPIC) technology allows up to six instructions to be executed simultaneously which can boost code performance significantly • Large integrated L3 cache (up to 6MB) for faster access to data and instructions that are used most often, hence reducing response times • Industry leading Floating point performance for compute- intensive operations • Unisys ES7000 /400 servers take advantage of the Itanium architecture's advanced Machine Check Architecture (MCA). MCA allows sophisticated error - checking of caches, datapaths, and the system bus that prevents system failure • Unisys' Cellular MultiProcessing (CMP) architecture and permits the use of different generations and types of Intel processors Copyright 1995 -2003 CNET Networks, Inc. All rights reserved. Scalability and Performance • Impact and benefits from migrating to Unisys ES7000 /400 series of servers • Ability to handle a larger number of concurrent users • Use of Intel Itanium 2 processor drives leading performance through large on -die cache, large memory addressability and high throughput • Well- suited for resource - demanding database applications • Solution is from a vendor with proven track - record in large -scale enterprise deployment • Bundled support and management offerings from vendor • Unisys Server Sentinel ensures continuous availability and high reliability • Offers the proprietary Cellular Multiprocessing (CMP) chipset Management and Maintenance • Dramatic improvements in data access and handling make it ideal for data mining and analytical processing • Improvements in data load times for data warehouse and OLAP cube environments • Larger dimension counts in an CLAP cube environment. Unisys tests have achieved over 65 million dimensional member counts Affordability • The Total Cost of Ownership (TCO) benefits of running on a standard Windows server environment versus a mixed Unix and Windows environment • UNIX/RISC -level performance at a lower price point; customers benefit from Intel - driven economies of scale • Self- management features that lower management and staffing costs III. Stakeholders A. Primary • Executives who are looking to do development work on the latest technologies • Executives who require the same kind of performance delivered by RISC processors but want to take advantage of the lower TCO of Intel's architecture • Executives who require an Intel 64 -bit, Itanium 2 system with mainframe- inspired characteristics in high -end Windows server • Executives looking to deploy Business Intelligence or Database solutions • Executives and managers who want higher performance and speed from their servers • Executives and managers who want to ensure the continuous availability and a high - degree of reliability from their servers • Executives and managers who want to standardize on a Windows -based platform • Executives and managers who want to support a larger number of concurrent users • Executives who want mainframe -class performance for mission - critical applications and databases at a lower cost • End users who expect faster response times for their analytic applications • Executives who understand that enterprise -wide business intelligence implementations creates a strategic competitive advantage for their firm • Executives who would like to have a deeper and richer view into their customer data Copyright 1995 -2003 CNET Networks, Inc. All rights reserved. B. Secondary • Employees who need more powerful computing platforms for their work • IT staff who manage /administer the organization's infrastructure • Data warehouse architects that would like to deploy a centralized data warehouse • ETL developers that looking for greater for greater throughput from their ETL applications IV. Alternatives A. No change No change may be an option if the current technologies implemented are still running satisfactorily and there are no complex applications /databases that are projected to be implemented or if existing systems are not constrained by memory limitations. Cost Even if not considering the migration to Unisys ES7000 /400 Servers, other costs may be incurred, including: • Sub - optimal performance and speed • Costs for maintenance and management of existing systems • Storage and other management cost of supporting multiple clustered commodity servers or multiple hardware platforms or (versus ability to consolidate applications /resources /peripheral components on a single high - performance system) • Database software licensing that has a per processor pricing model (Maintenance) • Staffing overhead to support mixed server environment (Intel /RISC) • Employee wait time due to poor query response times • Running costs such as energy usage, depreciation • Future hardware upgrade requirements • Possible increased cost if need to upgrade in the future • The need to secure and maintain multiple operating system skill sets • Higher licensing fees for multiple operating systems versus standardization 2. Return on savings Savings can be derived from the following: • Business analytics implementations generated an average 5 -year ROI of 431 %. Over half (63 %) of those studied had a payback period of two years or less • Reduce in staffing overhead with standardization to MicrosoftlIntel server environment • Postponing needed increases in computing power and memory utilization • Risking a negative return on investment (ROI) • Investment protection in that new hardware is not required when new Intel processors are introduced • Increased productivity due to enhanced server performance Copyright 1995 -2003 CNET Networks, Inc. All rights rescrved. 6 3. Risk • Tangible risks include those mentioned in the Cost section • Employee loss in productivity due to system downtime • Risk of an obsolete enterprise platform and associated business applications • Diminished residual value of existing assets • Expiration of warranties and technical guarantees • Inability to keep up with industry standards • Lose competitive advantage to early adopters • Multiple servers make it difficult to implement DR plans B. Delay Procurement/implementation 1. Cost While the postponing the costs of migrating to an ES7000 1400 series server, other costs may be incurred: • Costs may be similar to a No Change alternative. However, these costs will decrease once the system is implemented at a later time • Same as No change 2. ROI • Delayed procurement could place the organization in a difficult competitive environment • How long can you wait to assess the organization's break -even point? • The loss of gaining a competitive advantage by deploying ES7000 technology 3. Risks • Higher implementation costs in the future • Operational /financial considerations when migration is deferred to a later time (such as management commitment, availability of funds, etc.) • Inability to catch up with competition who adopted early and have realized new competitive advantages • Losing customers and new revenue from deploying your new BI solution C. Outsourcing List the possible vendors for outsourcing services. Solutions may be layered and come from multiple vendors, or may be a single solution from one vendor. For each vendor, consider: 1. Costs • Initial and monthly /annual costs paid directly to vendor for hardware procurement and maintenance • Transport and delivery costs if moving equipment offsite • Incremental fees for upgrades • Charges for storing equipment at vendor's site • Remote management costs (related hardware and software tools, network connectivity/bandwidth) Copyright 1995 -2003 CNFT Networks, Inc. All rights reserved. % • Cost of arranging and managing contracts /service agreements with vendors • Administrative, communication, and other related costs in coordinating with vendors • Cost of devising remote /risk management strategies • Conversion or changeover costs from existing architecture • Initial drop in server service levels during the outsourcing change over which reduces business productivity 2. ROI • Are the short-term savings over outsourcing adequate? • Does the tradeoff in spending operation or capital funds make sense for the organization? 3. Risk • Risk of lock' -in /dependency on vendor • Service provider's failure to meet client's expectations /requirements • Questionable financial viability • Deficient technical capability, experience, dependability, reliability, and flexibility of vendor • Risk of physical compromise when moving technology off -site • Inadequate security /risk management policies and procedures on the part of the vendor (physical security, hardware locks, environmental controls, etc.) • Vendor not meeting the expectations of the service level agreement (SLA) • Limited control in implementation • Limited options for recourse in case of problems • Exposure to sudden changes in macroeconomic conditions such as exchange rate fluctuations, new legislation, etc. • Other unforeseen costs /risks that can lower ROI • Incompatibility with multiple vendors D. Build 1. Cost • N/A 2. ROI • N/A 3. Risks • N/A E. Buy For each reseller of Unisys ES7000 /400 Servers system, consider: 1. Cost • Insurance costs where applicable • Freight, transport and delivery cost • Installation and commissioning costs • Inventory - holding, maintenance and management costs • Foreign- exchange costs • Applicable duties and taxes CopSright 1995 -2003 CNC'1' Networks, Inc. All rights reserved. • Cost of end -user training • Cost of administrative personnel • Cost of current hardware reconfiguration • Decommissioning and disposal costs for obsolete hardware • Other related costs for changeover or conversion from existing systems or platforms • Costs associated with capital budget planning • Cost of spares /backups • Depreciation costs • TCO • Other upfront and monthly /annual costs paid directly to vendors • Hiring external expertise to assist with installation • Hardware vendor fails to meet service obligations • The future financial stability of the system reseller 2. ROI The costs of buying are weighed against the relative savings of: • No Change • Waiting • Outsourcing 3. Risk • Lock -in to one Operating System platform (Microsoft Windows) • Unproven / First edition release of Operating System (Microsoft Windows Server 2003) • Security risk from inherent system vulnerabilities in the Operating System • This is not a risk. If you want to have multiple points of failure scale out. If you want to cluster to ES7000s then do so to reduce your risk • Inability to port existing applications (specially if coming from a UNIX/RISC- based architecture) to the new (Windows- based) platform • Firmness of price • Pricing for associated or follow -on orders • Provision for cost containment (including any formulas to contain or reduce costs) • Foreign- exchange risks • Management of payment terms • Length of the supply chain and its vulnerability to disruption • Weaknesses of vendors' individual hardware (in terms of performance, scalability, functionality, etc.) • Conformity with delivery, installation and commissioning requirements • Management of warranties, technical guarantees • Product liability arrangements • Compliance with health and safety requirements • Maintenance and durability of purchased hardware • Unforeseen upgrades and maintenance costs will lower ROI • Interoperability with other hardware platforms • Adverse impact on budgets allotted for non -IT capital spending over the short- term Copyright 1995 -2003 CNE'r NUMOTlis, Inc. All rights reserved. V. Business Values for the Alternatives A. ROI Costs /Savings in terms of: 1. Tangible returns • Weigh the alternatives to discover which best meets the objectives specified in this business case 2. Incremental revenue • The increase in revenue likely to be seen from each alternative • The actual time period for the company to receive the additional revenue stemming from alternatives 3. Return on capital • Aside from the returns projected from the capital investment, other benefits may be realized as a result of the investment. This will increase productivity thereby yielding more profit for the company 4. Cost of capital Short -term costs may include: • Hardware and operating systems • Training for employees and technical staff Long -term costs include • Depreciation of capital investments • Cost of maintenance including monthly /annual charges, if any Costs associated with risks involved B. Customer satisfaction The criteria for customer satisfaction for the stakeholders include: • Guaranteed business continuity and security • Enhanced productivity • Improved efficiency • Increased business agility and flexibility • Improved competitive advantage • Lower management and maintenance costs • General feedback of IT staff and other company employees C. Resources and roles • In -house resources involved in each solution, if applicable • Outsourced resources involved in implementing each solution, if applicable D. Timetablerrime -to- market The timeline specified in the project implementation to fulfill the solutions in the company CopyTight 1995 -2003 CNET Networks, Inc. All rights reserved. 10 VI. Recommendation Weigh recommendation against the business values of the alternatives based on: A. ROI Costs /Savings in terms of: 1. Tangible returns • Explanation of how the recommended solution meets the objectives specified in Section I 2. Incremental revenue • The additional revenue is likely to be seen from each alternative, if any • The time period in which the organization will see additional revenue from each alternative 3. Return on capital • In addition to the returns expected from capital investments, other benefits may be realized as a result of the investment 4. Cost of capital Short -term costs may include: • Hardware and operating systems • Training for employees Long -term costs include: • Maintenance cost • Depreciation of capital investment B. Customer satisfaction The criteria for customer satisfaction for the stakeholders include: • Guaranteed business continuity and security • Enhanced productivity • Improved efficiency • Increased business agility and flexibility • Improved competitive advantage • Lower management and maintenance costs • General feedback of IT staff and other company employees C. Resources and roles • In -house resources involved in the implementation, if applicable • Outsourced resources involved in the implementation, if applicable D. TimetablelTi me-to -market • The timeline specified in the project implementation to fulfill the solutions in the company Copyright 1995 -2003 CNET Networks, Inc. All rights reserved. VII. Product Description About Intel Itanium 2 Processor High- performance Unisys ES7000 /400 series running on the Intel Itanium 2 processor provide a scalable, reliable, high - performance computing solution at a fraction of the cost of proprietary technology. The Itanium 2 processor is based on EPIC technology, which allows up to six instructions to be executed simultaneously, resulting in very fast operations The Itanium 2 processor's large, low latency, three level on -die cache, and vast flat address space are highly beneficial in providing quick access to the data and instructions that are used most often, thus reducing the time it takes to complete transactions. In addition, the world -class performance of the floating point unit of the Itanium 2 processor plays a pivotal role in the Unisys ES7000 /400 series' superior performance in conducting compute- intensive business intelligence operations. With its system bus bandwidth of 6.4 Gigabytes /sec, the Itanium 2 processor also enables very fast movement of data and instructions, especially helpful when large sets of data are loaded into memory. Itanium architecture's advanced enterprise reliability and manageability features further complement system -level features of the Unisys ES70001400 series to provide extended error detection, correction, and recovery capabilities. Unisys ES7000 servers based on the Itanium 2 processor utilize Intel's strong, long -term server roadmap and Intel driven economies of scale, and are based on open standards to deliver greater value, flexibility and industry support versus restrictive proprietary solutions. Industry leading performance, reduced operating costs and unmatched solution choice — that's enterprise results. Unisys ES7000 /400 Series The Unisys ES7000 1400 series of servers offer powerful systems for IT visionaries who need Intel Itanium 2 -based server platform for implementing large- scale, mission - critical databases. The ES70001400 series of servers are mainframe -class systems that deliver the highest levels of power, agility, availability, and manageability for Microsoft based mission - critical application environments and better price - performance than high -end UNIX -based servers. With the flexibility to scale up from 4 to 32 Intel Itanium 2 processors (in a 2 x 16 configuration), the ES70001400 series delivers increased performance to match your workloads. The system's ability to support future processors based on the Intel Itanium architecture provides investment protection. Its mainframe -class reliability, availability, and serviceability (RAS) characteristics and the ability to create up to four independent partitions, each running its own 64 -bit Microsoft Windows Server 2003 operating system image, make ES7000 /400 servers an ideal platform for consolidation, mission - critical applications, and large -scale databases needing room for growth. Unisys Server Sentinel, delivered with every ES7000 server, provides the self- managing capabilities of autonomic computing and greater system resiliency for Microsoft enterprise operating environments. Server Sentinel allows every ES7000 /400 series server o monitor and heal itself proactively, increasing the system's reliability. Additional Server Sentinel capabilities enhance the system's performance, scalability, agility, and serviceability and provide for interfaces to the industry's leading enterprise and application management tools. Find out more about the Intel 11uniurn 2 processor of u% w +li =.intel.coiultro/ilat?inna2, and the thiisys ES'7000 Sei-ve:r ncmtina oil Intel ar-chiteelure at http; l /www.unisys.com /Productsles7000 servers /index.htm Copyright 1995 -2003 CNE'T Networks, Inc. All rights reserved. 12 Glossary Introductory paragraph The introduction gives a brief background or overview of the productfservice being evaluated. I. Need Opportunity This section explains why the product or service is needed, including productivity and cost issues. A. Tangible goals or objectives The purpose or desired end-result. In the business case this section identifies what company needs, problems or issues the proposed product or service can address. B. Scope This defines the reach or extent of the topic or idea being discussed. In the business case, this section identifies the potential impact of the proposed product or service on existing systems and staff. Potential benefits and risks associated with project deployment are also identified. II. Stakeholders Those individuals who have a share or interest in a particular endeavor or organization. In the business case, this section identifies those individuals and departments within the organization that will be directly and indirectly affected by the product or solution being discussed in the business case. A. Primary The stakeholders who directly realize efficiencies, revenues and /or a competitive advantage are considered Primary stakeholders. Those departments or individuals implementing the new systems and services are also Primary stakeholders. B. Secondary The Secondary stakeholders are those who depend on, or will be affected by, the actions of the Primary stakeholders. III. Alternatives The Alternatives section weighs the various routes to reaching the specified goals and fulfilling the needs of the stakeholders. A. No Change This section observes the costs and benefits of not addressing the issue(s) outlined in the Needs /Opportunity section. 1. Cost The price to be paid or resources to be expended. Measured by identifying and quantifying the price or resource expended (example is time consumed or money spent). Copyright 1995 -2003 CNGT Networks, Inc. All rights reserved. 13 O:. 2. Return on Savings Measure of income the company is able to earn from money not spent or expended. In this particular section, the savings realized by not implementing the product or service is weighed against: • Whether the issue to be addressed is expected to become a larger or smaller problem • The length of time it would take to break even or to see a positive return with the No Change alternative. 3. Risks Expected loss. Risks may include issues detailed in the Cost section as well as intangible risks, such as employee annoyance with current system or morale issues. B. Delay Procurement/ Implementation This option explores the costs and benefits of implementing a solution at a future date, rather than as soon as possible. 1. Costs While there are no direct purchasing costs in the short-term, deferring implementation can potentially create similar issues found in the Cost section for the No Change alternative. 2. ROI Income earned from company assets. In this section, the short-term savings of not implementing the product or service are weighed against the cost of waiting to determine the break -even point and length of time to see a return on investment. 3. Risks This section explores the likelihood that serious problems would arise while waiting to implement the new product or service and cost the firm would need to absorb if problems did occur. C. Outsourcing Have the work done by an outside service provider or manufacturer usually to cut costs or realize greater efficiencies. 1. Costs For this section examples would include upfront and monthly /annual costs to be paid to vendors, the cost of making existing systems and /or processes compatible and the cost of the company's implementation time. 2. ROI To evaluate the ROI for this alternative costs and benefits of the other alternatives must be examined and compared with Outsourcing's costs and benefits. Copyright 1995 -2003 CNFr Nemorks, hio. All rights reserved. 14 3. Risk The potential weaknesses of the service provider /vendor's solution and additional costs that may be incurred because of those weaknesses are examined in this section. D. Build Developing the product or service in- house. 1. Costs The costs in developing include the organization's time to evaluate, design, build and operate the product or service. 2. ROI The ROI result weighs the cost of using in -house resources to build and maintain the product/service plus the initial capital cost against the savings realized from the other alternatives. 3. Risks This includes the quantifiable likelihood of loss, the possibility that the project will go unfinished or take extra time because of unforeseen or competing priorities. E. Buy To purchase outright and have the company manage the product or service on their own. 1. Cost The charges in buying a product/service, such as upfront monthly/ annual costs paid to the vendor, the cost of implementation time and others. 2. ROI The ROI is the cost of buying weighed against the relative savings from other alternatives. 3. Risks Risks may include the possible losses that may be incurred from the purchased product or service and unforeseen maintenance and upgrade costs. IV. Business Values for the Alternatives ►_mz ;ill 1. Tangible returns These are the measurable or quantifiable benefits from each alternative. 2. Incremental revenue The additional revenue or income that may be earned from each alternative is discussed in this section. Copyright 1995 -2003 CNEI- Ncimrks, Inc. All rights reserved. 15 3. Return on Capital The income that may be earned or savings that may be realized from the investment (in this case the proposed product or service). 4. Cost of Capital The cost of the funds used to finance the company's investment (such as interest). The goal is to invest in assets that offer a higher return than the cost that may be incurred to finance those assets. B. Customer Satisfaction Measure of how the company is able to meet or exceed customer's and /or stakeholders needs and expectations. C. Resources and Roles Defines the in -house and/or outsourced resources needed for each alternative. D. Timetable/Time -to- market Based on each alternative, the time line to launch the product or service is planned. V. Recommendation A. ROI This section includes the • Costs and savings in terms of tangible returns • Incremental revenue • 'Return on Capital • Short -term costs • Long -term costs B. Customer Satisfaction Criteria to determine customer satisfaction may speak to the needs of Company's internal stakeholders as well as external customers. However, the criteria may be unique to each business case. C. Resources and Roles This section designates the in -house and the outsourced resources needed for each alternative, if applicable. D. Timetable/Time -to- market Based on each alternative, the time line to launch the product or service is outlined. Copyright 1995 -2003 CNFT Networks, Inc. All rights reserved. 16 About ZDNet Make the Case Series The Make the Case Series is a collection of business case tools that covers a broad range of enterprise IT topics. Many of these tools are developed in a vendor- independent fashion. However, for sponsored business cases, IT vendors have the opportunity to present the benefits and advantages of their technology solutions in a specific IT category. For more information about ZDNet's Make the Case Series, email us at zdnetcustomers(a )cnet.com. Copyright 1995 -2003 CNET Nctworks, Inc. All rights reserved. 17 Appendix "D" COPLINK Training Course Outlines Knowledge Computing Corporation provides training to selected users. This is a train - the - trainer class of eight hours duration. The topics covered in this class include: • Overview and design of the COPLINK system. • Discussion and demonstration of program functions. • Description of common user errors, their cause and resolution. • Theory of association and relationship analysis. • Consolidation rules for the node. • Data integrity issues and how to address them. • Proper use of the COPLINK Computer -based training program. • Hands -on program use. Each student is provided with a printed copy of the COPLINK user manual and a copy of the COPLINK Computer -based training program. MODULE A: Information Sharing and Queries I. INTRODUCTION A. Purpose of COPLINK. 1. Information sharing within a single agency. 2. Information sharing among different agencies. 3. Help you solve crimes faster. B. Program Basics 1. Web- browser 2. Internet compatible 3. Secure network II. MENUS AND NAVIGATIONS A. Login Screen 1. Login Failure 2. Time -out feature 3. Multiple sessions not allowed B. Default Screen 1. Person Search Screen C. COPLINK Menu 1. File Menu a. New Session i. Grey -out at first ii. Function is identical to "new" command. b. Open History i. Opens a previously save history. (Ctrl -0) c. Notepad History (Ctrl -Y) i. Opens notes text associated with a previous history file. d. Save History (Ctrl -S) i. Allows user to save a series of queries for future use. e. Delete History i. Allows user to delete a previously saved history file. f. Print History. g. Print Output (Ctrl -P) i. Prints a summary or detail screen. ii. User can select area to print. h. Change Password i. Change Timeout j. Exit. 2. Edit Menu a. Select All (Ctrl -A) b. Find (on this page) (Ctrl -F) c. Auto Wildcard d. Exact Match e. Soundex Match £. Match unknowns g. No Unknowns h. Set values as defaults i. Restore System defaults j. Preferences (allows global settings) 3. View Menu a. Back (same as back button) b. Forward (same as forward button) c. Modify Search d. Person Search e. Organization Search f. Location Search g. Vehicle Search h. Weapon Search i. Property Search j. Incident Search k. Stop Search 4. Help Menu a. Contents b. About 5. Task Bar Icons a. Forward Arrow b. Back Arrow c. New d. Open e. Save f. Print g. Modify h. Stop D. Agencies Window 1. List of Available Agencies to Search E. History Screen 1. Functionality a. Click on listing to re -run query. 2. Saving History 3. Retrieving History F. Search Form Tabs 1. Same function as under the View Menu 2. Supplemental tabs at bottom of search window expand search options. a. Vary with the search window b. Filter for incident information on all search forms. III. PERSON SEARCH FORM A. Person Search Form (basic) 1. Last Name 2, First Name 3. Middle Name /Initial B. Person Search Form (description) 4. Race (introduce drop down boxes here; introduce multi - select feature here �) 5. Sex 6. Age (introduce range boxes here - limitations) 7. Date of birth (introduce autofill boxes here) 8. Height (range box limitation) 9. Weight (range box limitation) 10. Hair Color (drop down) 11. Eye Color (drop down) 12. Search past descriptions (check box) 13. Display all aliases used by persons (check box) C. Person Search Form (identifiers) 1. OLN 2. SSN 3. FBI 4. Fingerprint 5. ID type (drop down) 6. ID number (free text) 7. DNA D. Marks (FBI standards) 1. Category 2. Type 3. Location 4. Description (free text) 5. Suspect Mood 6. Mood Description 7. Appearance Category 8. Appearance Description E. Residence 1. Street Number (range box) 2. Street Direction (drop down) 3. Street Name 4. Street Type (drop down) a. Also try query without the street type included. 5. Apt. Number 6. Telephone number search (country default is USA if nothing entered) 7. Check if this is phone number query only(speeds it up). F. Filter 1. Police Geographical Area description (custom implementation). 2. Flag 3. Crime Class /Specific Crime Type (custom implementation). 4. Date 5. Time IV. ORGANIZATION SEARCH FORM A. Organization Search Form (Basic Form) 1. Name 2. Type (drop down box) 3. NCIC number (for CJS agencies) B. Address sub -tab 1. Identical to the "Residence" sub -tab in the Person Search Form C. Filter 1. Identical to the "Filter" sub -tab in person. V. LOCATION SEARCH FORM A. Location Search Form (Basic Form) 1. Street Number (range box) 2. Street Direction (drop down) 3. Street Name 4. Street Type (drop down) a. Also try query without the street type included. 5. Apt. Number 6. Telephone number search (country default is USA if nothing entered) 7. Check if this is phone number query only(speeds it up). B. Filter 1. Police Geographical Area description (custom implementation). 2. Flag 3. Crime Class /Specific Crime Type (custom implementation). 4. Date 5. Time VI. VEHICLE SEARCH FORM A. Vehicle Search Form (basic) 1. Year (range box requires all four digits of year) 2. License Plate 3. State (drop down) 4. Match anywhere in license plate (check box) 5. VIN B. Description 1. Style. This is the FBI listing of vehicle styles 2. Car Class. This is the FBI listing of different vehicles types (automobiles, trucks, motorcycles, etc.) 3. Make. This lists all vehicle manufacturers, incl. Boats. 4. Model. This lists the different models associated with each vehicle make. 5. Color 1. This is designed to be one color of a two tone vehicle, or the color of the entire vehicle. Multi- select boxes can be used to enter different colors, e.g. RedlMaroon 6. Color 2. This is designed to be the second color of a two -tone vehicles. Multi - select boxes can be used to enter different colors. 7. Search past descriptions will search for all past descriptions (useful when a license plate a transferred between vehicles or a vehicle is repainted). C. Filter 1. Police Geographical Area description (custom implementation). 2. Flag 3. Crime Class /Specific Crime Type (custom implementation). 4. Status (role of the vehicle) 5. Date 6. Time VII. WEAPON SEARCH FORM A. Weapon Search Form 1. Serial number B. Weapon Description 1. Manufacturer. (basic) (free text box) Some manufacturers produce multiple brands. 2. Brand. This is the brand the weapon is sold under. Often confused with the manufacturer, e.g. a rifle branded as "Peerless" but actually manufactured by Remington. [NOTE: If you don't know the manufacturer and only have a brand name, enter just the brand and leave manufacturer blank. The results will be the same.) 3. Type. This refers to the weapon types listed in NCIC. Drop down. 4. Caliber. This drop down box has all calibers listed in NCIC. VIII. PROPERTY SEARCH FORM A. Property Search Form (basic) 1. Category (Drop down menu lists all NCIC categories). 2. Serial Number: free -text entry box. 3. Type (Drop down menu lists all NCIC types). Note: if the category is selected, only the types associated with that category are displayed. 4. Make. This is a free -text entry box for the manufacturer or make of the property. 5. Model. Optional free -text entry box for the model of the item. 6. Size. Optional free -text entry box for the size of the item. 7. Colorl: Drop down menu listing all NCIC standard colors. 8. Color2: used for two -tone or multi - colored items. B. Securities Search Form. 1. Category: Do not use this box with a securities query. 2. Serial Number: Free -text entry box. 3. Securities Category: Drop down menu. 4. Securities Type: Drop down menu. a. Securities or Currency - not both at the same time. 5. Currency Type: Drop down menu. a. Securities or Currency - not both at the same time. Ix. INCIDENT SEARCH FORM A. Incident Search Form (no sub -tabs) 1. Case number (free -text data entry) 2. Officer badge number (free -text data entry) 3. Activity Type (drop down menu) 4. Case status (drop -down menu) 5. M.O. Category. 6. M.O. Type 7. Narrative Search: free -text entry box. 8. Police Geographic Area (drop down) 9. Crime Type (drop down) 10. Document Type (drop down) 11. (Specific Crime Type) (custom) 12. Date (range of dates) 13. Time (range of times) Module B: Analysis and Lead Generation I. INTRODUCTION A. Purpose of COPLINK Detect (Analysis component). 1. Builds on the consolidated information collected in the COPLINK data warehouse. 2. Uses advanced artificial intelligence techniques to perform analysis of the data. B. Program Basics 1. Web- browser based - interface similar to COPLINK. 2. Internet compatible 3. Secure network C. Searches 1. The search screens and functions are identical to COPLINK. 2. For more information on search functions, return to the COPLINK module of this program. D. Analytical Functions 1. COPLINK Detect has two types of association queries: a. Basic Search b. Refined Search 2. The basic association query should be used to gather broad information. a. Basic association query will items related to all objects that are queried. Example: Query 1: Doe, John Q. WM Age 25 -30 Query 2: 1995 Oldsmobile Cutlass 2dr blue The Detect basic search will find all object related to either or both of the query parameters. This can result in a large number of returns (results set). 3. The refined query should be used to narrow the focus of the investigation. a. The refined search will look for specific associations between the objects in the query. Example: Query 1: Doe, John Q. WM Age 25 -30 Query 2: 1995 Oldsmobile Cutlass 2dr blue The Detect (Analysis component) refined search only will look for objects that are related to both of the query parameters. II. MENUS AND NAVIGATIONS A. Login Screen 1. Login Failure 2. Time -out feature 3. Multiple sessions not allowed B. Default Screen 1. Person Search Screen as in COPLINK. C. Edit menu 1. Edit menu has two additional options not found in COPLINK. a. Show all associations. b. Show limited associations. III. COPLINK ANALYSIS BASIC SEARCH A. Basic Search. 1. Three window display: a. Search for: window b. Associated with: window c. Limited by crime types: window B. The "Search For" window: 1. This window has selectable check boxes for: a. Person b. Organization c. Location d. Vehicle e. Weapon f. Property g. Incident h. Phone C. The "Associated With" window: 1. This window is where queries are added from the initial Detect (Analysis component) Search. a. Two ways to add queries: (1) Run the query and add all or part to the window. (2) Add the query without running a "Connect" search. D. The "Limited to Crime Types" Window: 1. The window has selectable check boxes for one or more crime types to limit the query. 2. All boxes unchecked is the default and is the same as if all boxers were checked - it searches all crime types. E. Removing a query: 1. A query placed into the "Search For" window can be removed. F. Resetting COPLINK Detect (Analysis component). 1. The "Reset" button restores the check boxes to the default setting and removes any queries placed into the "Search For" window. (a dialogue box is presented for confirmation). G. Find Associations 1. Will query the COPLINK system for associations among the queried objects, if any. H. Interpreting the Results 1. Not every associated object has a -true" relationship. 2. Each association will still need analysis by a person to determine its relevance. 3. COPLINK provides the tools to solve crimes faster; it can't solve them without your input and help. IV. COPLINK ANALYSIS REFINED SEARCH A. Refined Search. 1. Three window display: a. Search for: window b. Associated with: window C. Limited by crime types: window B. The "Search For" window: 1. This window is used to enter a query or queries on which associations are desired. C. The "Associated With" window: 1. This window is where object queries are added to determine associations with the objects in the "search for" window. a. Two ways to add queries: (1) Run the query and add all or part to the window. (2) Add the query without running a "Connect" search. D. The "Limited to Crime Types" Window: 1. The window has selectable check boxes for one or more crime types to limit the query. 2. All boxes unchecked is the default and is the same as if all boxers were checked - it searches all crime types. E. Removing a query: 1. A query placed into the "Search For" window can be removed. F. Resetting COPLINK Detect (Analysis component). 1. The "Reset" button restores the check boxes to the default setting and removes any queries placed into the "Search For' window. (a dialogue box is presented for confirmation). G. Find Associations 1. Will query the COPLINK system for associations among the queried objects, if any. H. Interpreting the Results 1. Not every associated object has a "true" relationship. 2. Each association will still need analysis by a person to determine its relevance. 3. COPLINK provides the tools to solve crimes faster; it can't solve them without your input and help. I. Manipulating the results 1. Query objects can be removed. 2. New query objects can be inserted into an existing Detect (Analysis component) query and the query rerun to find new associations. COPLINK system administrator training is designed to acquaint the system administrator(s) with the COPLINK Administration program. Depending on system configuration, this class can be up to eight hours duration. The topics covered in this class include: • Overview and design of the COPLINK Administration program. • Discussion and demonstration of program functions • Description of common user errors, their cause and resolution. • Hands -on COPLINK Administration program use. • Discussion of transaction log audits and storage. • Discussion of back -up strategies. • Discussion of fail -over and recovery strategies. Each student is provided with a printed copy of the COPLINK Administration program user manual. MODULE C: COPLINK ADMINISTRATION I. INTRODUCTION A. Purpose of COPLINK Administration. 1. Manage COPLINK users. 2. Manage COPLINK groups. 3. Manage COPLINK program. 4. Audit COPLINK queries. 5. Manage COPLINK transaction log. B. Program Basics 1. Web - browser 2. Internet compatible 3. Secure network II. MENUS AND NAVIGATIONS A. Login Screen 1. Login Failure 2. Multiple sessions not allowed B. Default Screen 1. User Function with View User function. C. COPLINK Administration Menu Bar 1. File Menu a. Print Output i. Grey -out at first ii. Function is identical to "print" icon. b. Exit i. Exits the Administration module 2. Edit Menu a. Find (on this page) (Ctrl -F) 3. View Menu a. User b. Group c. Global d. Maintenance 4. Help Menu a. Contents b. About 5, Task Bar Icons a. User b. Group c. Global d. Maintenance e. Print f. Stop D. User Functions 1. View User 2. Modify User 3. Add User 4. Delete User 5. Unsuspend User E. Group Functions 1. View Group 2. Add Group 3. Delete Group 4. Update Group 5. Add Person 6. Delete Person F. Global 1. View Logins 2. View Trans Log (Transaction Log) 3. Remove Transaction 4. Store Transaction 5. Refresh Cache 6. View Server Log G. Maintenance 1. View Lookup Items 2. Update Lookup Item 3. View Migration Items 4. Update Migration Items 5. Add Migration Items 6. Update Migration Item Unisys ORANGE COUNTY - COPLINK HA PILOT APPLICATION ES7000 -510 4X 1 Partition DataBase Server ES7510047 -105 SVR:ESTlSI0X 4X1C IF 3.0 551700.00 5a3,11a5.Uu The Unisys project manager will oversoc the Installation of Me Unlsy"uppiled hardwam, ESTODO Arias 510 syclom consisting 07 EMC DISK: CX303 W 2136 FIELD INSTALL working with Me client loam to c00rdlnale the Ovelall configuration process. S12.400.00 - Ono (1) 4U call with four (4) 3.GHa 4MB Cacho Intel Xeon PS: TCS CSTM SVC B HRS $2.000,00 51700.00 Processors Me. 1 CX800.DAE Servers and configum the sowers for use an the Giant network - ISMS Shared Cacho. ES7B22DB -ND PSi510,520,BCPU,NDC 55.600.00 $4.700.00 - 4GB of memory, ospandabfo to ISGB In separately ordomble Increments A SBT TCS consultant will confirm The physical Installation Of of 2,4 or 8 GB. EMCOISK:146GB IOK 5208PS 2GB 12V 548,170.00 network - Ono Partlllon Kit with Ado* card. EMC STYLE: CX.2G10.14814SGG 10K S2DPS 2GB 12V - Four (4) PCI adaptor slats (cards am saparatoly ordered). 3 C6L171d Cable: FC San shorMaw, LCLC connectors, SOmlrcon • Two (2) PCI -X buses each supporting one (1) I33MHx adapter or 5262.00 We (2) 10UMHa or slower adaptors (cards are separately ordered). - Integrated Sarver Managamonl. for connections bamboo 2Gb and 2Gb components. REQUIREMENTS 1 CX60O1CUS EMCDISK:CLARIION SERWCE MOOEMLS $0.00 - A Unisys (Of compatible) 19 Inch wide, 41 Inch ticop rack must bo 4 OSM1001.PRC INSTLOSM IEC320 PWR CRO Ordered Or customer supplied. 510.0 1 CX20030051'5 • Boat media kit Or a bOm2blo NBA must be ordered or customer supence. 5800100 Sa40SO - An Internal or external KVM lkeyboard, monitor, mouse) must Do ordered. EMC STYLE: CX2d005PS SPS AXi 0X200 OR CX300 CBL2215.OSM CABLE:I5FT LVO SCSI VHD-RO 514000 5110.00 ES750D384 -RBT CTRL:38GB U320 Said heal kit 54.000.00 53,400.00 HDM361152CXI DISK:36G815K RPM U320 51200.00 5510.00 MDMS8700041SO COMM HW:Madom 5200.00 5170.00 ECH75ODCH ACC:1500 CALL HOME $0.00 50.00 ET1I33 322 -PCX LAN HW:GBIT ETH CPR Upon 5260,00 5221.00 CW2003 -WIN ACC-.Windows 2003 EE $040 50.00 FCHT42313F64 CTRL: FC, PCIX, 1 CH 52,000.00 51.190.00 RAM75004GB MEM:ES7l5OO BGS MEM 55.500.00 34.075.00 RAN17500AGB MEM:E5715004GB MEM $3.000.00 52,550.00 Lommging ES7000 Capa0111USs Using Windows: Loam to apply your Microsoft skills In the high. and environment. This advanced, Sday InalNclONed training address" Iho concepts and features of Windows Sewer 2003 and 00 Unisys E57000 in the scaleap environment. Through an Intense [coming solution that combinos loelum with an emphasis an he ndson labs, attandoas will loam how to leverage the Unisys. and Mlcrosort technologies to dollver sbnplicity, business agility, and economic adw tta8o while significantly reducing dsk In their production environment. Topics will Include somor hardware, operating "stem, high availability, resource managemnl, and managing the hlglIend somOr onv[ron ment. In addition, Ihls course will help candidates prepare for Me Unisys Data Center Certiflad Pmfosslonal exam, ImplameminD S Supporting Microsoft Windows Sarver 2003 Solutions In the Data Canter (UNO -1 DI). Tuition Is 8.500 par aKOndn at a Unisys . training faculty. CEL1031P EOUC:SawSantlnal Public 52.500,00 Server Seminal Workshop: Implementing and Supporting SaffWanaging Technologies In the Dale Canter. This workshop prepares R personnel to unlock the selfm naging and self- hoaling capabilities 01 Unisys CMP.basod Fervors. The 54ay, hands -on, Inslmclor-lad training covers Me features and functionality of Serer Seminal. Topics Include Installation, configuration, navigation, health monitoring and reporting. Implamenlation of selM1healing features, and enlamrtso systems management Integration. Through specialized support har"am and saltwam dmialopod for Unisys mainframe tochnologloS, aDOndoes will loam how Sewer Sentinel provides the CMP environment with the high loyal of Milablllty and manageability necessary to meet the needs at 155792204 -PM PS: TCS PM 4 HOURS 51,2atrm 5LU4u.uu 5282.De The Unisys project manager will oversoc the Installation of Me Unlsy"uppiled hardwam, i CX300 -DPE EMC DISK: CX303 W 2136 FIELD INSTALL working with Me client loam to c00rdlnale the Ovelall configuration process. S12.400.00 ESTOMBSU PS: TCS CSTM SVC B HRS $2.000,00 51700.00 A SST TCS consultant will confirm the physical Installation of the 3020 1 CX800.DAE Servers and configum the sowers for use an the Giant network 59.200.00 ES7B22DB -ND PSi510,520,BCPU,NDC 55.600.00 $4.700.00 EMC STYLE: CX413DAE -FO SAE 2Gb UP ENCFLO INSTL A SBT TCS consultant will confirm The physical Installation Of We ES70001510 and configure the senor for use on the client EMCOISK:146GB IOK 5208PS 2GB 12V 548,170.00 network S41 2 CUL1714 Cable: FC Sm shortwave, LCLC connectors. 50mlrcon $850.00 5282.De i CX300 -DPE EMC DISK: CX303 W 2136 FIELD INSTALL $15,500.00 S12.400.00 $12 EMC STYLE: CX300FD CX300 W 2GB FIELD INSTALL 1 CX800.DAE EMC DISK:DAE O VATH RAIL KIT, AND SPS FIELD INST MANUALS 59.200.00 54.960.00 $4 EMC STYLE: CX413DAE -FO SAE 2Gb UP ENCFLO INSTL 30 CXR1461D4!GF EMCOISK:146GB IOK 5208PS 2GB 12V 548,170.00 $1,308.0 S41 EMC STYLE: CX.2G10.14814SGG 10K S2DPS 2GB 12V 3 C6L171d Cable: FC San shorMaw, LCLC connectors, SOmlrcon 5850.00 5262.00 Cable: FC San shortwave, LCLC connectors, 50mleran optical duplex cable for connections bamboo 2Gb and 2Gb components. 1 CX60O1CUS EMCDISK:CLARIION SERWCE MOOEMLS $0.00 50.0 4 OSM1001.PRC INSTLOSM IEC320 PWR CRO S52.0D 510.0 1 CX20030051'5 EMC DISK: SPS ADD40N CX200 OR CX300 5800100 Sa40SO EMC STYLE: CX2d005PS SPS AXi 0X200 OR CX300 1 CX3004DOC EMC DISK: ARRAY DOCS S RTU $0,00 SOLD 76277 C_X3D_SONwarv: - - - -I Unisys Confidential 111712005 Page 1 Unisys 76277 ORANGE COUNTY - COPLINK HA PILOT APPLICATION ES7000.5104X 1Partition DataBase Server I CXN300-WR1( EMC SW: CX300 NAVI WORKGROUP OTC 3213W.W 52.u7e.W $5.000.00 EMC STYLE: NAV300 -WG CX300 NAVI WORKGROUP $60,129.00 CX300 Software Total $5;977.00 1 CXNSW7 R EMC SW: NAVI WORKGROUP MEDIA OTC 50.00 SDOD _ 53,252.00 EMC STYLE: NAV4IPKIT NAVI DEPARTMENTAL MEDIA $149,491.00 Yaar a 2 CXNSGD4NK EMC STYLE:NAV -WGKIT NAVI WORKGROUP MEDIA OTC saw S0.00 EMC STYLE: NAVAGTM'INKIT HAW AGENT WINDOWS MEDIA 2 CX6001 -VAN EMC SW:Wlndows Soft.. Utilities OTC 598.00 S43.01) 1 CXHa004LV PERIF SW:UNISYS CALL HOME JES70MONLY) OTC $20.00 518.00 1 PPWI -WN EMC SW: PPATH WINDOWS DFP OTC 52.520.00 52,209.00 EMC STYLE:PP -WN43P PPATH WINDOM MEP 1 CXP900 -WKT EMC SW:POWERPATH WINDOWS NIT OTC WIN SO.W EMC STYLE: PP4 4UT POWERPATH WINDOWS KIT 1 CXP20D -WN EMC SW:PPATH BASE WINDOWS OTC 51.150.00 S1.03500 Implementation services for a CIAMION CX30WCX200 disk array. An SBT TCS storage consultant will review No cllonVa requirements, design the appropriate disk array, configuration and Implement Ore configurollon utilizing established goal Prac9C9s. Once' Implemented, the design Is documented In the Storage Implement Guido (SIG) for the sneers future mhranca. The service also Includes Ore Installation and configuration of storage management soft me on one Madow"ased Wolkstallo. or some, A Base Storage Implamost lion SaMca (STO920014NS, STO920104NS, or ST0820114NS) is not required In conjunction with IRIS service, but may an optionally added based on the client's specific needs. 2 STO921e14NS PS: Windows Storage Attach lmplumentallon SaMc $1,800.00 Storage Implementation samho to Intagato mall-range, films channel attached Storage to a Windows senor. An SST TCS storage consultant will review Me Windows server storage requirements and design a configuration utilising asablished best practices to moot ILO Steel's mqulmnunts. Using this design the storage eansuMint will Install file required drivers and configure the Unlsys fibre channel stotago. Once Implementatl, the design Is documented In the Storage Implement Guido (SIGs for the client's future reference. Thu samice also Includes the Installation and configuration of storage man2mmenl daHWare on one Windows - based workstation or Server. Installation of hardware components such a hest bua adapters(HBA) Is at Included In (his SeMfq. this ..Me.. This service requlres a Soso Storage Implementation service (5T0920014NS. ST0920104NS. or 5T0020114NS) or a valid SIG for the client's cement Imptamen ellon. 2 ST0921064N5 PS: EMC Powedualh Implomentallon saw 00 Integrate EMC PovnuF%th software on client's sorvor accessing a CLARRON storage array. Configure and last Its functionallly, and document In the Storage Implementation Guido (SIG) for the client's future reference. NOTE: Not resulted when connecting to MCP native or OS2200 host. 5765.00 5240.00 Es7000 -510 Hardware Total $58,701.00 Es7000510 Professional Services Total $8.580.00 WOOD-510 Education Services; Total $5.000.00 CX300 Hardware Total $60,129.00 CX300 Software Total $5;977.00 CX300 Scrvicos Total $3,731.00 Estimated Local Delivery Charge, $702.00 _ _ Instatlall_On Charges (All) _ _ _ 53,252.00 GRAND TOTAL $149,491.00 4alntonance: Maintenance Lovol (NW and SV4: 9x5%4 HR Response for 3 years Hardware Support: 9x5%4 coverage SoHwam support: gas coverage Your 1 $1,858.0( Your S1.7721M Year 53.2840 -- Malntonanco Subtotal — -- 59:712:01 dulnlonanco: Maintenance Level NW and SVA: 24x7X4 Mr Response for 3 years Hardware Sup"": 24x7x4 coverage Software Support: 240 coverage Year 52.052.01 Your 2 52.1960 Yaar a 53.94301 _ ^ - -'— - -' Maintenance S.6fo —fat -- 58,91.01 Unisys Confidential 1/17/2005 Page 2 Appendix "F" Project Staff Resumes Knowledge Computing Coi oration: Robert Griffin, President Wochiech Wyzga, Chief Technical Officer William Oliver, Senior Development Engineer Bradley Cochran, Deployment Manager Robert Fund, Product Manager and Trainer Jason St. Peter, Systems and Technical Support Manager Unisys Corporation: Robert Sprecher, Project Manager Larry Layhee, Technical Consultant Robert Griffin 9324 East Sanctuary Place Tucson, AZ 85749 EXECUTIVE Hands on senior executive with almost thirty years experience that drives change through PROFILE: corporate growth and revenue generation. Outstanding track record in creating real value for shareholders in domestic and international organizations through strategic development, bringing commercial technology's to market, acquisitions, corporate turn- arounds and profitable exit strategies. General management, M&A, P &L and profitable growth of businesses with revenues up to $600 million. Representative experience includes: • Sales, Services and Marketing management • Leading multi - cultural workforce • Mergers, Acquisitions, Divestitures • Strategic planning • Conceive, launch and grow businesses • Business process improvement • Excellence in customer satisfaction • Board governance CAREER I Knowledge Computing Corporation Tucson Az 2002- Present HIGHLIGHTS: Chief Executive Officer/ President Recruited by the Board of Directors to turn - around a struggling technology company that burned through its seed capital, and had fallen short of its technology deliverables. Selected Accomplishments: • Stabilized and focused the company in complementary vertical market • Released our first commercial product V2.5 and V3.0 COPLINKTM • Doubled revenues, reduced the burn and achieved profitability • Operationalized the company and built over a $IM+ backlog • Significantly increased our client base and shortened the sales cycle • Developed a strong channels partnership program EMOTION Inc Vienna VA 2000 -2002 Chief Executive Officer /President Co- founder, President and CEO of eMotion Inc, a Media Asset Management company that was created as a result of a merger I facilitated between Picture Network International (PNI) a Kodak subsidiary and Cinebase software. Selected Accomplishments: • Grew revenues to over $15M in year one • Created our flagship commercial product MediaPartnerTM • Raised over $55M in financing • Achieved the Deloitte and Touche Fast 50, Fast 500 for 2 consecutive years • Acquired and integrated 3 additional companies • Spun out two new multimillion dollar revenue generating companies Picture Network International. Ltd. Vienna. VA 1998- 2.0_0_0 Chief Executive Officer/ President Recruited in January 1998 by Eastman Kodak, the parent of PNI, to turnaround and develop PNI into a significant provider of on -line Stock photography and Media Management Services. Selected Accomplishments: • Launched the first on -line Stock photography portal (PictureQuest) • Launched the first Media Management Hosting services in the industry • Grew revenue from $500k at time of acquisition to $3.2M in 98 and $6.8M in 99 • Grew PictureQuest to the largest stock and royalty free provider with over 170,000 users • Grew Media Hosting Client base 10 fold COMPANY CONFIDENTIAL Page 2 Robert Griffin CAREER Internet Business Advantages, Inc. Burlington. MA 1996 -1998 HIGHLIGHTS: Chief Operating Officer Funded by Greylock Management, IBA is a professional services company with the focus on creating business advantages using Internet technology within and between companies, organizations, and individuals. (IBA's successes lead to an acquisition by Kana Software a leader in ECRM solutions.) Selected Accomolishments: • Raised over $411 in series A venture investment • Operationalized the company • Developed product/services practices portfolio • Delivered over $2.5M in revenues first year • Created a Security Consulting spin -off and 7V with Raptor systems (later acquired) Norstan Communications Inc. Minneaoolis. MN ___1995 -1996 Executive Vice President - Norstan Integration Services Recruited by the President and Chief Operating Officer to build a Systems Integration Division with the goal of enabling Norstan to become a complete Voice, Video and Data Solutions Provider. Selected Accomplishments: • Recruited and launched a new division to support US and Canada • Defined vertical markets and horizontal solutions practices • Developed best practices and methodologies • Grew revenues 50% quarter over quarter • Contributed more than $15M in net operating revenues Digital Equipment Corporation, Maynard, MA 1979 -1995 16 year career in domestic and international assignments from Consultant to Vice President responsible for the information systems of a $26 business unit. Completed 18 month Executive Management Development Program in the Office of the President. Vice President - Chief Information Officer • Reduced annual spend from $175M to $125M • Delivered the largest SAP R3 implementation in the industry on time, on budget Vice President - Digital Consulting • Number one in Revenue growth (40% y /y) and Customer satisfaction • Generated $250M in annual billings Vice President - Media Business Unit • Delivered $600M in annual revenues • Achieved a 30% targeted growth and a 12 -point margin improvement Special Assignment - Office of the President • Participated in the Business Process Re- design of Digitals basic organizational structure Participated in the workout planning and path to profitability directions District Manager • Grew consulting revenue from a base of $300k to over 19M in 3 years • Increased hardware sales from $22M to over $123M in the same period U.S. Business Development Manager • Grew revenue by 40% in less than 18 months • Improved margin by 8 points and satisfaction surveys by 33% Corporate Account Manager • Expanded client relationship from divisional presence to enterprise wide presence • Grew business 30% year over year to a $75M account Mohawk Data Sciences Herkimer. NY 1976 -1979 Senior Software Analyst Led client engagements providing integrated solutions in the Retail, Banking and Telecommunications industries. Led a design, development and implementation to build the first private X.25 network in Europe. COMPANY CONFIDENTIAL EDUCATION: AWARDS AND U.S Army, Fort Gordon, GA 1973 -1976 Signal School Instructor Lead programmer in a progressive multi - processor environment. Taught introduction to programming and systems analyst techniques to signal school officers as part of their advanced Signal Training. Franklin Pierce College - Business Management Continuing Education: "Advanced International Management" Executive Education Program, Insead and Digital "NASDQ - Mindshare" entrepreneurial program - Washington DC "Managing for Excellence," Bradford and Cohen "Management of Service Operations," Brown University and Digital 2001 Ernst and Young Entrepreneur of the Year - software Category, Software Excellence, Service Excellence, Circle of Excellence, District challenge, Presidents Club - Top Performer awards, White House Press Photographers Assoc., Multimedia Assoc. of America, hold a U.S. Patent in Method and Apparatus for Digital Media Management, Retrieval and Collaboration COMPANY CONFIDENTIAL WOJCIECH J. WYZGA 7680 E. Park View Dr. Tucson, Arizona 85715 (520) 721 -2658 Years of Experience: 9 SUMMARY OF WORK EXPERIENCE Coordinated an eight - person group as a Manager of Operations Maintenance and Interfaces. Previously worked as a Software Engineer and a Team Leader. Done extensive work with Java, C, C ++ , Visual Basic, Sybase, ORACLE, and MS SQL Server. Designed technical architectures for ERP system using client server solutions and CASE tools. EMPLOYMENT HISTORY 7/00 - Present - KNOWLEDGE COMPUTING CORPORATION Vice President, Engineering • Designed new architecture for COPLINK Connect and Detect. • Managing a project that will utilize that new architecture for COPLINK Connect and Detect. • Managed project that created new look and feel for COPLINK Connect and Detect. • Building teams and defining processes for use in the development group. 7/99 - 7/00- CONSULANT - KNOWLEDGE COMPUTING CORPORATION Technology Consultant • Helped in designing architecture and components for a Medical search engine- • Developed a Java based Internet Spider program that stored collected WWW pages in the MS SQL Server 7.0 database- • Helped in maintenance and enhancements of the CI Spider (Personal Internet Spider). 82/96 - 7/00 - SYMIX SYSTEMS, INC. Operations Maintenance and Interfaces Manager • Managed day -to -day MIS operations for the office of 50 people. Three - person group responsible for maintenance of 20+ Windows NT and MS SQL Servers and 45+ Windows 9X and NT Workstation clients. • Managed a conversion of installations of multiple applications components into one Windows 2000 compliant installation program. • Managed an interface projects to Trilogy PowerPack and KeyFlow, both products utilized ActiveX DLLs and COM architecture. • Coordinated releases of the product. Was responsible for setting up and maintaining test servers and upgrades of customer data. Team Leader /Designer • Designed and implemented a data migration program for conversion of customer data to newly released application database schema. • Designed and developed enhancements to Serial Tracking and Tracing components of the application. • Designed and implemented integration between a fmite forward scheduler and shop floor control. Designed and implemented Customer Order Shipment component of the Order Entry. Senior Software Developer Work on translation of a product from Sybase to MS SQL Server 6.5 COMPANY CONFIDENTIAL • Created design for universal Notes System and Error Message System. • Helped define a new architecture and user interface using COM Objects. • Worked on a creation of Front End Forms for the presentation of data to the user. • Helped implementing a project that used a triangulation method for currency conversion in Accounts Payable and Receivable. 2/98 - 7/99 - RESEARCH ASSISTANT, UNIVERSITY of ARIZONA, Al LAB Software Developer /Designer • Developed a Java based Personal CI Spider program that collected WWW pages, provided automatic phrase extraction using NLP and categorization through self organizing map. • Designed a front -end architecture for a Java based program that allowed users to perform texture queries of JPEG pictures database. 5/91 -2/96 - AVALON SOFTWARE, INC. Software Developer • Wrote translator in C that translated RPT (old ORACLE reporting language) programs to SQR programs. • Developed a translator in C ++ that took Sybase table create files, with user defined data types, rules, and defaults and generated ORACLE table create files with table constraints. Software Engineer • Developed new table trigger strategy that improved performance (60 %) and maintainability. .Helped develop design standards for software engineers- • Designed and coded SQL code generator in C ++ .Program takes series of DEFT (Sybase CASE tool) reports and generates code (table creates, table triggers, validation stored procedures, and list of values stored procedures). Relationships and some business rules are generated as constraints on a table. Whole information is stored in a Sybase database for later use. • Designed and coded APT Forms code generator in C + +. Program takes a DEFT CASE Form Designer report and produces an APT Form. Program uses Sybase database to get information about relationships between tables- • Designed and coded a reverse engineering tool in C ++ .It takes an APT form as an input and produces DEFT CASE Form object file- • Designed a printing facility for A V ALON product. Reports are stored on the file system in a designated directory. Users can pick an existing report, if they have permissions to do so, and send it to a printer of their choice. SKILLS • UNIX, MS -DOS, WINDOWS 9X, WINDOWS NT, WINDOWS 2000 .ORACLE, Sybase, Access, Microsoft SQL Server • C ++ , C, Visual C ++ , Visual Basic, Pascal, A WK, Java, Visual J ++ .ErWin, Rational Rose, Microsoft Visual Modeler EDUCATION UNIVERSITY OF ARIZONA Tucson, Arizona Graduated May 1991, Bachelor of Science, Major: Computer Science, Minor: Mathematics. GPA 3.2/4.0 COMPANY CONFIDENTIAL William J. Oliver 2922 S. Harrison Rd. • Tucson, AZ 85730 • (520) 885 -7040 woiiver(@,cs.arizona.edu Objective To obtain a position as a software engineer or research programmer. Education UNIVERSITY OF ARIZONA, TUCSON, ARIZONA Bachelor of Science in Computer Science. May 1000. Magna Cum Laude GPA: Overall: 3.84; Computer Science: 4.0 Awards and Honors: Microsoft Junior Achievement Award, Golden Key National Honor Society, Dean's List, Eagle Scout. Relevant Course work: Networks; Parallel and Distributed Programming; Object- Oriented Programming and Design (with UML); Introduction to Graphics; Compilers; Automata and Grammar; Comparative Programming Languages; Data Structures and Algorithm Analysis; Foundations of Computing; Unix Tools; Linear Algebra. Employment KNOWLEDGE COMPUTING CORPORATION (KCC) 6601 E. Grant Rd., Suite 201 Tucson, AZ 85715 Software Engineer. May 2000 — Present. Responsibilities: Lead developer of the CI Spider, Meta Spider, and Med Spider (see Al Lab below for Spider description). Automatic Medical Database searching for www.helpfulmed.com. GUI development on COPLINK in both Java(Swing) and HTMIJJavaScript /Applet/Servlet/ODBC (COPLINK 2) versions. Participated in development and customer support of COPLINK 1, and the design, development, and support of COPLINK 2. UABPA/MIS ARTIFICIAL INTELLIGENCE LAB, UNIVERSITY OF ARIZONA Dr. Hsinchun Chen, Director. Ph. (520) 621 -2748; 621 -4153. http: / /ai.bpa.arizona.edu Research Programmer. March 1999 — May 2000. Responsibilities: Research and programming in knowledge systems and information retrieval. Conceptualized, implemented, and evaluated the automatic text summarizer. Worked on Spider development: automatic retrieval, analysis, categorization and visualization of on -line data sources, including web pages. Work in Java and C. See web page for demos. FIRST DATA CORPORATION TELESERVICES 1650 S. Research Loop, Tucson, AZ 85710 -6755. Ph. (520) 290 -7000 Long Distance Operator/ Portuguese Translator. May 1998 —August 1998. Responsibilities: Long distance operator (domestic and international) for MCI, in English and Portuguese. Portuguese translator for Customer Service. PORTUGUAL LISBON SOUTH MISSION OFFICE (CHURCH OF JESUS CHRIST OF LATTER -DAY SAINTS) Historical Secretary. July 1996 — February 1997. Voluntary Service. Responsibilities: Record - keeping and database upkeep of new membership records. Three - computer network maintenance. Computer systems troubleshooting. English/Portuguese translation. Monthly newsletter and varied presentation projects. TUCSON RADIO AND T.V. 4500 E. Speedway #91. Ph. (520) 326 -4305 Technician. Fall 1993 -Spring 1994 Responsibilities: Basic repair of electronics (VCR T.V. Radio, etc.). Receptionist. Computer Skills Application: Core] Word Perfect, Paradox; Microsoft Word, PowcrPoint, Access, Excel; Development: Microsoft Visual J + +, C++, InstallShie]d, SourceSafe. Operating Systems: Windows 95/98/NT/2000, MS-DOS Unix — familiar with commands, makefiles, scripting, emacs, gcc, gdb, X- windows. Programming: • Java (Swing, Applets, Servlets, Threads, JNI, JDBC /ODBC) • C/C + +, Assembly (SPARC), SR, Icon, Prolog, ML, Pascal, Basic, Lex, Yacc, HTML and JavaScript Bradley D. Cochran 3362 E. Broadway Blvd. Tucson, Arizona 85716 (520) 360 -2709 cochranAazstarnet.com Profile: Twenty -five year successful track record of experience as a law enforcement professional and information technology consultant providing innovative strategies and solutions to emerging information technology needs in the criminal justice system. Education and Experience: Bachelor of Science — Business Administration Management Information Systems University of Arizona - December 1996 Knowledge Computing Corporation — Tucson, Arizona May 2004 to Present Deployment Manger Responsible for all implementations of the Coplink Suite of products Management of multiple projects, resources, processes Coordination of client resources and deliverables Operational budget utilization Brad Cochran Consulting Inc. — Tucson, Arizona May 2003 to May 2004 Consultant in information technology specializing in criminal justice. Projects include: • Santa Clara County, California, Department of Correction — Development of functional and technical requirements and preparation of Request for Proposal for Offender Management System. Sierra Systems Group, Inc. — Los Angeles, California March 1999 to February 2003 Consultant with an information technology integration firm specializing in criminal justice. Projects include: • San Diego Police Department — Criminal Records Management System • Santa Clara County, California, Department of Corrections — Business Process Reengineering and Strategic Information Plan • Los Angeles County Sheriffs Department — Los Angeles Regional Crime Information System • Los Angeles Police Department — Risk Management Project • King County, Washington, Superior Court — Juvenile Justice Information Access Tucson Police Department — Tucson Arizona April 1977 to March 1999 Commissioned law enforcement officer, supervisor and technology project leader. Duties and assignments included: • Coplink Project Manager • Crime Analysis Supervisor • Information Technology Strategic Planning Committee • Patrol Supervisor • Patrol and Investigative Assignments Resume Robert J. Fund Name: Robert James Fund Age: 55 Education: Cherry Hill High School, Cherry Hill, New Jersey (1967); University of Arizona, Tucson, Arizona (1967 -75) Work Experience: 1965 -67: Woodcrest Country Club, Cherry Hill, New Jersey: Golf Caddie Range Master 1968: Traid Corporation, Sacramento, California: Sales Representative 1968 -71: The Toy Shop, Sacramento, California: Sales Clerk Assistant Store Manager 1972 -2000: Tucson Police Department, Tucson, Arizona: Police Officer Police Sergeant Police Lieutenant 1983 -1988: Pima Community College, Tucson, Arizona: Defensive Driving Instructor (part-time) 1990 -1994: Arizona Chapter National Safety Council, Tucson, Arizona: Instructor (part-time) 1994 -2002: Arizona Supreme Court, Phoenix, Arizona: Program Specialist (part-time) 2000 —: Knowledge Computing Corporation, Tucson, Arizona: Product Manager Professional Recognition: Honor Graduate, SALSA (1972), Tucson Police Department Officer of the Year (1982), Benevolent and Protective Order of Elks Lodge #385 Outstanding Instructor (1987), Arizona Law Enforcement Training Academy Medal of Service (1992), Tucson Police Department J. Stannard Baker Award (1996), International Association of Chiefs of Police Medal of Merit (1997), Tucson Police Department Professional Accomplishments (Tucson Police Dept.): Police Officer (1972 -1979 Patrol Officer Team Training Officer Police Sereeant(1979- 1982): Patrol Supervisor DUI Squad Supervisor Field Training Officer Communications Officer Acting Lieutenant in command of Special Support Team COMPANY CONFIDENTIAL Professional Accomplishments(cont.): Police Lieutenant (1982 -2000) Community Services Division Commander Support Services Bureau Executive Officer Arizona POST Staff Member Tactical Support Division Commander Patrol Commander Traffic Enforcement Commander Special Support Division Commander Technology Project Manager Training Director, Arizona Law Enforcement Training Academy COMPANY CONFIDENTIAL Az POST General Instructor Az POST Specialty Instructor AIRM ?S'Olt' CERTIFIED Professional JASON ST. PETER Jason @stpeterfamily.com 8816 N. Bottiebush Ln. Tucson, AZ 85742 520 -572 -0304 OBJECTIVE EMPLOYMENT EDUCATION SKILLS To participate in a team effort for the purpose of developing a successful information systems environment and to bring to the table a dedicated, experienced player who enjoys the atmosphere of new technologies. Electronic Warfare Operator U.S. Navy (6191)- (12194) Florida, San Diego, and Hawaii Extensive knowledge of world missile and defense systems. The job's official title was Anti -Ship Missile Defense. Advanced to petty officer third class in only 3 1/2 years. Honorably discharged with the highest rank of assessment (docs. available upon request) and held a secret clearance throughout enlistment. Information Systems and Telephony Night Operator Artisoft, Inc. (8197) - (07100) Tucson,Arizona Employed in the IS &T department. Appended daily sales and tech. support revenue via custom software scripts to the general ledger. Performed all aspects of network upgrades and maintenance, including associate computer troubleshooting and repair. Participated in the company's teardown and rebuild of the entire computer center from one site to another. System's Administrator (9198) - (5100) Artificial Intelligence Lab at the University of Arizona's Management Information System's Dept. Performed all aspects of maintaining a high -end computing, educational research environment. Built a secure intranet to protect sensitive research data using a custom built firewall and Intranet technologies. Wrote final papers regarding a 3Com- sponsored project to research network Quality of Service and prioritization of network traffic. System's Administrator (5100- Present) Knowledge Computing Corporation Built an I.T. infrastructure from the ground up. Developed and maintained all aspects of a corporate intranet and extrenet environment such as: local Email and web hosting, network infrastructure and security, software installation and licensing issues, general associate support, and VPN and remote access. Performed system's analyst role for custom network, hardware, and software solutions for the company. B.S. in Management Information Systems UNIVERSITY OF ARIZONA Brigham Young University- Hawaii May. 2001 TUCSON, ARIZONA Jan. 1996 -June 1997 Laie, Hawaii Completed several classes involving computer networks and support, including: Windows NT, Novell and other Microsoft related products. Received C.N.A. (Certified Network Administrator) certificate through the school's partnership with Novell. Was involved with the schools computer lab upkeep and assistance. Finished classes in C- programming on Silicon Graphics' Unix machines. • 8 years of computing hardware and software experience • Microsoft Certified Professional in Windows 2000 Professional • Certified Network Administrator (CNA) certified through Novell, Inc. • Operating systems: All Windows platforms, Linux, HP -UX, and Irix • Network systems: DNS, Email and Web hosting, Network Security and design, VPN structure and uses • Software backup schemes and licensing • All forms of server and workstation hardware installation and troubleshooting • I.T. Business relationships COMPANY CONFIDENTIAL UNISYS Robert H. Sprecher Solutions Director Unisys Corporation B.A., Criminal Justice Management, Loretto Heights College, Denver, Colorado, 1988 Other relevant training: • Certificate in Management, University of Colorado, Graduate School of Public Affairs, Denver, Colorado, 1989 • Certified Corrections Executive, American Correctional Association, Lanham, Maryland, 2000 • Colorado Peace Officer Certificate, Colorado POST Commission, Golden Colorado, 1977 • Hostage Negotiation Federal Bureau of Investigation, Quantico Virginia, 1980 • Curriculum Development Training, National Academy of Corrections, Boulder, Colorado, 1989 • Train the Trainer, National Academy of Corrections, Boulder Colorado, 1990 • Jail and Prison Classification for Administrators, National Academy of Corrections, Boulder Colorado, 1988 • Certified Corrections Executive, American Correctional Association, Lanham, Maryland, 2000 • Colorado Peace Officer Certificate, Colorado POST Commission, Golden Colorado, 1977 • Member — American Correctional Association • Member - American Jail Association • Member - Project Management Institute • Member — Police Executive Research Forum • Member — International Corrections and Prisons Association 0 • UNISYS Robert H. Sprecher Solutions Director Unisys Corporation Unisys Corrections Program Director Enterprise Transformation Services Justice and Public Safety Practice CorrLogic Senior Project Manager Shelby County Tennessee Director of Corrections Carter Goble Associates Senior Planning Associate Arapahoe County Sheriff's Department Deputy Detention Commander Adams County Sheriff's Department Captain November 2001 — Present January 1999 —October 2001 November 1996 - January 1999 January 1991— October 1996 November 1986 — January 1991 October 1976 — November 1986 UNISYS Robert H. Solutions Director Unisys Director of Corrections Shelby County Tennessee Mr. Sprecher responsible for the administration and management of the 3,500- bed Department of Corrections, Mr. Sprecher planned and implemented public policy involving restorative justice, rehabilitation, work programs and antigang initiatives in a culturally diverse environment. As a member of the Memphis /Shelby County Crime Commission, responsible for development of "Best Practices in Local Corrections." Milestones achieved during this appointment include reducing correctional officers by 12 percent through efficient deployment, while the population increased from 3600 to an ADP more than 4,500 inmates. Through effective supervision programs the organization reduced inmate -staff violence by 76 percent and inmate- inmate violence by 51 percent in a 12 -month period. Established a mediation program, creating a workplace environment with no arbitration cases for two years, and decreasing staff sick leave use by 30 percent. Senior Planning Associate Carter Goble Associates As a Senior Associate, Mr. Sprecher managed the Denver, Colorado branch of Carter -Goble Associates, a nationally recognized criminal justice planning firm. Provided pre - architectural and operational management consulting in the areas of public safety, corrections, health care and training. Managed activation and transition projects throughout the United States, in Singapore, Bermuda and the United Kingdom. Representative clients included the Allegheny County (Pennsylvania) Prison Department, Los Angeles County (California Sheriff's Department, Tennessee Bureau of Investigations, Durham (North Carolina) Sheriffs Department, City of Omaha (Nebraska) Police and Fire Departments, South Dakota Department of Corrections, Richland County (South Carolina) Sheriffs Department and the Atlanta (Georgia) Department of Corrections. Deputy Detention Commander Arapahoe County Sheriffs Department Mr. Sprecher joined the Arapahoe County Sheriffs Office as a Lieutenant responsible for accreditation and training in the 300 member Detention Division. During his tenure at ACSD, Mr. Sprecher was named the Deputy Detention Commander and his duties expanded, to include contracts management, support services, administration, and command of the Department's Emergency Response Team. In 1988 Mr. Lt. Sprecher was appointed a Deputy United States Marshal responsible for security and transportation of terrorists from the Justice Center to the United States Courthouse for nearly one year. Prior to joining Arapahoe County, Mr. Sprecher served first as a Deputy Sheriff, Detective and Captain at the Adams County Sheriff s Office in Brighton Colorado, where he was recognized with a personal commendation from FBI Director William Webster for initiation and pursuit of cases leading to the conviction of nearly 40 members of the "Sons of Silence" motorcycle gang for racketeering and other enterprise crimes. 2 UNISYS Robert H. Sprecher Solutions Director Unisys Corporation Background Summary Mr. Sprecher serves as a Solution Director within the Public Sector practice of Unisys. He has more than 25 years of national and international experience, in technology development, architectural programming, and project management for more than 25,000 prison and jail bed spaces, IT implementation, and facilities development. Projects included international experience at the Wolds Remand Centre and Blakenhurst Prison for Her Majesty's Prison Service in England; Westgate Male Prison in the Commonwealth of Bermuda, and Tampines Drug Rehabilitation Centre and Woodbridge Special Mental Health Hospital in Singapore. In the United States, he provided project management for the Ventura County Criminal Justice Information System (VCJIS), in Ventura, California, the Wayne County Sheriff's Jail Management System in Detroit Michigan, the Hennepin County Sheriff's Inmate Information System, the Los Angeles Sheriff's Office Twin Towers Expansion in Los Angeles, California; the Atlanta Department of Corrections Adult Detention Center Project in Atlanta, Georgia; and the Allegheny County Prison in Pittsburgh, Pennsylvania. Selected Career AccqqTHOments_ Corrections Program Director, Enterprise Transformation Services, and Unisys Justice and Public Safety Practice Mr. Sprecher serves as the Corrections domain resource for the Justice and Public Safety practice within ETS. In this role, he has provided technical assistance, consulting and services delivery to Unisys clients in the United States and internationally. Mr. Sprecher coordinates the program development efforts of architects, developers, project managers and client representatives in delivery of jail and prison information systems. Mr. Sprecher is an active member of the International Corrections and Prisons Association, acting as a featured speaker and correctional resource to governments worldwide. Senior Project Manager CorrLogic Mr. Sprecher was responsible for specialized software application project management and business development throughout the eastern half of the United States. During this engagement, Mr. Sprecher managed projects for the delivery of state -of -the -art information systems providing data, imaging, and data warehouse services to integrated justice systems in Ventura County, California, Wayne County, Michigan, St. Louis County, Missouri, and Hennepin County, Minnesota. Delivered 4 major software installations on time, and within budget while working with composite teams of engineers, business analysts, trainers, writers and hardware experts. In 2000 he marketed the company's first new project, to the City of St. Louis, Missouri, and provided existing clients enhancements and services, including a new interface to an RF offender tracking system. LARRY LAYHEE UNISYS CORPORATION BACKGROUND Includes 17 years experience in the systems area of the information SUMMARY processing industry utilizing skills in analysis, planning and problem - solving with emphasis on: • Court Case Management • Capacity Planning /System Systems (8 years) Performance • Technical Consulting • IS Operational Reviews • Presentations and Seminars • Custom Service Definition • Crisis Resolution • Imaging Integration SELECTED CAREER ACCOMPLISHMENTS Technical Technical architect and lead on Probate Imaging Computer System (PIGS) Consulting Project at Orange County Superior Court. Providing FileNet Imaging and workflow Integration Services Teaching Java technology and providing Java leadership for Orange County Superior Court Provided technical direction in E- filing at OCSC Led multiple systems upgrades across Court Domains including Probate Court, Juvenile Court, and Family Law Court Designed , built and implemented Public Access for Orange County Superior Court providing Calendars and Attorney Notes over the public Internet for Civil, Family Law and probate Courts Customer Survey Award for contributing to Business Success for Orange County Superior Court for 2001. Customer Survey Award for contributing to Business Success for Orange County Superior Court for 2000. Successfully Lead Implementation of Banner Courts Software for Phase II and Phase III of the Orange County Superior Court Project involving Oracle Database administration, Forms 4.5 custom modifications, and Conversion efforts. White Paper Technical architect and Author of Bureau of Criminal Identification and Technical Investigation conceptual White paper utilizing Microsoft NET technologies Development Including Biztalk Server for secure disposition reporting over the public Internet. Technical architect of CrimNet proposal white paper response for State of Minnesota utilizing Biztalk and Microsoft NET technologies Crisis Resolved several performance related Database problems during the Resolution Banner Courts software implementations using Oracles TKPROF utility LARRY LAYHEE UNISYS CORPORATION to identify and resolve performance bottlenecks. Analytical Utilization of Oracle Designer to reverse engineer the Banner software in Modeling preparation for custom modification. Capacity Database physical layout planning for the Banner Software for the Orange Planning County Superior Court. EMPLOYMENT UNISYS CORPORATION, Mission Viejo ,CA 1995- Present HISTORY System Architect VEDA Inc, Software Engineer 1989 -1995 NAVALEX, Software Engineer 1985 -1988 EDUCATION B.S.E.E University Of California San Diego 1985 Professional Courses Include: Oracle Business Objects for Java 2002 Intermediate XML University of California Irvine 2001 Oracle Database Administration 1998 LARRY LAYHEE UNISYS CORPORATION PROFESSIONAL SUMMARY ORACLE SYSTEM ARCHITECT System Architect on retainer for Orange County Superior Court in support of their Public Access and Electronic Filing projects using Perl, Java, XML,PL /SQL and HTML. Recipient of Customer Survey Award for Business success in support of Orange County Superior Court for 2000. System Architect/Technical lead for Phase II and Phase III of the ICMS project for the Superior Court of Orange County. Integration of Banner application with Imaging and On Line Services on Sequent Unix Servers in a Novell network environment..Performance tuning,Capacity planning,Oracle database development using Forms 4.5, Reports 2.5, PUSQL.,SQL Plus, Oracle Pro C,Designer 2000. SofTWARE ENGINEER Oracle database development using Forms 4.5, Reports 2.5, PL/SQL.,SQL Plus, and Oracle Pro C. Lead imaging systems engineer in Veda's Document Management Systems (VDMS ) using advanced imaging system software (Le Excalibur Electronic Filing System,Oracle database,Calera recognition engine and Odesta workflow software in a unix client/server environment. Database development and modeling using linear,nonlinear and ad hoc regression methods in Statistical Analysis System Software (SAS). Nonlinear Stoichastic data modeling using Neural Networks and Wavelets. System analyst for DSP algorithms for real time weapon system development. Presidential Achievement Award Data Modeling in Sql. Veda Inc SENIOR SYSTEMS ENGINEER. Implementation / maintenance of computer network systems for processing of Airport Surveillance Radar data into the Fleet Area Control and Flight Surveillance (FACSFAC) system. Base Engineering System Plan (BESEP) preparation and implementation. Appendix "G" COPLINK Price List PRICING MODEL* Raserl nn Onencv Census dard Stanc i -i L1 L2 L3 L4 L5* _ Users" <50 51 < 250 251 < 1000 1001 < 3000 3001 -10000 Co link Base $ 25,0.00 included '$ 40,000 included ,$ MOW included $ 85,000 included $ 196',000 included Admin _ J Training included included included included included 1 Standard Data Source included included included included included Migrator included included included included lincluded - Connect Only $ 15,000 $ 17,500 $ 20,000 $ 35,000 $ 85,000 Connect Price $ 40,000 $ 57,500 $ 80,000 $ 120,000 $ 281,000 Detect Only S 20,000 $ 35,000 $ 55,000 $ 80,000 $ 185,000 Star Non Detect Price $ 45,000 $ 75,000 $ 115,000 $ 165,000 S 381,000 Bundled _ - _ Yr -Tyr- 3 Yr $ 25,000 $ 40,000 $ 60,000 $ 100,000 $ 230,000 Bundled Pricing $ 50,000 $ 80,000 $ 120,000 $ 185,000 $ 426,000 Annual Maintenance 18% 18% 18% 18% 18% 15% 15% 15% 15% 15% Data Sources & 15,000 $ 17,500 $ 20,000 $ 35,000 $ 50,000 $ 25,000 $ - 37,500 $ 50,000, $ 65,000 $ 90;000 CBT $' 2,500 $ 5,000 $ 7,500 $ 1.0,000 $ 20,000 Agent $ 10,000 $ 15,0001 $ 20,000 1 $ 30,000 $ 60,000 _ I GIS' Mapping $ 15,0001 $ 20,000 $ 30;000' $ 40;000- _$ 100,000 -- i A3 $ 17,500' $ 22,500 $ 27,500 $ 45,000' $ 70,000 visuafter .$ 15.000 1 $ 20,000 1 $ 30,000 1 $ 40,000' $ 100,000 dard Stanc i -i 1. KCC assumes that if we submit assumptions and /or clarifications that such assumptions /clarifications will be reconciled with the contract specifications during negotiation. 2. KCC assumes that any litigation conforms to the American rule that parties assume their own cost and expenses relating to litigation and attorney's fees. 3. KCC requests that the parties develop a dispute resolution mechanism. KCC reserves it rights after a finding by the commissioner to appeal all matters at law or equity. 4. KCC assumes that security and confidentiality will be covered under the terms of the contract. As a result, we will require our subcontractors, agents and /or employees to also comply with the terms. 5. KCC and Unisys request that the parties discuss and agree to the requirements of this section based on the limitations of vendor and third party proprietary licenses. 6. KCC and Unisys agree that any equipment provided /delivered to the agency will be new and unused. We assume that we can use our own equipment for development and testing (i.e. own laptops, lab equipment, etc.). Unisys assumes that warranty components for systems delivered will be defined by operating statistics provided by product delivered. 7. KCC and Unisys assume that the warranty period for a defective unit or component will be defined as the smallest field replaceable unit. 8. Unisys assumes that any damages from date /time warranty problems will be subject to contractual limitations. 9. KCC and Unisys assume that any remaining warranty period shall survive the end of the agreement. Warranties should be consistent with warranties extended by the manufacturer of the product. See the warranty section of the Unisys System Integration Agreement attached. 10. Unisys assumes that the license grant and associated terms are generally consistent with those terms offered to its commercial customers. See the license section of the Unisys System Integration Agreement attached. 11. KCC and Unisys assume that all support fees which would have been incurred during a period of lapse in services shall be paid and then software support and maintenance shall be reinstated. 12. Unisys assumes that in the event KCC, Unisys or third party proprietary software, documentation and information is used by an outsourcer or facilities management firm for the benefit of OCILJ, that the OICILJ will be responsible to ensure compliance with the terms of use for such licenses. 13. KCC assumes that if the system is used in a production environment that constitutes acceptance by the OCILJ Working Group.. 14. KCC and Unisys assume that in with regard to Intellectual Property that the parties will put in place terms that protect the proprietary interests, including interest in derivative works of the parties. Unisys assumes that the parties will set forth terms to cover all parties, including third party providers, interest in I.P. 15. KCC and Unisys assume that product replacement shall be done consistent with existing corporate policy and may require in certain instances that charges apply. 16. KCC and Unisys will take appropriate and reasonable steps not to write disabling code into any customizations required. 17. Unisys that we will use our 3D - Visible Enterprise methodology, based upon the Rational Unified Process (RUP), during system development and implementation. 18. The OCILJ Working Group must assign a single project coordinator to the project. This staff member must be knowledgeable regarding OCILJ activities and role within the enterprise. This project coordinator will have signature authority for the acceptance of deliverables by the OCILJ. 19. The OCILJ agencies must permit access to employees, government facilities, vehicles and records to permit the analysis described in the proposed project plan. KCC and Unisys agree to fully abide by any and all of the security requirements (above) during normal and after hours activities. 2o. From time to time, the KCC /Unisys team will require working space for conducting interviews, transcribing notes, holding conferences with members of the consulting team and OCILJ personnel. KCC /Unisys would like to minimize interruptions and work with employees as near to their work locations as possible. 21. KCC and Unisys assume that the OCILJ Working Group will provide reasonable turnaround time (to be mutually agreed to) on critical decisions, essential information and approvals which are required to continue with work in progress or which is critical to meeting a deliverable due date. KCC and Unisys expect that a decision will be evaluated to the appropriate management level to make a decision in a timely manner. 22. KCC and Unisys assumes that the OCILJ Working Group will perform its obligations and render any assistance described in this proposal in a timely manner and in a manner as to adhere to the proposed schedule. In the even that KCC or Unisys are delayed or prevented from performing their obligations, to the extent that the delay is caused by factors beyond the reasonable control of KCC or Unisys, including without limitation, the inability of the OCILJ to perform its responsibilities in a timely manner, KCC and Unisys will be entitled to an equitable adjustment in the timetable and compensation as set forth in the agreement. 23. All changes requested to the terms of this engagement will be addressed through change control procedures. 24. The OCILJ agrees to provide Unisys with adequate workspace during all phases of the project. This includes access to telephones, copiers, fax machines, LAN connections and other standard office equipment. The OCILJ will provide the workspace for approximately 3 Personnel. 25. The OCILJ shall provide all information, data and documentation reasonably required by KCC and Unisys to deliver the services, products and system. With respect to any software, documentation, interfaces, data or specifications supplied by the OCILJ, the OCILJ warrants to KCC and Unisys that it has the right to use and to disclose to KCC /Unisys team members all information so provided. 26. For each project deliverable, KCC and Unisys will present to the OCILJ project coordinator with a Deliverable Acceptance Statement. The project coordinator should sign and return a copy of this form to the Unisys project manager. If the OCILJ does not return a signed copy, or a written description of any perceived deficiencies in the service, within two (2) days after receipt of the Deliverable Acceptance Statement, then the services will be deemed accepted. 27. OCILJ users have a knowledge of personal computers and can start and shut down the system. 28. OCILJ users are familiar with Microsoft Windows software conventions 29. OCILJ users are familiar with the use of a PC keyboard and pointing devices 30. OCILJ PC workstations have at minimum a 200 MHz Pentium Pro CPU, 64 MB of EDO RAM, and 2 GB of hard disk space 31. OCILJ PC workstations are equipped with Microsoft Internet Explorer 5.5, service pack 2 or higher web browser software 32. OCILJ PC monitors are capable of displaying color VGA at 640 x 480 lines resolution, or better. 33. OCILJ printers are installed using the Windows operating system. 34• Where feedback is required OCILJ must be responsive to requests from the KCC /Unisys Team to keep the time line on track. 35• The system will be qualified under Windows XP and Windows 2000 utilizing Internet Explorer 5.5 browser or higher. The QA process will not qualify other versions of IE versions nor other browsers (e.g. Netscape, etc.). APPENDIX I: OPTION FOR IJIS ASSESSMENT AND JEIM MODELING This option is not part of the Response to the RFP for the Orange County Integrated Law and Justice Records Management System Data Sharing Solution. it is provided for informational purposes for future development. Integrated Justice Information Sharing (IJIS) Assessment Unisys will conduct a inventory of the primary criminal justice information systems currently in the Orange County's criminal justice system. Unisys will develop questionnaires to facilitate the analysis. Each system will be analyzed for general ability to participate in an integrated environment. The applications assessment that will review the existing capabilities of the justice information systems in Orange County including messaging infrastructure, applications, and interfaces between systems in the jurisdiction. The assessment will be performed through interviews and questionnaires for the primary agencies outside of the law enforcement and court agencies that will be assessed as part of Phase 1 & 2 including: • Jail • Prosecutor • Public Defender • Courts • Probation/Parole • Integration with State Agencies IJIS Fundamental Design Principals Unisys recognizes that any successful IJIS project will have to conform to several pragmatic design principals. These design principles ensured that the development of IJIS provides the required functionality while preserving each agency's autonomy. Our approach is designed to minimize inter - agency issues concerning the ownership and maintenance of information. All justice agencies have autonomous missions, operations, and systems yet they have overlapping responsibilities and are interdependent upon one another for timely information. The IJIS design principles include: • Maintain the operational autonomy of each agency while at the same time promote the sharing of the interdependence of information. The IJIS Solution must share information in a manner where each agency is "operationally independent, but interdependent in decision - making and information sharing "; • Purposes, missions, and perspectives of local, state, and national agencies must be recognized and integrated into the IJIS • Each agency must be responsible for the maintenance and storage of "their" native data • Maximize the investment in the existing technology and systems • Access to information across IJIS should be transparent to the end users • Information is captured at the originating point, rather than reconstructing it later • Security and privacy are priorities in the development of integrated justice capabilities • Establishing and confirming the positive identity of the record subject is crucial. Unisys will apply these design principals to the development of the Orange County IRS Assessment. Operational Requirements & Key Information Exchange Events Universal IJIS Functions Integrated Justice is composed of an array of 5 universal functions that are tailored for specific information exchange events within the justice system. • Query local, regional, statewide and national databases • Push information to another agency based on actions taken in the originating agency • Pull information from other systems for incorporation into the recipient agency system • Publish information regarding people, cases, events and agency action • Subscribe to a notification service Virtually all information exchange events can be classed with one of these universal exchange types. SEARCH Justice Information Exchange Model (JIEM) Analysis SEARCH has developed the Justice Information Exchange Model (JIEM) to systematically define information exchange in the justice system. DIEM is a conceptual framework to present the flow of justice information between justice agencies; to define the key events that trigger the need to share information; to identify the agencies involved in the exchange; and to describe the nature of the information exchange. SEARCH developed the JIEM Modeling Tool, a web -based software application, and a methodology to capture detailed information regarding the processes, events, agencies, information, and exchange conditions associated with justice information integration. Based on initial research efforts, SEARCH enhanced the modeling tool and methodology, and introduced the DIEM in over twenty state and local jurisdictions. In addition, SEARCH has created a DIEM Reference Model (JRM) version 1.0.0 that presents nearly 700 reference exchanges that are present in a "typical' justice system included in the research conducted over the last several years. Moreover, the JRM has been incorporated in the new version of the DIEM online tool (introduced in February 2004) to allow new users to incorporate these "typical" reference exchanges into their site databases at the outset of their planning efforts. The JRM provides new users with starting point to conduct their analysis instead of starting from scratch. Unisys will develop a Business Transformation Analysis to define the requirements for an integrated justice system in Orange County. The analysis will be conducted with the SEARCH Justice Information Exchange Model (DIEM) online application and the visual modeling tools. Unisys will use the DIEM to analyze the five dimensions of information exchange that are relevant to integrated justice information systems based on the SEARCH methodology. • The Event that triggers the information exchange, e.g., arrest, issuance of a warrant, sentencing, or correctional discharge. • The Process in which the exchange occurs, e.g., investigation, detention, pre- disposition court, post- disposition supervision, or incarceration. • The Agency involved in the information exchange, e.g., local police department, prosecuting attorney, pre-trial services agency, trial court, or treatment provider. • The Information that is actually exchanged between agencies, which may include documents, data sets, and specific data elements. • The Conditions that are factors associated with the case, person, or event that govern the exchange of information and define the processing flow between agencies. (Examples of conditions are whether the case is a felony or misdemeanor, the defendant is an adult or a juvenile, or in custody or on release.). The DIEM database will document both the "as is" and "to be" business process of Orange County's Criminal Justice System at the State and County level. Unisys will conduct the REM analysis for 30 exchange events within Orange County and integration with major State agencies. The analysis will focus on the following major events in the justice system: • Arrest, Investigation & Bail • Preliminary Arraignment/Hearing • Pretrial Motions & Trial • Post -Trial Motions • Serving of Court Papers • Sentencing • Probation & Parole • Incarceration • Integration with State Agencies The structure and rigor of the tool will ensure the proper information exchange points are properly documented. Additional information can be obtained about the JIEM methodology, the JIEM Reference Model and online DIEM tool on the SEARCH Web site at hctp: /h«vnv. search. ore /pro rams /tcchnolo_V /iiem.ast) The screen shot in the figure below demonstrates the SEARCH JIEM online tool and the dimensions of the information event model. ro ¢a, vo. rewm rya i1.ti - _L JUSTICE IRFORmR1I0R EBCRARa Agency MaElernents Dacments ul,i fJlA43 ® ®, ®4S �'A'U'_ 4l xrr.id_ ®em :u�4]�rvaof_iie, u...:. ]>.� Ta ^:SUO:`3�1rr: &3M- Figure SEARCH JIEM Tool Dimensions Taken together, the JIEM dimensions constitute business rules associated with the exchange of information. These business rules define the administrative, statutory, organizational, technical, and procedural practices that govern information exchange between the agencies. Unisys will interview key business managers at each of the participating agencies to better understand data flow detailing the integrated operations of each agency at the exchange points. The JIEM tool will capture the "As Is" and "To Be" business process for each event. The JIEM analysis will provide Orange County agencies with a detailed operational plan to accomplish their own missions while supporting the missions of other agencies. Unisys will document policy and business process issues that will need to be addressed in an integrated environment. In addition, Unisys will highlight critical success factors and risks for implementing each exchange event. Unisys will work with the agency personnel responsible for processing cases at each exchange event. The data from discussions will be entered directly onto DIEM online tool. The screen shot in the figure below demonstrates the data entry screen of the JIEM Tool for the information exchange events. Figure Error! No text of specified style in document. -1 SEARCH JIEM Tool Information Exchange Screen Once Unisys and Orange County have entered the data points for each of the key information exchange events into the REM tool, we will be able to produce detailed reports of the Orange County justice system. The HEM tool supports a wide variety management and analytical reports that can be filtered on any of HEM dimensions. In addition, the tool supports "centric" reports that generate data based on a particular agency's perspective. For example, the sample report below itemizes all of the information exchange events that occur [ from" law enforcement (Sending Agency) "to" the courts (Receiving Agency). Eb_[J w` Fw_`b, -lab N -0(•, may, ��II_ 0 10 - _D a 6I f'.iwA. Swifs.o�n �• N.ti 1: ii 'x� _ adlm mna /nr_"as_m_tl, L�shRloW_J! ®'GO.,�Lre+ _ _____ __ Gopsk f""'�`�`J �y.��•m LI &.�amae 9.w, O ©Gw.., a _ Search EmbaGees E *UiavUe Nipmw� UW _ (JViaai SBrglap Ap0nry f+ Re[emnp Apanry PIMimpRN[ess 11 SGhsnueni Pb[04e TdppeMpE0Bn1 8earth I qeo Seach RGSMO - ,- 00IP41 L NIu l BII �- llf4M aC; 018.(M 0 M A'.U) Figure Error! No text of specified style in document. -1 SEARCH JIEM Tool Information Exchange Screen Once Unisys and Orange County have entered the data points for each of the key information exchange events into the REM tool, we will be able to produce detailed reports of the Orange County justice system. The HEM tool supports a wide variety management and analytical reports that can be filtered on any of HEM dimensions. In addition, the tool supports "centric" reports that generate data based on a particular agency's perspective. For example, the sample report below itemizes all of the information exchange events that occur [ from" law enforcement (Sending Agency) "to" the courts (Receiving Agency). V a.n � " L � n! I /(]4.ra �'i..mm. � wam �+j �• N ®• � �� rva[ Uwad •�.ic..<.uuYnwrYnMCwa_�mLrmtm I• ®_?a -�. Cop,4k•i�01±s..ilwm 10�6'+ioema H,L.0 DI ©aa�. /._ _ AOVncy Glvrlc Rapon pnpen 9ennmarl: N0.]00< R1pn101JNPJ Nph,belully 5eY01n9 A9eo<PLav Elllal< —n1 RfRWIng Apis<CamL 101® PrN[cJm mJir lO Lw EMNgmm IrcEM • i14. Brf4flmaN CLYn PBa plNlcliw. 5 LAIN wmlMd.nl EnbRPmB4 tli1P.'miNl Jl:ti Jipatllm (IrJlrQmM1- cNm a[ mla[e • Jli�[NNCimfN Mp &Nimb fuiONl mn Fmvpinq fYE'e[I[Y+MIIfJ PWeOipn ONa OLmau<bmNy . illw eNwc<m!ry rsliJM IMjIN Oln6vgY< 1011] Ey. ONLY 1mM Lrd: Ls 4c4<ra r11M1 lNtl[MLm Cmn AU'. Mrl prabiW <IUfl to F1.bKSmsN M[Blmupl Cali W." raryvY v'eN vanvnl QAifx 4pm cNn <Onv'9ea M]M Rr • JIYx [nrp[lrnlN Msfl N4rtaN tiJUm[wa [ayse la roguN. nmm . 'apm..allm.N4. m n4 Nma�la , 1.91.:9 $:0jflliff lB LNmlr La. hms�9utin Mim,] J4w BPM <mem LmN NWi6e Mtn Hn <anoNen.ln EN4umx1 JNlmA,a lwl[ H'xLB Brlp[Bm1N Ivllm4f cIPB Mf QPiM anlNwinam bpm [OnnnneJ _ �Iba6linpr�NM _ _ �._ �••� 11. Ip -IN... Figure SEARCH JIEM Tool Agency Centric Report: Law Enforcement and Courts The HEM tool is capable of producing visual representations of the Orange County justice system. The interactive diagrams allow justice practitioners to "see" the flow of specific information and documents through the justice system. For example, the sample diagram in the figure below depicts the flow of the arrest report between law enforcement and other agencies. The interactive diagram can be "drilled into' by double clicking on any the links between agencies. The HEM tool will pull up the specific information exchange event when the link is selected in the diagram. Figure SEARCH JIEM Tool Information Flow Report SEARCH DIEM Tool Training Prior to the JIEM sessions, Unisys will conduct a 2 -day training class for Orange County staff on the JIEM methodology and online tool. Unisys has Public Safety and Justice team members that are certified by SEARCH in the operation and training of JIEM tool. Unisys has a strong working relationship with the SEARCH JIEM team and will work with Orange County to schedule their participation at the training class and during some of the analysis (SEARCH DIEM team schedule permitting). The JIEM online tool can be accessed through any standard Web browser with a connection to the hitemet. The JIEM tool has a robust security model that allows users to be classified as "read only access" or "full access ". In the future Orange County can access and make changes to their DIEM model through the online application. Integrated Justice Business Case The HEM analysis will form the basis of Orange County integrated justice business case. The business case analysis will document the "why" of the IJIS project - Why should legislators and executive decision makers fund this project? Unisys will use JIEM analysis to develop the before and after scenarios and document the business reasons why integration is important. The Business Case will focus on time saved by eliminated manual processes, data integrity, faster access to critical information and overall increases in public safety. In addition, by analyzing the before and after processes the HEM analysis will be able to provide Orange County with actual metrics to support the business case for funding the IJIS project. The DIEM tool will be able to analyze the following metrics: f! iFJr Va fwab T. Nrb- _ W� �4p g D � _ Information Flow Report R.pen. y.n.m,. a: rnanaa D0CUMGnt :A"9Re"n IAeaa[vma '[Rn Oap.RRtlp r i iv O = /om R�mm RmoGv 4tle Rrollvi W GstW 4tic6mmaM. _ M6.rr 6rVrnAWnu rr.. •p'{ —•• .__ �t �b lermM T1 JJ iJ 41 41,-3 is ® go 0 U.1 J' L� [)rar ws Irf nXC- (3 (Y�af�u Y_,J[NUH.. ,NIR /h {U�Li SB Y �r �,�Rr Figure SEARCH JIEM Tool Information Flow Report SEARCH DIEM Tool Training Prior to the JIEM sessions, Unisys will conduct a 2 -day training class for Orange County staff on the JIEM methodology and online tool. Unisys has Public Safety and Justice team members that are certified by SEARCH in the operation and training of JIEM tool. Unisys has a strong working relationship with the SEARCH JIEM team and will work with Orange County to schedule their participation at the training class and during some of the analysis (SEARCH DIEM team schedule permitting). The JIEM online tool can be accessed through any standard Web browser with a connection to the hitemet. The JIEM tool has a robust security model that allows users to be classified as "read only access" or "full access ". In the future Orange County can access and make changes to their DIEM model through the online application. Integrated Justice Business Case The HEM analysis will form the basis of Orange County integrated justice business case. The business case analysis will document the "why" of the IJIS project - Why should legislators and executive decision makers fund this project? Unisys will use JIEM analysis to develop the before and after scenarios and document the business reasons why integration is important. The Business Case will focus on time saved by eliminated manual processes, data integrity, faster access to critical information and overall increases in public safety. In addition, by analyzing the before and after processes the HEM analysis will be able to provide Orange County with actual metrics to support the business case for funding the IJIS project. The DIEM tool will be able to analyze the following metrics: • Staff time associated with re- entering data in multiple systems • Number of eliminated paper transactions • Reduction in process time per exchange event • Elimination of critical information trapped inside a paper queue (Waiting to be re- keyed) • Improvement in arrest -to- disposition matching through electronic transmission and standardize business processes Training: SEARCH DIEM Tool Training Deliverable: SEARCH JIEM Tool Analysis and Database for the Orange County Criminal Justice System Deliverable: Integrated Justice Business Case APPENDIX J Integrated Justice Information Sharing This option Is not part of the Response to the RFP for the Orange County Integrated Law and Justice Records Management System Data Sharing Solution. It Is provided for informational purposes for future development. 1 Unisys Integrated Justice Information Sharing (IJIS) .................................................... ..............................1 1.1 Unisys Vision of Justice Integration ........................................................................ ..............................2 1.2 D1S Business Blueprint ........................................................................................... ..............................2 1.2.1 IRS Fundamental Design Principles ................................................................ ..............................4 13 Technical Architectural Design Principals .............................................................. ..............................4 1.3.2 Universal IJIS Functions .................................................................................. ..............................4 1A IJIS Solution Architecture ....................................................................................... ..............................5 1.5 Enterprise Wide Services ........................................................................................ ..............................6 1.5.3 Data Queuing .................................................................................................... ..............................6 1.5.4 XML Translation .............................................................................................. ..............................6 1.5.5 Subscription Notification ................................................................................. ..............................6 1.5.6 Security ............................................................................................................ ..............................6 1.5.7 Ad Hoc Reporting ............................................................................................ ..............................7 1.5.8 Graphical User Interface ( GUI) ........................................................................ ..............................7 1.6 Unisys IJIS Team Qualifications ............................................................................. ..............................8 f UNISYS INTEGRATED JUSTICE INFORMATION SHARING (IJIS) The integration of justice information systems is not a new idea. In today's world, there is a critical and growing need to share information across independent agencies and jurisdictional lines at all levels of government. Often that information is isolated, segmented in technological silos that cannot exchange information with one another. Criminal justice professionals and government officials throughout the world have long recognized the importance of integrating information systems to share critical data, documents, images, and transactions at key decision points throughout the justice enterprise. Many jurisdictions, like Orange County, are actively developing plans and programs to substantially integrate theirjustice information systems. Unisys has also recognized the need to integrate justice information systems to enable organizations to seamlessly and securely share critical data throughout the justice enterprise. Unisys has committed significant corporate resources to building a model driven - standards based Integrated Justice Information Sharing (IJIS) Solution Architecture to support information sharing at local, regional, state, national, and international levels. The first generations of Integrated Justice solutions were built on immature technical and domain standards where each solution was essentially a custom solution. Now that Enterprise Application Integration (EAI) technology has matured and national standards including the SEARCH Justice Information Exchange Model (JIEM) and the Global Justice XML Data Model (GJXDM) have emerged, integrated justice is shifting from the previous generations of custom integration projects to solutions based on reusable components. Unisys has anticipated this changing market dynamic and has made the decision to invest significant corporate resources in integrated justice. In 2002, the Unisys Public Safety and Justice leadership team requested executive support for a significant Research and Development (R &D) effort to build an Integrated Justice Information Sharing (IJIS) Solution Architecture from the ground up based on Unisys Business Blueprinting methodology and the Rational Unified Process (RUP). The Unisys IJIS R &D effort is designed to create world - class, reusable technical solutions and artifacts for integrated justice information sharing. The IJIS initiative builds upon a Unisys corporate -wide strategy to apply business blueprints to all information systems design, development and implementation. The IJIS solution architecture integrates a framework of reusable components into the business environment and technology infrastructure in the host jurisdiction, taking advantage of legacy systems and infrastructure protect existing IT investments. 1.1 Unisys Vision of Justice Integration The integration of justice, public safety transcends the day -to -day operational needs and priorities of justice agencies and becomes, in light of the terrorist attacks of September 11, a national security imperative. Integration is needed not only to prevent and respond to acts of terrorism, but also to provide major incident response and management, preparation and response to natural disasters, and day -to -day management and operations of justice agencies throughout the justice enterprise. Unisys has developed an extraordinary team of criminal justice domain and technical experts that have developed a world -class solution with proven COTS components to collectively bring a significant record of successful development and implementation of justice and public safety applications. Unlike other IJIS -like solutions that only provide integration tools and require significant and costly custom design and development, Unisys provides a proven framework with reusable components based on actual justice agency practices. Our criminal justice program and solution experts adapt those components to the unique business needs of each jurisdiction. We design, build, and deliver complex, jurisdiction- specific business solutions that are integrated with new or existing hardware, packaged and custom software, and communications protocols and networks. The concept of integrated justice information sharing generally refers to the ability to "share critical information at key decision points throughout the justice enterprise." It should be noted that integration also includes the sharing of information with traditionally non - justice agencies (e.g., other governmental agencies, health and human service organizations, treatment service providers, schools and educational institutions, and licensing authorities), and with the public, which increasingly is demanding greater and more varied access to an expanding array of government information and services. Moreover, this information sharing and access extends across agencies and branches of government at the local level (i.e., horizontal integration), to include users /consumers in local, state, and federal jurisdictions (i.e., vertical integration). The integration of justice information is properly viewed as a broad and significant process that is dynamic and multi- faceted in nature, and part of the ongoing evolution in justice business practices, not as a simple project to share information with discrete beginning and termination points. Building integration and information sharing capabilities in justice often contemplates fundamental changes in business practices across agencies and jurisdictions, and between branches of government. Integrated systems improve the quality of information, and thereby the quality of decisions, by eliminating error -prone redundant data entry which not only results in lower labor costs, but also significantly improves the quality of justice. In addition, by sharing data between systems, integration typically improves the timely access to information, a critical factor at many justice decision points (e.g., setting bail). Moreover, integration enables the sharing of crucial information without regard to time or space; multiple users can access the same records simultaneously from remote locations around the clock. Integration also substantially improves the consistency and reliability of information, and enables immediate access by key decision makers. 1.2 IJIS Business Blueprint Unisys has developed and deployed an innovative approach to helping clients move decisively toward the vision of an agile, real -time enterprise. This process focuses on business patterns that identify, extract and reuse the intellectual assets of organizations. We call our approach Unisys Business Blueprints. Unisys Business Blueprinting is a strategic approach to mapping an organization that builds a model for each layer of operations and then connects the individual models to fully align all technological and functional systems. Tangible, digital records of intellectual assets and business processes are created during this process. The Unisys Blueprinting model consists of four key dimensions —or business layers. • Business Vision & Operations Model • Business Process Model & Patterns • Functional & Application Model ■ Infrastructure Model Unisys Business Blueprinting makes clear and traceable connections between all layers of an organization —from business strategy through business architecture and process, to information technology implementation. It promotes and fosters awareness of the project and the business possesses. Unisys Business Blueprints is an architecture-centric development and delivery approach for high - volume, mission - critical systems. It combines the intellectual capital associated with core business processes with the most advanced technology tools and best practices available – such as Model Driven Architecture (MDA), Rational Unified Process (RUP), and the Unified Modeling Language (UML). The IJIS Business Blueprint consists a of number of significant development artifacts including: • Business Architecture Model • Business Vision • Business Use Case Model and Business Object Model • Functional and Non - Functional Requirements • System Use Case Model • Analysis Model • Data Model • Use Case Storyboard and User Interface Model • Software Architecture Document • Platform Independent Model (PIM) • Cost Development Model • Test Model and Test Plan ■ Plans for Risk Mitigation, Project Management, Quality Assurance and Product Acceptance The Unisys IJIS Solution Architecture is described by a set of models captured in the Rational Unified Process (RUP), and these models form the basis of our IJIS blueprint. This blueprint is then used to generate deployment code with our Model Driven Architecture approach. Utilizing blueprints in this manner enables Unisys to iteratively generate components capable of running on any platform, operating system, and database. Unisys business blueprints are a suite of tools, methods, and business and technology assets to deliver solutions and transformation initiatives faster. The blueprints rely on the principles of reusing intellectual assets and enhancing organizational agility to modify or create new business processes quickly and predictably. Business blueprints include consulting, solution development and delivery services, in combination with state -of- the -art tools, methods, and libraries of business and technology assets. Business blueprints combine significant intellectual capital associated with core business processes with the most advanced technology tools and best practices available. The result is a library of blueprints that are essentially technology agnostic and that can be easily reused and adapted as technology, business, or our clients' strategic objectives change. 1.2.1 I /IS Fu u d a m e u t a! D es ig u Pr 1u c ip les Unisys recognized early in the R &D effort that any successful IJIS design would have to conform to several pragmatic design principals. These design principles ensured that the development of IJIS provides the required functionality while preserving each agency's autonomy. Our approach is designed to minimize inter - agency issues concerning the ownership and maintenance of common information. All justice agencies have autonomous missions, operations, and systems yet they have overlapping responsibilities and are interdependent upon one another for timely information. The Unisys IJIS design principles include: • Maintain the operational autonomy of each agency while at the same time promote the sharing of the interdependence of information. The IJIS Solution must share information in a manner where each agency is "operationally independent but interdependent In decision- making and Information sharing'; • Purposes, missions, and perspectives of local, state, and national agencies must be recognized and integrated into the IJIS • Each agency must be responsible for the maintenance and storage of "their' native data • Maximize the investment in the existing technology and systems • Access to information across IJIS should be transparent to the end users • Information is captured at the originating point, rather than reconstructing it later • Security and privacy are priorities in the development of integrated justice capabilities • Establishing and confirming the positive identity of the record subject is crucial The Unisys IJIS solution architecture is designed to address these universal principles associated with integrated systems planning and implementation, and to partner with Orange County to incorporate them in the fundamental design of the IJIS Solution. 1.3 Technical Architectural Design Principals The IJIS Solution Architecture was developed with several technical design principals to ensure the solution can be implemented in a number of different COTS based technology environments. Unisys developed the core solution architecture as a technology agnostic set of UML models in the Rational Unified Process. The solution is designed to follow Internet based standards for a Services Oriented Architecture (SOA). The Unisys technical architectural design principals include: • Developed using Unisys Business Blueprinting process that leverages Universal Modeling Language (UML) and the Rational Unified Process (RUP) • Platform Independent Model (PIM) EAI architecture that may be developed using either J2EE and Microsoft .NET architectures • Developed with an interoperable component based architecture • Developed with COTS based software components • Web -based User Interface • Developed with Services Oriented Architecture (SOA) approach • Standards -based approach using XML, SOAP, BPEL4WS, WSDL, and UDDI 1.3.2 Ilu i v ers al IJIS Fu u ct i o n s The IJIS Solution Architecture provides an array of universal functions associated with integrated justice information system initiatives. We have developed generalized UML models in RUP for each of these functions that are tailored for speck information exchange events defined in the JIEM methodology. • Query local, regional, statewide and national databases • Push information to another agency based on actions taken in the originating agency • Pull information from other systems for incorporation into the recipient agency system • Publish information regarding people, cases, events and agency action • Subscribe to a notification service Each of the JIEM specified exchange events will inherent functionality from one of the generalized UML models of universal IJIS functions. 1.4 US Solution Architecture The foundation of the IJIS solution is the IJIS Hub that serves as the central Message Broker. The IJIS Hub will enable all participating justice agencies to connect to a single connection point to access and exchange information with all other participating agencies. The IJIS Hub will be built using a COTS Message Broker component that provides tools for defining XML messages, XML message transformations, and building business process workflows. The IJIS Hub will interact with participating agencies using a Message Infrastructure that provides secure, guaranteed message delivery in a high - performance environment. An architectural overview of the IJIS Solution is presented in diagram below: The Unisys IJIS Solution Architecture is built using a layered component -based services oriented architecture that utilizes Web Services and message queuing for component -to- component interfaces. IJIS interoperability with agency systems can be configured using Web Services, message queuing, and IJIS adapters. The IJIS adapters are used to integrate directly with existing agency systems and provide a standard integration point to the IJIS Hub through over the message infrastructure using the GJXDD. The adapters mask the technical and semantic differences of various systems, creating a single, uniform view of these systems all via dynamic and static transformations. The IJIS adapters integrate with existing operating system, file, database, and network security mechanisms. In addition, they shield developers from the complexities of back - office systems by exposing these IT assets through popular database interfaces such as JDBC, ODSC and custom interfaces. The Hub and Spoke Architecture provides an agency -to- agency information exchange technology framework that has following benefits: Low Enforcement Jail Court Case Other Systems Records Management Management .pa.&OW , Management Systems (JMS) Systems (CMS) • Paouc Dafomer f Systems (RMS) • ProbaHw 8 Parole Wants and W n." uls uls lus Other IJIS 1 Adapter Adapter Adapter Systems Wola Based. - UserIntorface •Odrer fatal _. -' _ Unisys IJIS Hub h;' INf.IlsDineNbfl :. �y .solo waWa s- b erver • Cara Applicadoasarvar- • Natimal. slomar Maewaa.lnfraatructura � I • Intyuwponal r(l\l:�` AppfREde SaMrL •Adbaree la W %DD 9.O entl J1EM i' 1•Ea �fml'�r - uls Us uw IJIS Database Atlaptar Atlapt plpr Atleptor IJIS D9WIaoss �S7ools�o•!... Unisys Law NonJustico. Computerizod .User. .�MrinHdslroliWj -. Enforcement Government Criminal History �ar!il'NOWeelibn .pNblax 'rsYSbda+Ntsrorgl} Message Switch Agencies (CCH) •Iyalilbir Citgpt +. (LEMSIJX) (DMV) • IJIS R po`.eliory r � - Rrbeoaa I.Mp��C1,.. NCIC Svfi ls. TMO��'' NLET3 Mapp � {xr- t. The Unisys IJIS Solution Architecture is built using a layered component -based services oriented architecture that utilizes Web Services and message queuing for component -to- component interfaces. IJIS interoperability with agency systems can be configured using Web Services, message queuing, and IJIS adapters. The IJIS adapters are used to integrate directly with existing agency systems and provide a standard integration point to the IJIS Hub through over the message infrastructure using the GJXDD. The adapters mask the technical and semantic differences of various systems, creating a single, uniform view of these systems all via dynamic and static transformations. The IJIS adapters integrate with existing operating system, file, database, and network security mechanisms. In addition, they shield developers from the complexities of back - office systems by exposing these IT assets through popular database interfaces such as JDBC, ODSC and custom interfaces. The Hub and Spoke Architecture provides an agency -to- agency information exchange technology framework that has following benefits: ■ Connect one -to -one or one -to -many; there is no need to build individual interfaces as in point -to -point solutions ■ Retain investment in existing software applications, hardware, and infrastructure • Each agency controls the internal management of data, workflow, and business rules • Centralized enforcement of regulations governing the sharing of criminal information • Centralized auditing of all IJIS transactions • Centralized enforcement of authorization and authentication security functions • Centralized processing of subscription and notification services • Centralized management of IJIS business rules and workflow management 1.5 Enterprise Wide Services In addition to providing core information exchange functionality, push /pull, universal query, and publish and subscription notification capabilities, the Integrated CJIS Hub will also incorporate a range of enterprise -wide services in support of integrated justice information sharing throughout Orange County. 1.5.3 Data Queurltg The Integrated CJIS Hub will enable queuing of data among participating justice agency information systems. Information will be available around the clock (24x7x365), even when participating agencies are closed. Information exchanges will queue at the Integrated CJIS Hub when participating agency systems are unavailable. The queuing capabilities ensure that transactions do not get "dropped" in the event of a network or application failure. The IJIS Solution Architecture will provide extensive messaging capabilities for all participating justice agencies. A key capability of the Integrated CJIS will be the push of shared data updates from agency systems to the IJIS Hub, and the forwarding of those updates to other agency systems to support business process flow. Asynchronous, store - and - forward messaging is the most appropriate solution to provide these capabilities. Other methods are too tightly coupled, and would make autonomous operation difficult or impossible. Unisys has best -of -breed expertise and experience with asynchronous, store - and - forward messaging, and we have incorporated these capabilities in the IJIS Solution Architecture. 1.5.4 X411 Traaslattoii Criminal justice agencies throughout Orange County have critical needs to share information in a secure, real -time environment. Since each operates and maintains different and separate information systems to meet its particular operational needs, the IJIS Solution must provide some mechanism to translate the data into common exchange formats for integration and interpretation. To simplify and standardize shared data updates to the CJIS Hub, the agency systems will translate between their native data formats to a standard GJXDM XML Schema for each type of shared data transaction. Standard XML Schemas will be developed based on the exchange events specified in the JIEM methodology. 1. 5.5 ShOserptioaY&IIIreatiow IJIS will provide users with the ability to subscribe to notification of consequential events, as well as significant changes in the status cases and /or the legal status of persons. Subscription enrollment procedures will enable authorized users to identify individual persons, cases, and/or events for notification, as well as classes of persons, cases and events (e.g., a law enforcement officer may subscribe to notification of a change in the legal status [e.g., released from custody] regarding a specific individual, while a probation officer may subscribe to notification of change in the legal status for his /her entire caseload). The subscription feature will enable both agencies and individual users to define the triggering events and/or status changes for notification, and will permit users to define time parameters for subscription. 1.5.6 Security Criminal justice data cannot be made available to criminal justice users unless the data is protected from unauthorized access. Privacy laws and Federal, State, and County agency policies require access to be limited to authorized personnel for specific criminal justice uses. In addition, user authorizations must be limited to the data appropriate for the user's role. Users and computers must be authenticated to verify their identity. The IJIS Solution Architecture will provide robust security through a suite of security features addressing identification, authentication, access control, authorization, encryption, network security, and auditing. IJIS will provide an Enterprise Security system that will provide "single log" on access to all the information resources in the system. All users of the IJIS will be required to validate their credentials through a central logon page within the IJIS portal. Authentication will occur over a communications channel protected by strong encryption. Security will be based on collection of COTS technologies that enable IJIS to provide and deny access to system resources on a controlled and consistent basis. The primary functions of the Enterprise Security Model include: • Single Sign -On: Provides the user with the capability to access multiple systems and servers in IJIS using a single ID without having to login each time the user accesses a different server or system • Authentication: Provides assurance of the identity of a user or end entity in order to grant access to a IJIS resource (e.g., web /application server, data, or system) • Access Control: Prevents unauthorized use of an information resource • Confidentiality: Ensures that all data and transactions cannot be intercepted and viewed by an unauthorized third party • Accountability: Ensures that transactions processed through the IJIS may be traced to a unique entity • Data Integrity; Ensures that data is not altered during transmission • Non - Repudiation: Prevents someone from denying they originated a transaction, message, or data • Auditing: Provides reporting and logging of users, administrators, API calls, and any errors • Security Policy Administration: Provides the ability to restrict access by User Groups and business rules • Network Security: Provides network -layer security to restrict by protocol, network access control lists (TCP/IP address filtering), and TCP /IP port 1. 5.7 Ad HocReparti�eg Justice agencies and other authorized users need to access information throughout the justice enterprise. Often, the need arises to query the IJIS resources for information based on a set of criteria that is not available with the standard query or reporting capabilities. IJIS supports a comprehensive, powerful ad hoc reporting capability that will enable users to make more timely and informed decisions that improve the criminal justice process and provide a comprehensive investigative tool. 1.5.8 Crap/lcal Cserltrterface /CU% The IJIS Solution Architecture provides an intuitive user- friendly graphical user interface (GUI) for key features and functions. IJIS will provide web - enabled access for authorized users to perform queries across the justice system. IJIS integrates multiple diverse justice systems using Service Oriented Architecture (SOA) to share mission - critical data, documents, images, and transactions at key decision points. Information is accessible though a Web -based portal that provides a polished and intuitive user interface. The IJIS integration broker enables agreed -upon data from each agency to be "published" to the IJIS Hub and cross - referenced against the subscription services database. Authorized individuals in participating agencies can "subscribe" to this published information using the IJIS Web -based user interface. For example, when a law enforcement agency records an arrest, the agency's Records Management System (RMS) will publish information regarding the event to the IJIS Hub. The Hub will determine, based on business rules defined by participating agencies, which parole office is responsible for the subject and whether they have "subscribed" to notifications of any arrest during the subject's term of parole. The IJIS solution then prepares a "notification" of the event, which is electronically "pushed" to the appropriate parole officer. 1.6 Unisys IJIS Team Qualifications Unisys has a long history of serving justice and public safety clients. Unisys justice and public safety solutions have been installed in numerous states and counties across the country. Our solutions fall into five program areas: State Crime Information Centers, Field -level Law Enforcement and Operations, Corrections Management, Courts Management, and Integrated Justice Information Sharing. Our long term commitment to the JPS market place is to lead with domain experts as Unisys consultants whose credentials include prior user experience as law enforcement, public safety, and criminal justice officials, and as clients with direct "hands - on" experience in justice and public safety, as well as experience with consulting organizations and application development. The Unisys commitment also includes investing in solutions to support the market place including the IJIS research and development effort described above. We expect this effort to complement both our existing justice oriented solutions and domain and technical expertise. The Unisys Justice and Public Safety practice staff is fully committed to integrated justice and is highly active in working with national organizations to define IJIS standards. Unisys JPS personnel actively support and serve on the following national committees: • Industry Working Group (IWG) for Integrated Justice Information Systems • SEARCH JIEM (Justice Information Exchange Model) Steering Committee • Object Management Group (OMG) • OASIS LegaIXML Integrated Justice Technical Committee • National Association for Court Managers (NACM) • Forum on the Advancement of Court Technology (FACT) • Global XML Structure Task Force, representing the IJIS Industry Working Group • Global Justice XML Data Model Training Focus Group • Global Justice XML Data Model User Guide Review Committee 6Y'!HC'GYi"Y COUeCIL CITY OF NEWPORT BEACH CITY OF' N; WPORTUEACH CITY COUNCIL STAFF REPORT L "?� Agenda Item No. 6 P ., , �� January 11, 2005 TO: HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL FROM: Paul Henisey, Support Services Division Commander Bob McDonell, Chief of Police SUBJECT: APPROVAL OF CONTRACT WITH KNOWLEDGE COMPUTING CORPORATION TO PURCHASE DATA SHARING SOLUTION RECOMMENDATION: 1. Award bid and approve the attached contract to purchase Phases 1 and 2 of a Records Management System (RMS) Information Sharing solution from Knowledge Computing Corporation in the amount of $1,606,053, to be funded from ILJ UASI Grant Funds Account #7017- C1820802. Authorize the Mayor to execute the contract on behalf of the City. 2. Approve the attached "Sub - grantee Agreements to transfer or purchase equipment or services using Urban Area Security Initiative (UASI) Grant Funds" from the Cities of Santa Ana and Anaheim, and authorize the Police Chief to execute the agreements on behalf of the City. DISCUSSION: Background: On March 9, 2004, Council approved the acceptance of approximately $1.9 million in grant funds for administrative purposes, on behalf of the Orange County Integrated Law and Justice Project (ILJ), which is comprised of the entire Criminal Justice System in Orange County. In that prior communication, Council was advised that we were requested to administer the grants for the Project by the Orange County Chiefs' and Sheriffs Association as a result of some difficulties being experienced by the County of Orange in facilitating the approval of various elements of the Integrated Law and Justice Project. During the past year, the City of Newport Beach became part of the 2004 Urban Area Strategic Initiative (UASI) Grant from the Department of Homeland Security and administered by the Cities of Anaheim and Santa Ana for all of Orange County. In the Anaheim/Santa Ana UASI Strategy Report, a number of the stated goals and objectives Contract Approval — IntAed Law & Justice Project January 11, 2005 Page 2 0 correspond to the efforts of the ILJ Project. The number one goal identified in the report is to, `Assess existing capabilities to develop and implement a County-wide real -time system for collection, analysis and dissemination of disparate data and information." This particular section identifies the use of consultants and existing work groups to assess capabilities and prioritize recommendations. It identifies the need to coordinate with subcommittees to evaluate various technologies and to obtain the necessary technology to support County -wide systems for the collection and dissemination of information. A part of the strategy also includes the analysis of information as it relates to terrorism or the use of Weapons of Mass Destruction (WMD). The ILJ Steering Committee, in conjunction with Deloitte Consulting, has been working on developing a plan for the integration and sharing of information systems throughout the Criminal Justice System in Orange County as part of the ILJ Strategic Plan. The plan includes such aspects as determining a governance structure, identifying infrastructure and information systems currently in use or planned for the future, developing a pilot project involving a representative sample of agencies, finalizing the design and selecting a solution, and County-wide implementation. An ILJ evaluation team was established to work with the Deloitte Consultant to develop a Request for Proposal to acquire an RMS information sharing solution among all law enforcement agencies in Orange County. The RFP was released on August 10, 2004, . and all responses were due by September 15, 2004. A Bidders Conference was held on August 20, 2004, at the Newport Beach Police Department to address any questions. A total of nine proposals were submitted from the following vendors or teams of vendors: • Avenade (Abbey Group, Forensic Logic) • Crossflo • Fatpot Technology • Global Software (i2, Microsoft, Critical Technology) • Knowledge Computing (Coplink, Unisys) • Oracle (CDI, i2) • Sierra (Templar, Visual Analytics, OpenNetworks) • SRA/Orion (Imagis) • Speedtrack During the initial screening, three proposals were suspended from further evaluation due to either incomplete responses or shortcomings in the level of compliance to the specifications in the RFP. The three vendors eliminated at this stage were Global Software, Crossflo and Speedtrack. The remaining six vendors were invited to provide demonstrations to a second evaluation team of approximately 14 representatives from the various Criminal Justice Agencies, including four police chiefs. The invitation to Fatpot was later withdrawn when they changed their proposed solution. The five demonstrations were scheduled over a one -week period in October 2004. I* Contract Approval — Integod Law & Justice Project January 11, 2005 Page 3 A list of criteria was developed by Deloitte to assist the evaluation committee in comparing and analyzing each of the demonstrations. The evaluation committee observed each of the demonstrations and then ranked the various vendors according to the criteria. After compiling the rankings from each team member, it was determined that the Knowledge Computing Company with their Coplink solution achieved a higher score in 9 out of the 11 categories and a significantly higher total score than any of the other vendors. The Coplink solution was clearly the preference of the evaluation committee members following the demonstrations. Of the five finalists, Knowledge Computing Company also submitted the lowest bid at $1.6 million for both Phase 1 and Phase 2 of the RFP. The order of bids for both phases is as follows: 1. Knowledge Computing - $1,606,053 2. Avenade - $3,656,347 3. Sierra Systems - $4,219,563 4. SRA - $4,279,057 5. Oracle - $5,121,431 Following the demonstrations, the analysis of the rankings and review of the pricing, the evaluation team identified Knowledge Computing Company as the preferred vendor. Members of the evaluation team and our Deloitte Consultant initiated reference contacts and site visits. Several agencies using the Coplink product were contacted and all responded favorably to questions about Knowledge Computing and the Coplink software. Eight members of the evaluation team also participated in site visits to the Phoenix Police Department, Tucson Police Department, and the Knowledge Computing Company's corporate offices in Tucson, Arizona. At each site, members of the evaluation team were impressed with the data sharing capabilities and the analysis portion of the software. Following the site visits, there was a unanimous recommendation on the part of the team members to enter into contract negotiations with Knowledge Computing on behalf of the Orange County Integrated Law and Justice Steering Committee. The funding for the Phase 1 portion of the contract will come from the Santa Ana /Anaheim UASI grant funds. This grant provides 100% of the funds necessary for Phase 1 of the project and requires no local matching funds. Phase 2 of the project will also be funded with 2004 UASI Grant funds, even if a grant extension is required to allow use of those resources, assuming the contract cannot be concluded before the November 30, 2005, expiration of the grant. If the extension is not granted (which is not likely ), funding will be allocated from the next round of approximately $20 million of UASI Grants just announced and scheduled to be released to Santa Ana and Anaheim in 2005 or, alternately, from the COPS Technology grants identified in the beginning of this report. 10 Contract Approval — Inteped Law & Justice Project January 11, 2005 Page 4 CONCLUSION: This report summarizes a lengthy and thorough process to identify the requirements definition and bid specifications for a comprehensive data sharing and analysis program to serve the Criminal Justice System in Orange County. The results of that process were also thoroughly analyzed and as a result, we are requesting authorization to approve the attached contract and award bid to Knowledge Computing Corporation for Phase 1 and Phase 2 of the RMS Information Sharing Project in the amount of $1,606,053 and funded from the Orange County ILJ UASI Grant Account #7017- $1820802. The Integrated Law & Justice Project Steering Committee has also recommended approval of the bid award. Environmental Review: None required. Funding Availability: All funds required for this Project are Federal grant funds, authorized for expenditure under the Santa Ana /Anaheim UASI Grant Program. Both the City Of Anaheim and the City of Santa Ana have reviewed the proposed Contract between the City of Newport Beach on behalf of the Orange County Integrated Law and Justice Steering Committee and Knowledge Computing Company, and have concurred with the recommendation for approval of the expenditure. Submitted by: Paul He 'se , Ca Support Services Division Attachments: Approved by: Bob McDonell CHIEF OF POLICE 1. Proposed Contract with Knowledge Computing Company 2. UASI Sub - grantee Agreement with City of Anaheim 3. UASI Sub - grantee Agreement with City of Santa Ana E 0 0 1 0 PROFESSIONAL SERVICES AND SOFTWARE LICENSE AGREEMENT BETWEEN KNOWLEDGE COMPUTING CORPORATION AND is THE CITY OF NEWPORT BEACH THIS AGREEMENT is made and entered into as of this _ day of January, 2005, by and between the CITY OF NEWPORT BEACH, a Municipal Corporation ( "City "), and KNOWLEDGE COMPUTING CORPORATION, an Arizona State corporation, whose principal place of business is 6601 East Grant Road, Tucson, AZ 85715 ( "Contractor "), and is made with reference to the following: RECITALS A. City is a municipal corporation duly organized and validly existing under the laws of the State of California with the power to carry on its business as it is now being conducted under the statutes of the State of California and the Charter of City. B. Effective January 23, 2004, the City was designated as the lead agency and grant administrator for the monies allocated by the federal government for the Orange County Integrated Law and Justice Project ( OCILJ), a Countywide effort and multi -phase project to integrate the diverse information systems of all criminal justice agencies in the County, pursuant to a COPS MORE grant. These grant monies are held by City on behalf of the OCILJ Steering Committee. The OCILJ Steering Committee, chaired by Chief of Police Bob McDonell of Newport Beach, makes decisions on how these funds are distributed. C. The OCILJ Project Steering Committee seeks to procure services from a responsible vendor to provide a technical and operational solution to enable the Justice agencies in the County to share information with each other from their records management systems and related databases, and to provide a set of tools that can be used to analyze the data in those systems across jurisdictional boundaries. This particular and critical phase of the OCILJ Project is known as the "RMS /CMS Information Sharing Project," and is being undertaken by the City of Newport Beach on behalf of the justice agencies in Orange County, California. D. The funds currently allocated under the COPS Office grant are insufficient to implement the entire OCILJ Project and complete the RMS /CMS Information Sharing Project phase. Santa Ana and Anaheim have received a grant entitled "FY04 Urban Area Security Initiative" (UASI grant) from the Federal Department of Homeland Security, Office of Domestic Preparedness, through the State of California, Office of Homeland Security, to enhance Countywide emergency preparedness. The OCILJ Project, especially the portion related to data sharing among agencies within the County, will substantially enhance homeland security by significantly improving the accessibility and speed of transfer of criminal justice 5 0 0 and suspect data between the justice agencies within the County, thus improving investigative abilities and reducing the potential for terrorism or terrorists to go undetected. Consequently, the Santa Ana and Anaheim Urban Areas will fund through the FY2004 UASI grant a substantial portion of the project that enables data and information sharing, as well as the data analysis and intelligence tools in support of homeland security objectives. E. The RMS /CMS Information Sharing Project (hereinafter the "Project ") includes the supply of required computer software arid hardware as well as integration, implementation and training services. There are two objectives for the Project: 1. To enable sharing of data from justice agencies' records management systems (RMS), case management systems (CMS) and related databases across the County in support of enhanced homeland security and criminal investigations. 2. To acquire and implement a set of data analysis /intelligence tools in support of enhanced homeland security and crime - related investigations. The Project is structured in two phases. Phase 1 is designed to establish the data sharing solution and will enable the sharing of citation data from the Orange County Superior Courts, five police records management systems (Newport Beach, Irvine, Garden Grove, Brea, and the new release of the RMS System being implemented to serve the West Covina Consortium, consisting of Cypress, Seal Beach and other Orange County agencies that elect to be served by the Consortium), and the Orange County Sheriff's Department's RMS and LARS (Local Arrest Records System, including their Mug -shot database) systems. Search and analysis tools will be acquired and deployed to allow for the flexible export of data as well as analysis within the provided toolsets. Phase 2 involves the incorporation of the approximately 17 additional remaining police RMS systems throughout the County and portions of the District Attorney and Probation Department's CMS systems into the infrastructure of the Data Solution System. Phase 2 will be performed by Contractor on an incremental, work -order basis as agencies add their RMS system to the integration platform. F. Contractor is a privately held corporation based in Tucson, Arizona that specializes in developing knowledge management technology, particularly for law enforcement entities. The company's product line includes the COPLINK Solution Suite Software product, which provides law enforcement agencies with advanced information search and analysis capabilities (hereinafter referred to as the "Contractor Software" or "Software "). G. City, as grant administrator for the OCILJ, solicited bids from interested vendors and received a proposal from Contractor. City has reviewed the previous experience and evaluated the expertise of Contractor, and desires to retain Contractor to render professional services for the Project, and to provide the software and hardware components necessary to implement the Project, under the terms and conditions set forth in this Agreement. 2 L 171 11 0 0 • H. Contractor possesses the skill, experience, ability, background, certification and knowledge to provide the services described in this Agreement, and City desires to engage Contractor to provide these services. Contractor has entered into a subcontracting agreement with Unisys to provide the computer hardware necessary for the Project. The principal member of Contractor for purposes of the Project shall be Bradley Cochran, Deployment Manager for Knowledge Computing Corp. NOW, THEREFORE, it is mutually agreed by and between the undersigned parties as follows: TERM: The term of this Agreement shall commence on the day of January 2005, and for service under Phase 1, shall terminate on the 30m day of November 2005, unless terminated earlier as set forth herein. The term of this Agreement for services under Phase 2 shall begin upon the successful completion and final acceptance by City of services performed under Phase 1, and shall continue for a period of five years thereafter, unless terminated earlier as set forth herein. 2. SERVICES TO BE PERFORMED: Contractor shall diligently perform all the services in both Phase 1 and Phase 2 as described in and modified by this Agreement, the Scope of Work attached hereto as Exhibit A, and in the Contractor's Proposal for a Records Management System Data Sharing Solution dated September 15, 2004 (hereinafter the "Proposal "), attached hereto as Exhibit B and incorporated herein by reference. The City may elect to delete certain tasks of the services at its sole discretion. Contractor shall warrant services performed and provide maintenance and support services for a period of three (3) years from the date of final acceptance of services performed under Phase 1 of this Agreement, and of individual systems installed under Phase 2, according to the terms described in Exhibits A and B. 2.1 Contractor agrees to COPLINK software which shall include i audit COPLINK use configured in such a user of the system, provide, among other things, the latest release of the available at the time of installation of the Project, nodifications of the Administrative Tools available to to the satisfaction of City, by insuring they are way as to allow them to be interpreted by the casual 2.2 Contractor agrees to provide City with the computer hardware to implement the Project, which is described more fully in Appendix E of 3 153 0 0 Contractor's Proposal. City reserves the right to substitute the hardware configuration specified by the Contractor in its Proposal with a comparable manufacturer as part of final System Design discussions. 2.3 Contractor agrees to provide what is described as "Coplink Light" software for use in a mobile computing environment as part of this Agreement. TIME OF PERFORMANCE Time is of the essence in the performance of services under this Agreement and the services shall be performed to completion according to the schedule outlined in the Proposal. The failure by Contractor to perform the services by this deadline may result in termination of this Agreement by City. Notwithstanding the foregoing, Contractor shall not be responsible for delays due to causes beyond Contractor's reasonable control. However, in the case of any such delay in the services to be provided for the Project, each party hereby agrees to provide notice to the other party so that all delays can be addressed. 3.1 Contractor shall submit all requests for extensions of time for performance in writing to the Project Administrator not later than ten (10) calendar days after the start of the condition that purportedly causes a delay. The Project Administrator shall review all such requests and may grant reasonable time extensions for unforeseeable delays that are beyond Contractor's control. 3.2 For all time periods not specifically set forth herein, Contractor shall respond in the most expedient and appropriate manner under the circumstances, by either telephone, fax, hand - delivery or mail. 3.3 Contractor and City understand that Phase 2 will likely stretch over a period of several years. RMS systems will be integrated into the final system design as they come on line and stabilize, and the agencies that own them are ready to embark on the integration. As agencies are ready to add their RMS system to the final system platform, a work order will be issued for one or more RMS systems. Work orders may overlap and there may be lulls in implementation activity should agencies not be ready to move their systems to the integrated environment. 4. COMPENSATION TO CONTRACTOR AND BILLING: City shall pay Contractor for both Phase 1 and Phase 2 services on a fixed- price, milestone basis in accordance with the provisions of this Section, the Scope of Work attached as Exhibit A and the Proposal attached hereto as Exhibit B. In no event shall Contractor's compensation exceed the total contract price of One Million, One Hundred Twenty-Three Thousand, Nine Hundred Twenty- . Seven Dollars and Seventy-Two Cents ($1,123,927.72) for Phase 1 of this Project without additional authorization from City. Contractor agrees to accept 4 2 L.J 0 0 0 the specified compensation, as more fully set forth herein, as full compensation and remuneration for all costs of services in Phase 1 of the Project, including direct and indirect charges, supervision, labor, equipment, warranties, training, machinery, travel costs, mileage and any other expenses incurred by Contractor. No additional compensation for Phase 1 shall be made during the term of this Agreement without the prior written approval of City. Contractor agree to perform all Phase 2 work for an amount not to exceed the amount of Four Hundred Eighty-Two Thousand, One Hundred Twenty-Five Dollars and Twenty-Eight Cents ($482,125.28), which will be authorized by City on a work -order basis, as provided herein. 4.1 Payment milestones for Phase 1 of the Project shall be as provided below. Terms used are as defined in the Scope of Work: 4.2 Contractor shall submit invoices in accordance with the milestone payment schedule outlined above. Contractor's invoices shall include the name of agency /department where services were provided, a brief description of the services performed and /or the specific milestone in the Scope of Work to which it relates, the date the services were performed, and a description of any reimbursable expenditures. City shall pay Contractor no later than sixty (60) days after approval of the invoice by City staff. 4.3 City shall reimburse Contractor only for those costs or expenses specifically approved in this Agreement, or specifically approved in advance by City. 4.4 Contractor shall not receive any compensation for Extra Work performed without the prior written authorization of City. As used herein, "Extra Work" means any work that is determined by City to be necessary for the proper completion of the Project, but which is not included within the Proposal and which the parties did not reasonably anticipate would be necessary at the execution of this Agreement. 5 Milestone Percent of Contract Value 1 Contract signing 5% 2 Acceptance of System Design Documents 10% 3 Installation and demonstration of hardware and Coplink application (with a test database) in a staging facility in Southern California or Arizona. 15% 4 Demonstration of successful search and analysis on data from each system on system in Staging Facility 3% per system to maximum of 24% of contract value 5 Installation of system in OCILJ designated facility 10% 6 Preliminary Acceptance 10% 7 1 Provisional Acceptance 10% 8 1 Final Acceptance Balance of Contract Value 4.2 Contractor shall submit invoices in accordance with the milestone payment schedule outlined above. Contractor's invoices shall include the name of agency /department where services were provided, a brief description of the services performed and /or the specific milestone in the Scope of Work to which it relates, the date the services were performed, and a description of any reimbursable expenditures. City shall pay Contractor no later than sixty (60) days after approval of the invoice by City staff. 4.3 City shall reimburse Contractor only for those costs or expenses specifically approved in this Agreement, or specifically approved in advance by City. 4.4 Contractor shall not receive any compensation for Extra Work performed without the prior written authorization of City. As used herein, "Extra Work" means any work that is determined by City to be necessary for the proper completion of the Project, but which is not included within the Proposal and which the parties did not reasonably anticipate would be necessary at the execution of this Agreement. 5 0 0 4.5 Mutually agreed costs for Extra Work shall be added to the total contract price for the applicable phase. Payment shall be incorporated into the milestone payment schedule in the same percentages as outlined for the original contract. 4.6 Notwithstanding any other provision of this Agreement, when payments made by City equal 90% of the total Phase 1 contract price provided for in this Agreement, no further payments shall be made until City has accepted the final Phase 1 work under this Agreement. 4.7 Phase 2 will be contracted on a work -order basis as agencies add their RMS system to the integration platform. Payments for Phase 2 work shall be based on the Phase 2 pricing included in Exhibit B, Contractor's proposal, and shall utilize a payment schedule with a milestone model as documented above. 4.8 Contractor acknowledges and agrees that in no event shall City's general fund monies be used to pay for services in either Phase 1 or 2 of the Project. City is acting solely as the administrator of the COPS MORE grant funds, which are held in trust by City on behalf of the OCILJ Steering Committee. In the event these funds are inadequate to pay for the costs of the Project, Contractor acknowledges and agrees that neither City nor its general fund shall be required to make up the shortfall. 5. SOFTWARE LICENSE 0 Contractor hereby grants to City, a perpetual, non - exclusive and non- transferable license to use for the internal business purposes of City and participants in the OCILJ as designated by City any and all Contractor Software provided to City under this Agreement in accordance with the terms and conditions set forth in this Agreement. 6. PROJECT MANAGER Contractor shall designate a Project Manager, who shall coordinate all phases of the Project. This Project Manager shall be available to City at all reasonable times during the Agreement term. Contractor has designated Bradley Cochran to be its Project Manager. Contractor shall not remove or reassign the Project Manager or any personnel listed in Exhibit B or assign any new or replacement personnel to the Project without the prior written consent of City. City's approval shall not be unreasonably withheld with respect to the removal or assignment of non -key personnel. Contractor, at the sole discretion of City, shall remove from the Project any of its personnel assigned to the performance of services upon written request of City. Contractor warrants that it will continuously furnish the necessary personnel to complete the Project on a timely basis as contemplated by this Agreement. R 10 7. ADMINISTRATION 8. This Agreement will be administered by the Newport Beach Police Department. Captain Paul Henisey shall be the Project Administrator and shall have the authority to act for City under this Agreement. The Project Administrator or his authorized representative shall represent City in all matters pertaining to the services to be rendered pursuant to this Agreement. In order to assist Contractor in the execution of its responsibilities under this Agreement, City agrees to, where applicable: Provide access to, and upon request of Contractor, one copy of existing relevant information on file at City. City will provide all such materials in a timely manner so as not to cause delays in Contractor's work schedule. 9. STANDARD OF CARE 9.1 All of the services shall be performed by Contractor or under Contractor's supervision. Contractor represents that it possesses the professional and technical personnel required to perform the services required by this Agreement, and that it will perform all services in a manner commensurate with community professional standards. All services shall be performed by qualified and experienced personnel who are not employed by City, nor have any contractual relationship with City. 9.2 Contractor represents and warrants to City that it has or shall obtain all licenses, permits, qualifications, insurance and approvals of whatsoever nature that are legally required of Contractor to practice its profession. Contractor further represents and warrants to City that Contractor shall, at its sole cost and expense, keep in effect or obtain at all times during the term of this Agreement, any and all licenses, permits, insurance and other approvals that are legally required of Contractor to practice its profession. 9.3 Contractor shall not be responsible for delay, nor shall Contractor be responsible for damages or be in default or deemed to be in default by reason of strikes, lockouts, accidents, or acts of God, or the failure of City to furnish timely information or to approve or disapprove Contractor's work promptly, or delay or faulty performance by City, contractors, or governmental agencies. 10. HOLD HARMLESS To the fullest extent permitted by law, Contractor shall indemnify, defend and hold harmless City, its City Council, boards and commissions, officers, agents and employees (collectively, the "Indemnified Parties) from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, 7 0 0 without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a Claim; collectively, "Claims "), which may arise from or in any manner relate, directly or indirectly, to any work performed or services provided under this Agreement including, without limitation, defects in workmanship or materials and /or design defects [if the design originated with Contractor]) or Contractor's presence or activities conducted on the Project, including the negligent and /or willful acts, errors and/or omissions of Contractor, its principals, officers, agents, employees, vendors, suppliers, consultants, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable or any or all of them. Notwithstanding the foregoing, nothing herein shall be construed to require Contractor to indemnify the Indemnified Parties from any Claim arising from the sole negligence or willful misconduct of the Indemnified Parties. Nothing in this indemnity shall be construed as authorizing any award of attorney's fees in any action on or to enforce the terms of this Agreement. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Contractor. 11. INDEPENDENT CONTRACTOR It is understood that City retains Contractor on an independent contractor basis and Contractor is not an agent or employee of City. The manner and means of conducting the work are under the control of Contractor, except to the extent they are limited by statute, rule or regulation and the expressed terms of this Agreement. Nothing in this Agreement shall be deemed to constitute approval for Contractor or any of Contractor's employees or agents, to be the agents or employees of City. Contractor shall have the responsibility for and control over the means of performing the work, provided that Contractor is in compliance with the terms of this Agreement. Anything in this Agreement that may appear to give City the right to direct Contractor as to the details of the performance or to exercise a measure of control over Contractor shall mean only that Contractor shall follow the desires of City with respect to the results of the services. 12. COOPERATION Contractor agrees to work closely and cooperate fully with City's designated Project Administrator and any other agencies, cities and other governmental entities that may have jurisdiction or interest in the work to be performed. City agrees to cooperate with the Contractor on the Project. 13. CITY POLICY Contractor shall discuss and review all matters relating to policy and Project direction with City's Project Administrator in advance of all critical decision points in order to ensure the Project proceeds in a manner consistent with City goals and policies. 8 �ti • 14. PROGRESS 0 Contractor is responsible for keeping the Project Administrator and /or his duly authorized designee informed on a regular basis regarding the status and progress of the Project, activities performed and planned, and any meetings that have been scheduled or are desired. 15. INSURANCE Without limiting Contractor's indemnification of City, and prior to commencement of work, Contractor shall obtain, provide and maintain at its own expense during the term of this Agreement, a policy or policies of liability insurance of the type and amounts described below and in a form satisfactory to City. A. Certificates of Insurance. Contractor shall provide certificates of insurance with original endorsements to City as evidence of the insurance coverage required herein. Insurance certificates must be approved by City's Risk Manager prior to commencement of performance or issuance of any permit. Current certification of insurance shall be kept on file with City at all times during the term of this Agreement. B. Signature. A person authorized by the insurer to bind coverage on its behalf shall sign certification of all required policies. C. Acceptable Insurers. All insurance policies shall be issued by an insurance company currently authorized by the Insurance Commissioner to transact business of insurance in the State of California, with an assigned policyholders' Rating of A (or higher) and Financial Size Category Class VII (or larger) in accordance with the latest edition of Best's Key Rating Guide, unless otherwise approved by the CITY's Risk Manager. D. Coverage Requirements. i. Workers' Compensation Coverage. Contractor shall maintain Workers' Compensation Insurance and Employer's Liability Insurance for his or her employees in accordance with the laws of the State of California. In addition, Contractor shall require each subcontractor to similarly maintain Workers' Compensation Insurance and Employer's Liability Insurance in accordance with the laws of the State of California for all of the subcontractor's employees. Any notice of cancellation or non - renewal of all Workers' Compensation policies must be received by City at least thirty (30) calendar days prior to such change. The insurer shall agree to waive all rights of subrogation against City, its officers, agents, employees and volunteers for losses arising from work performed by Contractor for City. 9 \3 C General Liabilitv Coverage. Contractor shall maintain commercial general liability insurance in an amount not less than one million dollars ($1,000,000) per occurrence for bodily injury, personal injury, and property damage, including without limitation, contractual liability. If commercial general liability insurance or other form with a general aggregate limit is used, either the general aggregate limit shall apply separately to the work to be performed under this Agreement, or the general aggregate limit shall be at least twice the required occurrence limit. Automobile Liability Coverage. Contractor shall maintain automobile insurance covering bodily injury and property damage for all activities of the Contractor arising out of or in connection with work to be performed under this Agreement, including coverage for any owned, hired, non -owned or rented vehicles, in an amount not less than one million dollars ($1,000,000) combined single limit for each occurrence. iv. Professional Errors and Omissions Insurance. Consultant shall maintain professional errors and omissions insurance, which covers the services to be performed in connection with this Agreement in the minimum amount of one million dollars ($1,000,000). Endorsements. Each general liability and automobile liability insurance policy shall be endorsed with the following specific language: i. The City, its elected or appointed officers, officials, employees, agents and volunteers are to be covered as additional insureds with respect to liability arising out of work performed by or on behalf of the Contractor. ii. This policy shall be considered primary insurance as respects to City, its elected or appointed officers, officials, employees, agents and volunteers as respects to all claims, losses, or liability arising directly or indirectly from the Contractor's operations or services provided to City. Any insurance maintained by City, including any self - insured retention City may have, shall be considered excess insurance only and not contributory with the insurance provided hereunder. iii. This insurance shall act for each insured and additional insured as though a separate policy had been written for each, except with respect to the limits of liability of the insuring company. iv. The insurer waives all rights of subrogation against City, its elected or appointed officers, officials, employees, agents and volunteers. 10 0 0 0 V. Any failure to comply with reporting provisions of the policies shall not affect coverage provided to City, its elected or appointed officers, officials, employees, agents or volunteers. vi. The insurance provided by this policy shall not be suspended, voided, canceled, or reduced in coverage or in limits, by either party except after thirty (30) calendar days written notice has been received by City. F. Timely Notice of Claims. Contractor shall give City prompt and timely notice of claim made or suit instituted arising out of or resulting from Contractor's performance under this Agreement. G. Additional Insurance. Contractor shall also procure and maintain, at its own cost and expense, any additional kinds of insurance, which in its own judgment may be necessary for its proper protection and prosecution of the work. 16. PROHIBITION AGAINST ASSIGNMENTS AND TRANSFERS Except as specifically authorized under this Agreement, the services to be provided under this Agreement shall not be assigned, transferred, contracted or subcontracted out without the prior written approval of City. Any of the following shall be construed as an assignment: The sale, assignment, transfer or other disposition of any of the issued and outstanding capital stock of Contractor, or of the interest of any general partner or joint venturer or syndicate member or cotenant if Contractor is a partnership or joint- venture or syndicate or cotenancy, which shall result in changing the control of Contractor. Control means fifty percent (50 %) or more of the voting power, or twenty -five percent (25 %) or more of the assets of the corporation, partnership or joint venture. 17. SUBCONTRACTING City and Contractor agree that subcontractors may be used to complete the work outlined in the Scope of Services. The subcontractors authorized by City to perform work on this Project include Unisys, and are identified in Exhibit B. Contractor shall be fully responsible to City for all acts and omissions of the subcontractors. Nothing in this Agreement shall create any contractual relationship between City and subcontractor nor shall it create any obligation on the part of City to pay or to see to the payment of any monies due to any such subcontractor other than as otherwise required by law. Except as specifically authorized herein, the services to be provided under this Agreement shall not be otherwise assigned, transferred, contracted or subcontracted out without the prior written approval of City. 11 5 1 18. i� 0 L OWNERSHIP I INTELLECTUAL PROPERTY (A) Contractor has created, acquired or otherwise has rights in, and may, in 49 connection with the performance of services hereunder, employ, provide, modify, create, acquire or otherwise obtain rights in, various concepts, ideas, methods, methodologies, procedures, processes, know -how, techniques, models, templates, the generalized features of the structure, sequence and organization of software, user interfaces and screen designs, general purpose consulting and software tools, utilities and routines, and logic, coherence and methods of operation of systems (collectively, "Contractor Technology "). To the extent that Contractor uses any of its intellectual or other property in connection with the performance of its services, Contractor shall retain all right, title and interest in and to such property, and, except for the license expressly granted, City shall acquire no right, title or interest in or to such property. (B) City has permanent ownership of all directly connected and derivative materials first produced under this Agreement in connection with the Services by Contractor for delivery to the City, excluding any Contractor Technology contained therein. All documents, reports and other incidental or derivative work or materials furnished hereunder shall become and remain the sole property of the City and may be used by the City as it may require without additional cost to the City. Contractor without the express written consent of the City shall use none of the documents, reports and other incidental or derivative work or furnished materials except in providing the Services hereunder. All materials, documents, data or information obtained from City data files or any City medium furnished to Contractor in the performance of this Agreement will at all times remain the property of the City. (C) City shall have the right to use the trademarks and name of Contractor, but shall not have the right to use the names of the inventors of the Contractor's Software without the written consent of the party whose name is desired to be used. COMPUTER DELIVERABLES All system and project management documentation including (but not limited to: design documents, as -built documentation, working papers, test results, training materials and other written documents shall be delivered in hard copy and transmitted to City in an electronic version using Microsoft Office Products, including Microsoft Word, Excel and Project readable by City. 20. SOURCE CODE ESCROW All application source code authored by the Contractor shall be placed in a source code escrow account acceptable to the City. All updates to the software provided to the City and its assigns and agents shall be placed into the account as long as IK IV 0 0 the City and its assigns have a valid maintenance support arrangement with the Contractor. In the event that the Contractor becomes insolvent or is found to be in breach of its support agreement with the City, the City shall be given access to the source code in escrow and shall have the right to contract with another vendor for the ongoing maintenance and enhancement of its installation. 21. WARRANTY AND ONGOING MAINTENANCE SUPPORT 21.1 General Warranty: Contractor hereby represents and warrants for the benefit of City that, for a period of 90 days from the date of final acceptance, and after each update or revision thereof, all COPLINK Software products and ETL (Extract/Transfer /Load) services will substantially conform to the representations made in the Contractor's Proposal. Equipment provided by Unisys as part of the subcontracting Agreement between Contractor and Unisys is subject to standard Unisys product warranties and licensing. 21.2 Warranty of Title: Contractor represents and warrants that it owns the Software, or has a right to license the Software, as described in this Agreement and Exhibit B. 21.3 Annual Maintenance Plan: Contractor shall maintain and support the Software subject to the terms outlined in the Scope of Services, attached hereto as Exhibit A. City has opted to purchase the three -year warranty package outlined in Contractor's Proposal. 21.4 Response Times: During the warranty period, the Contractor shall provide 4 -hour on -site response to a system deficiency that affects 10 or more workstations, or one server or impacts average transaction time by more than 20 %. Staff must be available to respond Monday through Friday from 8 am to 5 pm, Pacific Standard Time. 21.5 Routine Maintenance: During the warranty period, Contractor will visit the site at least once every 12 weeks, and at that time verify that all system components are operating within specifications and upgrade all system components to the latest available software release. Operating systems need not be upgraded as new releases are issued but all maintenance patches available must be installed on the servers on the monthly visits. 22. ACCEPTANCE OF DELIVERABLES For each project deliverable, Contractor will present the OCILJ Project Coordinator with a Deliverable Acceptance Statement. The project coordinator should sign and return a copy of this form to the Unisys Project Manager. If the OCILJ does not return a signed copy, or a written description of any perceived deficiencies in the service within fifteen (15) days after receipt of the Deliverable Acceptance Statement, then the services will be deemed accepted. 13 N"1 0 23. CONFIDENTIALITY (A) Contractor agrees to maintain the confidentiality of its records pursuant to all statutory laws relating to privacy and confidentiality as now in existence or as hereafter amended or changed. "Confidential Information" shall include criminal history information and records, Contractor's research and development plans and reports, the computer code for the Contractor Software (both source and object code), the functionality or manner of operation of any computer code (including without limitation screen designs and flows), or any other designs, techniques, methods, specifications, drawings, sketches, processes, trade secrets, product information, print -outs, formulae, samples, prototypes, systems and components, marketing or promotional information, and any other information marked confidential or accompanied by correspondence indicating such information is confidential exchanged between the parties hereto. All records and information concerning any and all matters referred to Contractor by the City shall be considered and kept confidential by Contractor and Contractor's staff, agents, subcontractors, and employees. Information obtained by a party in the performance or receipt of the Services under this Agreement ( "Confidential Information ") shall be treated as confidential and shall not be used by the other party for any purpose other than the performance or receipt of the Services under this Agreement. (B) Each party shall maintain the Confidential Information of the other party in confidence using at least the same degree of care as it employs in maintaining in confidence its own proprietary and confidential information, but in no event less than a reasonable degree of care. Confidential Information shall not include information which (i) shall have otherwise become publicly available other than as a result of disclosure by the receiving party in breach hereof, (ii) was disclosed to the receiving party on a non - confidential basis from a source other than the disclosing party, which the receiving party believes is not prohibited from disclosing such information as a result of an obligation in favor of the disclosing party, (iii) is developed by the receiving party independently of, or was known by the receiving party prior to, any disclosure of such information made by the disclosing party, or (iv) is disclosed with the written consent of the disclosing party. A receiving party also may disclose Confidential Information to the extent required by an order of a court of competent jurisdiction, administrative agency or governmental body, or by any law, rule or regulation, or by subpoena, summons or other administrative or legal process. (C) Contractor's employees assigned to this Project must meet character standards as demonstrated by background investigation and reference checks, coordinated by City. 14 it 0 0 24. INTELLECTUAL PROPERTY INDEMNITY The Contractor shall defend and indemnify City, its agents, officers, representatives and employees, against any and all liability, including costs, for infringement of any United States' letters patent, trademark, or copyright infringement, including costs, contained in Contractor's Deliverables and specifications provided under this Agreement. 25. RECORDS Contractor shall keep records and invoices in connection with the work to be performed under this Agreement. Contractor shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures and disbursements charged to City, for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Contractor under this Agreement. All such records and invoices shall be clearly identifiable. Contractor shall allow a representative of City to examine, audit and make transcripts or copies of such records and invoices during regular business hours. Contractor shall allow inspection of all work, data, Documents, proceedings and activities related to the Agreement for a period of three (3) years from the date of final payment to Contractor under this Agreement. 26. WITHHOLDINGS City may withhold payment to Contractor of any disputed sums until satisfaction of the dispute with respect to such payment. Such withholding shall not be deemed to constitute a failure to pay according to the terms of this Agreement. Contractor shall not discontinue work as a result of such withholding. Contractor shall have an immediate right to appeal to the City Manager or his/her designee with respect to such disputed sums. Contractor shall be entitled to receive interest on any withheld sums at the rate of return that City earned on its investments during the time period, from the date of withholding of any amounts found to have been improperly withheld. 27. ERRORS AND OMISSIONS In the event of errors or omissions that are due to the negligence or professional inexperience of Contractor which result in expense to City greater than what would have resulted if there were not errors or omissions in the work accomplished by Contractor, the additional expense shall be borne by Contractor. Nothing in this paragraph is intended to limit City's rights under any other sections of this Agreement. 28. CITY'S RIGHT TO EMPLOY OTHER CONTRACTORS • City reserves the right to employ other consultants or contractors in connection with the Project. 15 �1 0 0 29. CONFLICTS OF INTEREST The Contractor or its employees may be subject to the provisions of the California Political Reform Act of 1974 (the "Act "), which (1) requires such persons to disclose any financial interest that may foreseeably be materially affected by the work performed under this Agreement, and (2) prohibits such persons from making, or participating in making, decisions that will foreseeably financially affect such interest. If subject to the Act, Contractor shall conform to all requirements of the Act. Failure to do so constitutes a material breach and is grounds for immediate termination of this Agreement by City. Contractor shall indemnify and hold harmless City for any and all claims for damages resulting from Contractor's violation of this Section. 30. NOTICES All notices, demands, requests or approvals to be given under the terms of this Agreement shall be given in writing, to City by Contractor and conclusively shall be deemed served when delivered personally, or on the third business day after the deposit thereof in the United States mail, postage prepaid, first -class mail, addressed as hereinafter provided. All notices, demands, requests or approvals from Contractor to City shall be addressed to City at: Captain Paul Henisey Newport Beach Police Department 870 Santa Barbara Drive Newport Beach, CA, 92658 -7000 (949) 644 -3650 Fax 644 -3693 All notices, demands, requests or approvals from City to Contractor shall be addressed to Contractor at: Attention: Mr. Thomas O'Neil Vice President of Operations Knowledge Computing Corporation 6601 East Grant Road Tucson, AZ 85715 (520) 574 -1519 x118 Fax 31. TERMINATION In the event that either party fails or refuses to perform any of the provisions of this Agreement at the time and in the manner required, that party shall be deemed in default in the performance of this Agreement. If such default is not cured within a period of two (2) calendar days, or if more than two (2) calendar days are reasonably required to cure the default and the defaulting party fails to 16 2° 0 0 give adequate assurance of due performance within two (2) calendar days after receipt of written notice of default, specifying the nature of such default and the steps necessary to cure such default, the non - defaulting party may terminate the Agreement forthwith by giving to the defaulting party written notice thereof. Notwithstanding the above provisions, City shall have the right, at its sole discretion and without cause, of terminating this Agreement at any time by giving seven (7) calendar days prior written notice to Contractor. In the event of termination under this Section, City shall pay Contractor for services satisfactorily performed and costs incurred up to the effective date of termination for which Contractor has not been previously paid. On the effective date of termination, Contractor shall deliver to City all reports, Documents and other information developed or accumulated in the performance of this Agreement, whether in draft or final form. 32. COMPLIANCE WITH ALL LAWS Contractor shall at its own cost and expense comply with all statutes, ordinances, regulations and requirements of all governmental entities, including federal, state, county or municipal, whether now in force or hereinafter enacted. In addition, all work prepared by Contractor shall conform to applicable City, county, state and federal laws, rules, regulations and permit requirements and be subject to approval of the Project Administrator and City. 33. WAIVER 34. A waiver by either party of any breach, of any term, covenant or condition contained herein shall not be deemed to be a waiver of any subsequent breach of the same or any other term, covenant or condition contained herein, whether of the same or a different character. This Agreement represents the full and complete understanding of every kind or nature whatsoever between the parties hereto, and all preliminary negotiations and agreements of whatsoever kind or nature are merged herein. No verbal agreement or implied covenant shall be held to vary the provisions herein. 35. CONFLICTS OR INCONSISTENCIES In the event there are any conflicts, ambiguities or inconsistencies between this Agreement, the Scope of Services and the Proposal or any other exhibits attached thereto, the order of precedence in interpretation shall be as follows: The terms of this Agreement shall govern first, the terms of the Scope of Work shall govern second, and the terms of the Contractor's Proposal shall govern third. City specifically rejects and does not agree to the following provisions included in Contractor's Proposal: Paragraphs 6, 8, 9, 10, 17 and 26 of Appendix H, 17 4 0 9 "Technical and General Assumptions." These provisions are not part of this Agreement. Each party and its counsel have participated fully in the review and revision of this Agreement. Any rule of construction to the effect that ambiguities are to be resolved against the drafting party shall not apply in interpreting this Agreement. 36. AMENDMENTS This Agreement may be modified or amended only by a written document executed by both Contractor and City and approved as to form by the City Attorney. 37. SEVERABILITY If any term or portion of this Agreement is held to be invalid, illegal, or otherwise unenforceable by a court of competent jurisdiction, the remaining provisions of this Agreement shall continue in full force and effect. 38. CONTROLLING LAW AND VENUE The laws of the State of California shall govern this Agreement and all matters relating to it and any action brought relating to this Agreement shall be adjudicated in a court of competent jurisdiction in the County of Orange. 39. EQUAL OPPORTUNITY EMPLOYMENT 9 Contractor represents that it is an equal opportunity employer and it shall not discriminate against any subcontractor, employee or applicant for employment because of race, religion, color, national origin, handicap, ancestry, sex or age. 40. PUBLICATION AND PRESS RELEASES Contractor shall have the right to issue a press release(s) that references the Project immediately upon execution of this Agreement. City must approve the press release(s) prior to issuance. Contractor may also publish general details about any successful investigations that resulted from the use of its software applications, subject to privacy and security law, regulations and policies. City must approve any such references. 41. COUNTERPARTS This Agreement may be signed in any number of counterparts. IN WITNESS WHEREOF, the parties have caused this Agreement to be executed on the day and year first written above. 18 2 0 0 0 APPROVED AS TO FORM: CITY OF NEWPORT BEACH, A Municipal Corporation By: Robin Clauson, City Attorney Steve Bromberg, Mayor for the City of Newport Beach for the City of Newport Beach CONTRACTOR: Robert Griffin, President Knowledge Computing Corporation Attachments: Exhibit A — Scope of Work Exhibit B — Proposal for a Records Management System Data Sharing Solution, dated September 15, 2004 F: users /cat/shared /ag /ILK Knowledge Computing Corporation Contract.doc 19 3 <a 0 Exhibit A — Scope of Work This section outlines the services, equipment, software and tools to be provided by the Integrated Justice System Vendor in the execution of the contract. The services and products described apply to the Integrated Justice System Search Tool, integrated data system and Analysis Tools. For the purposes of the scope of work, the Orange County Integrated Law & Justice Steering Committee considers all of these subsystems integral parts of a single system, hereafter referred to as the OCILJ Data Sharing Solution. The delivered system must meet the functional and technical requirements as detailed in Section REQ, Requirements. There are two components to the system. The first is an integration and data sharing solution that extracts data from existing records management systems and makes that information available to all participating agencies through a search user interface. The second component is a set of analysis tools that allows staff from the various agencies to manipulate and analyze the data extracted from the RMS, CAD and various other systems that may be added to the overall integration solution over time. For the purposes of this document, the scope of work may be divided into two phases. Phase 1 includes full implementation of the OCILJ Data Sharing Solution (data integration, search and analysis tools) including data integration of 3 -7 police agency records management systems within Orange County and the court's citation database. Phase 2 includes the addition of the remaining police agencies into the integrated system and will be conducted on an incremental basis. Ir Provision and implementation of the analysis tools is expected to be completed in Phase 1 of the project. A number of team members from each justice agency will be involved with the overall project. Actual team members will be selected at a later date, for the purposes of this document they are referred to as the Orange County Integrated Law & Justice ( OCILJ) Working Group. The members of this team will fluctuate with the project schedule, depending on the timing of the work for a specific agency. The overall deciding body of the project includes officials from all involved police and justice agencies, referred to as the OCILJ Steering Committee. The scope of work will include the integration of data from court's citation database and a number of police agency records management systems; hereafter referred to as Phase 1 sites that will implement solution. The following sites are currently being considered for inclusion in Phase 1. Phase 1 Sites: No Agency Records Management System 1 Brea Tiburon 2 West Covina Consortium West Covina 3 Garden Grove PD Custom RMS 4 Irvine Intergraph 5 Newport Beach Northrop Grumman PRC 6 Orange County Sheriff Visionair WE 2q 0 • 7 1 Orange County Sheriff Arrest and Booking System Mu shots 18 1 Orange County Superior Court OC Court's Citation Database A final selection of Phase 1 sites will be determined at contract depending on the level of cooperation required and achieved with the RMS vendor and pricing and budget considerations. Vendors should base their pricing on the assumption that at least 3 Police RMS systems will be included in Phase 1. Phase 2 Sites: No Agency Records Management System 1. Huntington Beach PD Intergraph 2. Fullerton PD West Covina Services Group 3. Westminster PD Alliance PD, C run Corp. 4. Tustin PD West Covina Services Group 5. Los Alamitos PD West Covina Services Group 6. Fountain Valley PD West Covina Services Group 7. Buena Park PD Spillman 8. La Palma PD West Covina Services Group 9. Santa Ana PD Custom built 10. La Habra PD West Covina Services Group 11. Orange PD Visionair RMS 3.0.5 12. Costa Mesa PD Motorola PrinTrak 13. Anaheim PD Currently in procurement 14. Placentia PD 15. Laguna Beach West Covina Services Group While Phase 1 sites will have their data shared in Phase 1, all of the participating justice agencies will be able to search, view and analyze the shared data during Phase 1. SOW 1 — General SOW1 -1 Location of Work The primary work location shall be in facilities provided by the Orange County Integrated Law & Justice agencies in the State of California. The Vendor can complete much of the work in their own facilities. However, all requirements workshops, project management meetings, training and integration and acceptance testing shall occur at the Primary Work Location. These requirements are applicable to both Phase 1 and Phase 2. SOW1 -2 Vendor Project Manager The Vendor shall assign a Vendor Project Manager to this project. The Vendor Project Manager will be the single point of contact responsible for all work undertaken by the Vendor. The Vendor Project Manager shall be on site in Orange County as needed through the duration of the project. During implementation and up to provisional acceptance the Vendor Project Manager must be on site in Orange County at least 4 days every two weeks unless agreed to by the OCILJ Project Manager. At no time during the project, shall the project 21 �✓ • • manager be on site less than 2 days in a calendar month. These requirements are applicable to both Phase 1 and Phase 2. SOW1 -3 System Staff on Site Support For Phase 1, programmers and systems specialists capable of making any required changes to the system shall be on site on a full time basis for the duration of system integration testing, and on a half time basis through to provisional acceptance of Phase 1. Support personnel capable of restoring the system shall be available within 4 hours through Final Acceptance of the system. The same requirements apply to Phase 2 incremental projects. SOW 2 — Services SOW2 -1 Inception For Phase 1, the Vendor shall meet with the Orange County Integrated Law & Justice project management as often as necessary over the period of 3 weeks to finalize the project plan, schedule initial meetings and workshops and agree and document project processes, procedures and reporting systems. For costing purposes, the Vendor should expect to meet onsite at least 3 days per week. For Phase 2, the Vendor shall meet with the Orange County Integrated Law & Justice project management as often as necessary, for each RMS system to be integrated, to finalize the project plan, schedule initial meetings and workshops and agree and document project processes, procedures and reporting systems. For costing purposes, the Vendor should expect to meet for 3 days for each site. This meeting period will commence within 3 weeks of the vendor being notified that OCILJ wishes to add an RMS system to the integration solution. Requirements for the number of days spent onsite for the Inception services are included here for cost purposes. Actual time requirements for Inception services may vary. SOW2 -2 Site Surveys In conjunction with the inception meetings, the Vendor shall visit all sites included in the phase and work with technical personnel at that agency as well as the agency's RMS vendor to fully validate their approach and design for integration with the data at that site. During these visits the Vendor shall determine the installation requirements for the OCILJ Data Sharing Solution components to be installed and the suitability of the facilities and infrastructure of the sites to house the system and associated equipment. The findings of these examinations will be compiled by the Vendor and submitted to the OCILJ Steering Committee. OCILJ police agencies will implement physical plant electrical and network facilities to support the system based on the report provided by the Vendor. SOW2 -3 Requirements Validation Workshops The Vendor shall conduct requirements validation workshops to walk through all of the Orange County Integrated Law & Justice requirements and determine the required configuration details. Workshops will need to be held for each site that 22 will be included in the OCILJ Data Sharing Solution. Logistics for the workshops shall be managed by the Orange County Integrated Law & Justice team members. These requirements are applicable to both Phase 1 and Phase 2. SOW2 -4 System Design Documentation Following the requirements validation workshops the Vendor shall develop design documents detailing the configuration and any custom development. The documentation must be detailed enough for reviewers to understand the function and appearance of all screens. This documentation shall be submitted to the OCILJ Steering Committee for a 1 week review period. During the review period the Vendor shall update the project plan to reflect the configuration and customization effort. Following the OCILJ Steering Committee's review, the Vendor and the OCILJ Working Group shall finalize the design documents and project schedule. These requirements are applicable to both Phase 1 and Phase 2. SOW2 -5 Development and Customization The Vendor shall perform the customizations outlined in the finalized System Design Documentation described above. These requirements are applicable to both Phasel and Phase 2. SOW2 -6 Configuration The Vendor shall undertake all configuration of the data sharing application, the Search Tool, and Analysis Tools to meet the requirements as defined in the workshops and design documentation. These requirements are applicable to both Phase 1 and Phase 2. SOW2 -7 Interfaces The Vendor shall be responsible for implementing all aspects of the interfaces described in the requirements. The Vendor will be responsible for implementing the legacy system end of the interfaces, working with OCILJ staff to understand technical interface requirements and for liaising with RMS vendors to facilitate interfaces with OCILJ RMS's. As appropriate, the Vendor will utilize existing OCILJ relationships with RMS vendors. Each OCILJ agency intends to provide support for establishing relationships with RMS vendors and building the interfaces for this project, but that support may not always be guaranteed. In cases where select police agency Records Management System vendors do not allow direct alterations for interfaces, the Vendor will liaise with RMS vendors for the creation of required interfaces. These requirements are applicable to both Phase 1 and Phase 2. SOW2 -8 Integration Primary integration of the solution with outside systems will be the responsibilities of the Vendor. The Vendor shall be fully responsible for full integration of the data sharing solution with the Search tool, Analysis Tools and current police agency RMSs. The Vendor will also be responsible for integrating the Data Sharing Solution with the ELETE system and the Orange County Court's citation database. The Vendor shall actively work with Orange County police agencies and courts, their staff, and any other contractors employed by 23 Z -, ! • justice agencies within the county to support the integration of the Records Management Systems. These requirements are applicable to both Phase 1 and Phase 2. . In some cases, the Data Sharing project team may experience problems with the integration, such as a lack of cooperation from an RMS vendor. OCILJ and the Vendor will utilize all reasonable resources to resolve integration problems. However, if the problem persists or the solution is cost - prohibitive, OCILJ reserves the right to change the sites that will be part of Phase 1. SOW2 -9 Server Installation The Vendor will work with OCILJ agencies to understand existing infrastructure available for use on this project. In the event that more servers are required, the Vendor shall install, configure, test and commission all server equipment and infrastructure required to support the system. The development server shall be installed and commissioned at the Primary Work Location prior to acceptance of the System Design Documentation by the OCILJ Steering Committee. The production environments must be installed and commissioned 8 weeks prior to commencement of Data Sharing Solution Testing. In a number of cases, several police agencies may already own adequate hardware and server software. This hardware will be identified in Inception. These requirements are applicable to both Phase 1 and Phase 2. SOW2 -10 Workstation Software Installation Systems that require the installation of workstation software are discouraged. In the event that a vendor solution requires workstation specific software be installed, the Vendor shall install all workstation software to support the application including any client application software. The Vendor can assume that Microsoft Windows NT, XP, 2000, 2003 and all standard Windows components already exist on all workstations, including Internet Explorer. These requirements are applicable to both Phase 1 and Phase 2. During Phase 1, up to 500 workstations at up to 10 different locations may be required. During Phase 2, the Vendor should assume that an average of 100 workstations will be required for each additional RMS system incorporated into the solution. SOW2 -11 Project Management The Vendor Project Manager shall maintain a detailed schedule of activities for his /her team and update the schedule on a weekly basis until Provisional Acceptance of the system. The updated schedule shall, along with progress reports, be forwarded to the OCILJ Project Manager on a weekly basis. The Vendor Project Manager shall present the current status of the work at a meeting in Orange County every 2 weeks through the life of the project. Progress reports shall include a table listing all delivery milestones along with the originally scheduled date and the current target date and the number of changes to the date. 24 Zti 0 0 The Project Management requirements are applicable to both Phase 1 and Phase 2. SOW 3 — Equipment and Software SOW3 -1 Complete Solution The Vendor shall offer a complete solution including all hardware and software required to operate the production system. The Integrated Justice Working Group has a number of Windows 2000 servers and Microsoft SQL Server licenses. During negotiations and design, discussions will be undertaken to determine if the solution can be operated on the Group's existing infrastructure. SOW3 -2 Primary Server and Infrastructure Environment The Vendor shall provide, deliver, install, configure and test the complete production server hardware and software environment in the selected data center location. All warranty and licensing agreements associated with this infrastructure must be in the name of the OCILJ Working Group or their designate. SOW3 -3 Development / Test Server Environment The Vendor shall consult with the OCILJ Working Group and Steering Committee to ascertain the availability of development and test servers. -if new equipment will be required, the Vendor shall provide, deliver, install, configure and test the complete development server hardware and software environment in the selected data center location. All warranty and licensing agreements associated with this infrastructure must be in the name of the OCILJ Working Group or their designate. The Development and Test environment will be used by Vendor personnel to configure and do preliminary testing of the system prior to commissioning. The system must be sized to support the development and configuration that will be performed by the Vendor and must scale to the requirements for Phase 2. SOW3 -4 Development Workstations The Vendor shall determine the number of required development workstations in the inception phase of Phase 1. The Vendor shall provide, deliver, install, configure and test the development workstations and a development local area network infrastructure to be used by Vendor personnel. After the completion of Phase 1, the development workstations will continue to be used for Phase 2. Any additional workstation requirements for Phase 2 will be determined in the Phase 2 inception phase. All warranty and licensing agreements associated with this infrastructure must be in the name of the Orange County Integrated Law & Justice Working Group or their designate. SOW3 -5 User Workstations The Vendor shall provide specifications for user workstations as outlined in the submission requirements. If additional or altered specifications are created as a result of changes for Phase 2 implementation, the Vendor will reissue specifications for user workstations. 25 • • SOW3 -6 System Software The Vendor shall provide, deliver, install, configure and test all Data Sharing Solution system software. The Vendor will be responsible for installing any client software that is required other than standard browsers on all workstations at Phase 1 sites and Phase 2 sites. All warranty and licensing agreements associated with this infrastructure must be in the name of the Orange County Integrated Law & Justice Working Group or their designate. SOW3 -7 Data Integration and Web Development Tools The Vendor's responsibilities in this area are limited to providing the applications configuration and web development tools used to meet the requirements of the Data Sharing Solution defined in the System Design Documentation, and providing training and documentation on any proprietary products and tools supplied. SOW3 -8 Third Party Software The Vendor shall provide, deliver, install, configure and test all third party software that is required to support the operation of the Data Sharing Solution on all of the server components as well as any items that are required other than those provided with Microsoft Windows XP /NT /200012003 or later operating systems on the workstations. All warranty and licensing agreements associated with this software must be in the name of the Orange County Integrated Law & Justice Working Group or their designate. SOW3 -9 System Management Software The Vendor shall provide, deliver, install, configure and test all software that is required to effectively manage the server infrastructure and the applications. All warranty and licensing agreements associated with this software must be in the name of the Orange County Integrated Law & Justice Working Group or their designate. SOW 4 — Acceptance and T SOW4 -1 Acceptance Acceptance of the Data Sharing Solution shall be conducted in a multistage process in Phase 1 and Phase 2. SOW4 -2 Preliminary Acceptance Preliminary Acceptance shall be granted following the acceptable completion of Data Sharing Solution Testing and clearance of all deficiencies identified during Data Sharing Solution Testing. These requirements are applicable to both Phase 1 and Phase 2. SOW4 -3 Provisional Acceptance Provisional Acceptance shall be granted following the acceptable completion of user acceptance testing and clearance of all deficiencies identified during user acceptance testing. 26 V 0 0 SOW4 -4 Final Acceptance Final Acceptance in Phase 1 shall be granted after 16 weeks of operation without a system outage affecting more than 10 workstations or reducing system throughput by more than 20 %. Final Acceptance in Phase 2 will follow similar guidelines but will be staggered, according to the project schedule. SOW4 -6 Data Sharing Solution Testing This testing shall be conducted on each site Production System, prior to the commencement of system Integration Testing. If the solution consists of one central system for all sites, this testing will consist of individual testing for each site. The Vendor shall be responsible for developing and submitting a testing plan for approval by the OCILJ Steering Committee at least 4 weeks prior to commencing the testing. This testing shall completely test the operation of the Data Sharing Solution attfor each site. The testing shall also include load testing that confirms satisfactory operation with 100 concurrent users simulated. In addition to the testing proposed by the Vendor, the OCILJ Working Group may submit additional tests that must be completed by the vendor. Requirements for Data Sharing Solution Testing are applicable to both Phase 1 and Phase 2. SOW4 -6 System Integration Testing System integration testing shall be conducted by the Vendor. The testing shall be conducted on the Production system prior to the commencement of training or user acceptance testing. The testing shall exercise all integration points and interfaces. The Vendor's primary responsibilities during this testing will be verifying operation of the Data Sharing Solution for all Phase 1 sites and repeating the system load test on the production system with all Phase 1 interfaces active. For Phase 2, system integration testing will also be conducted by the Vendor. The manner in which System Integration Testing will be conducted in Phase 2 will be determined in the Inception Phase. SOW4 -7 User Acceptance Testing User Acceptance Testing shall be conducted following the System Integration Testing on the Production System. The testing will be conducted by the Vendor. The Vendor shall have personnel on site throughout the testing to address deficiencies and operational issues that arise. User acceptance testing will only be performed in Phase 1. However, if changes are introduced into the system as part of Phase 2 implementation, a subset user acceptance testing phase will be conducted. SOW 5 — Training SOWS -1 General Training Philosophy The Vendor shall develop and conduct all primary system training. Train the trainer courses shall not be used to train users for initial system startup. The OCILJ Working Group shall provide training rooms with furniture and network connection to the production server location. The OCILJ Steering Committee will designate between 2 and 10 personnel that will become staff trainers following acceptance of the system. These personnel will work with the Vendor to provide 27 g' 0 input into the operational aspects of the training materials and will be the primary reviewers of the training materials. They will also sit in the courses as instructor trainees to develop an understanding for how the material should be delivered. For Phase 2, training will be conducted by the OCILJ staff trainers. SOW5 -2 User Training The Vendor shall develop and deliver a primary user training course to up to 100 users. Two classes shall be conducted simultaneously in 20 person classrooms. The curriculum must be sufficient to allow users with a basic understanding of the police agency's business to become proficient in the use of the system to conduct their day to day activities. SOW5 -3 Administrator Training The Vendor shall develop and conduct a course suitable for system administrators. This course will be delivered two times in classes of up to 5 people. This course should contain detailed explanations of the technical administration of the Data Sharing Solution, including management of security. This service will primarily be provided as part of Phase 1. However, should a significant number of administrator resources be identified in Phase 2, additional administrator training courses may be required. SOW 6 — Documentation SOW6 -1 General Documentation The Vendor shall provide complete product documentation (such as standard docs that accompany a purchased server computer) for all software and hardware components provided to the OCILJ Working Group as part of this contract. This requirement is applicable to Phase 1 and Phase 2 work. SOW6 -2 Data Sharing Solution Systems Documentation Two hard copies and one electronic copy of all Data Sharing Solution system documentation shall be provided in Phase 1. If changes to the Data Sharing Solution systems documentation result from work performed in Phase 2, two hard copies and one electronic copy of updated Data Sharing Solution systems documentation will be provided in Phase 2. Data Sharing Solution systems documentation includes all project planning and execution deliverables. SOWS -3 User Documentation The Vendor shall provide all user documentation in an electronic format simultaneously accessible to all users in or affiliated with OCILJ police agencies. The documentation must be sufficiently detailed and complete so that a computer literate user could use it to learn all functions of the system. The documentation must incorporate instructions on how to use all features customized and configured for this installation. The documentation available after Phase 2 implementation or an incremental implementation in Phase 2 will reflect any changes resulting from Phase 2 work. 28 "L 0 0 SOW6 -4 Training Documentation The vendor shall create two user manuals, one for using the Search Tool and another for using the Analysis Tools. Each training manual must be a substantive document that provides material for training all functionality within the solution. These training manuals must be approved by the project management prior to being released to end users. The Vendor shall provide at least 30 copies of each training manual to be distributed to personnel as they receive training on the use of the system. The Vendor shall also provide the OCILJ Working Group with editable electronic versions of these manuals in order that they may be updated and additional copies made for future training of new employees. The manuals must include a quick reference section that users may use on an ongoing basis as well as training exercises, examples of functions and instructions for basic operation of the system. It is expected that these quick references will be a supplement or subset of the online training materials specified above. Should changes to the training documentation be required as a result of Phase 2 changes, the Vendor shall provide 50 updated copies of a training manual to the OCILJ Working Group. SOW6 -5 Technical Documentation The Vendor shall provide 2 sets of all hardware and third party software technical documentation for each site on which these items are installed. The Vendor shall provide 2 sets of technical documentation describing configuration, database mapping integration techniques, systems management and technical support procedures for the Data Sharing Solution for each site. These requirements apply to both Phase 1 and Phase 2. If changes to the technical documentation result from Phase 2 work, and those changes are applied to the Phase 1 implementation, updated technical documentation will be provided to the Phase 1 sites. SOW6 -6 Database Documentation Wherever databases are established or significant work is done understanding existing databases, the Vendor shall compile documentation on the database structure and schema suitable to support ongoing support and further extension and expansion of these databases. This documentation shall be left with the OCILJ Working Group for use as they see fit in the ongoing operation, maintenance and expansion of the system. SOW6 -7 Data Mapping Documentation Data originating from each data source will be transformed (if required) and mapped to a corresponding Global Justice XML defined element. The Vendor must create and maintain documentation for each data source that includes the database fields mapped to the GJXML fields and the required transformations. This documentation will be a living document, and will continue to be updated as 29 33 0 0 the project progresses. Over time, ownership of the documentation will pass to the OCILJ Working Group. The exact dates will be determined at a later date. SOW 7 — Warranty and Ongoing Maintenance Support SOW7 -1 Warranty Support A system and installation warranty must be provided as part of the purchase of the system. Options for a one year and a three year warranty are required as part of the pricing submission. SOW7 -2 Warranty Components In addition to standard warranty provisions, for the purposes of this project, warranty is defined to include: • Annual software licensing during the warranty period • Telephone support • On site callout based outage support • Periodic preventative maintenance and monitoring visits • Upgrades to the latest version of application software as part of preventative maintenance SOW7 -3 Response times During the warranty period the Vendor shall provide 4 hour on site response to a system deficiency that affects 10 or more workstations, or one server or impacts average transaction time by more than 20 %. Staff must be available to respond Monday through Friday from 8 am to 5 pm. SOW7 -1 Routine Maintenance During the Warranty period, the Vendor will visit the site at least once every 12 weeks, and at that time verify that all system components are operating within specifications and upgrade all system components to the latest available software release. Operating systems need not be upgraded as new releases are issued but all maintenance patches available must be installed on the servers on the monthly visits. SOW7 -5 Phase 2 Warranty Considerations For Phase 2, and each site that is integrated into the Data Sharing Solution, the Vendor shall offer options for 1year or 3 year warranties as outlined for Phase 1. No additional routine maintenance site visits are required as part of the Phase 2 warranties. SOW7 -6 Ongoing Maintenance Support The Vendor is expected to offer a range of ongoing support options for the OCILJ Steering Committee's consideration in the event that the Steering Committee opts to not select the 3 year warranty. One of those options may be a full on -site support option. SOW 8 — Work Not Included 30 -;y 0 0 The OCILJ police agencies have information technology groups and have been using the services of various consultants to serve the justice community for some time. The following services associated with this project will be undertaken by a combination of separate consultants and the OCILJ police agency information technology personnel and are not the responsibility of the Vendor. SOW8 -1 Change Management Program The Vendor is not responsible for implementing or operating a change management or stakeholder communications program. These activities will be undertaken by OCILJ and its consultants. SOW8 -2 Networking Facilities The OCILJ Working Group will implement all local and wide area network facilities other than those specifically requested in the Scope of Work. The Vendor's responsibilities are limited to specifying the improvements required to network infrastructure during proposal submission and as a result of the design effort and site visits. SOW8 -3 Physical Plant and Electrical Service The OCILJ Working Group will implement all physical plant and electrical services based on the requirements the Vendor presents as a result of the site visits. SOW 9 — Proposal Revisions Through the evaluation process a number of items were reviewed and as a result, the following will apply: SOW9 -1 Revised Hardware Solution The CONTRACTOR will provide an alternate hardware solution as outlined below as a replacement for the Unisys Server initially proposed. Revised Hardware Solution to be delivered by KCC I Unisys SOW9 -2 Enhanced System Audit Functionality The CONTRACTOR will enhance their system audit functionality in conjunction with this project. The new functionality will include a plain language explanation of each transaction (search) conducted as well as a hyperlink that will immediately reproduce that transaction and display the result set to the user. It is understood that the result set will be based on data current in the system at . time of execution. 31 ,�6 1 2 3 4 5 6 7 8 a 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 0 AGREEMENT TO TRANSFER OR PURCHASE EQUIPMENT OR SERVICES Including Services and Technology Specifically Required Under the INTEGRATED LAW AND JUSTICE PROJECT FOR FY04 URBAN AREA SECURITY INITIATIVE (UASI) THIS AGREEMENT is entered into this day of 2005, which date is enumerated for purposes of reference only, by and between the CITY OF ANAHEIM, a municipality of the State of California, hereinafter referred to as "CITY", and the CITY OF Newport Beach, acting as Lead Agency for the Orange County Integrated Law and Justice (IL&J) project, hereinafter referred to as " SUBGRANTEE." WHEREAS, CITY, acting through the Anaheim Police Department in its capacity as the Core City for the Anaheim Urban Area under the FY04 Urban Area Security Initiative, has applied for, received and accepted a grant entitled "FY04 Urban Area Security Initiative" from the federa.0 Department of Homeland Security, Office of Domestic Preparedness, through the State of California, Office of Homeland Security, to enhance countywide emergency preparedness, hereinafter referred to as "the grant," as set forth in the grant guidelines that are attached hereto as Attachment A and incorporated herein by reference. WHEREAS, the terms of the grant require that CITY use certain grant funds to purchase, or reimburse SUBGRANTEE for the procurement of, equipment, technology or services that will be transferred to SUBGRANTEE to be used for grant purposes, including the transfer of technology to Orange County Police Agencies under the Urban Area Security Initiative. NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS: 1. Effective January 23, 2004, SUBGRANTEE was designated as the lead agency and grant administrator for the monies allocated by the federal government for the Orange County Integrated Law and Justice Project (ILJ), a countywide effort and multi -phase project to integrate the diverse information systems of all criminal justice agencies in the county pursuant to a COPS MORE grant, These grant monies are held by SUBGRANTEE on behalf of the ILJ Steering Committee. The ILJ 1 02 3 4 5 6 7 8 9 10 11 12 13 0 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 9 Steering Committee, chaired by Chief of Police Bob McDonell of Newport Beach, makes distribution of these funds and decisions on how they are expended. 2. The funds allocated under the COPS Office grant are insufficient to implement the entire IL &J project, thus the Santa Ana and Anaheim Urban Areas will fund the portion of the project that enables data and information sharing, as well as the data analysis and intelligence tools in support of homeland security objectives. In no case will the UASI funds supplant the COPS Office grant funds. 3. The ILJ Project Steering Committee seeks to procure services from a responsible vendor to provide a technical and operational solution to enable the justice agencies in the county to share information with each other from their records management systems and related databases, and to provide a set of tools that can be used to analyze the data in those systems across jurisdictional boundaries. This particular and critical phase of the ILJ Project is the "RMS /CMS Information Sharing Project," and is being undertaken by the City of Newport Beach (SUBGRANTEE) on behalf of the agencies in Orange County, California. 4. The RMS /CMS Information Sharing Project includes the supply of required computer software and hardware as well as integration and implementation services. In an effort to ensure that Orange County law enforcement agencies are able, to the greatest extent possible, prevent, deter and effectively respond to potential acts of terrorism and crime, there are two objectives for the project: a. To enable sharing of data from records management systems (RMS), case management systems (CMS) and related databases across the County. b. To acquire and implement a set of data analysis /intelligence tools in support of enhanced homeland security and crime related investigations. c. The project is structured in two phases. Phase I is designed to establish the solution and will enable the sharing of the Court's citation data, five police RMS systems (Newport Beach, Irvine, Garden Grove, Brea, and the new release of the RMS System being implemented to serve the West Covina Consortium consisting of Cypress, Seal Beach and others), and the Orange County Sheriffs Department RMS and LARS (Local Arrest Records System, including their Mug -shot database). Search and analysis tools will be acquired and deployed to allow for the flexible export of data as well as analysis within N M 2 kl 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 0 u the provided toolsets. Phase 2 involves the incorporation of the approximately 17 additional remaining Police RMS systems and portions of the District Attorney and thl Probation CMS systems into the infrastructure. Phase 2 will be contracted on a work order basis as agencies add their RMS system to the integration platform. 5. Depending upon the agreement, City may transfer to SUBGRANTEE, or SUBGRANTEE shall purchase, the equipment or services as specified in Attachment B hereto, in accordance with grant guidelines and in full compliance with all of the subgrantee's purchasing and bidding procedures. 6. Throughout its useful life, SUBGRANTEE shall use any equipment acquired with grant funds only for grant purposes, and shall make it available for mutual aid response. 7. SUBGRANTEE shall exercise due care to preserve and safeguard equipment acquired Iwith grant funds from damage or destruction and shall provide regular maintenance and such repairs for said equipment as are necessary, in order to keep said equipment continually in good working order. Such maintenance and servicing shall be the responsibility of subgrantee and other participating criminaL justice agencies, who shall assume full responsibility for maintenance and repair of the ec throughout the life of said equipment. 8. If equipment acquired with grant funds becomes obsolete, SUBGRANTEE shall dispose of it only in accordance with the instructions of CITY or the agency from which CITY received the grant funds. 9. Upon receipt of an invoice for a purchase of any equipment or services as specified in Attachment B, SUBGRANTEE shall submit the invoice to the CITY as soon as practical, but in no event later than 30 days after receiving it. 10. SUBGRANTEE understands that the CITY shall have 60 days to reimburse SUBGRANTEE upon receipt of the invoice, or longer if the Office of Homeland Security takes longer to issue payment to the CITY. 11. By executing this Agreement, SUBGRANTEE agrees to comply with and be fully bound by all applicable provisions of the Attachments hereto and shall be fully responsible for payment items purchased that do not adhere to grant guidelines. 3 0 • 1 2 3 4 5 6 7 8 9 t0 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 is 27 28 0 0 12. SUBGRANTEE agrees to indemnify, defend and save harmless CITY and the agency from which CITY received grant funds, and their officers, agents and employees from any and all claims and losses accruing or resulting to any and all contractors, subcontractors, laborers, and any other person, firm or corporation furnishing or supplying work services, materials or supplies in connection with SUBGRANTEE's performance of this Agreement, including the Attachments hereto, and from any and all claims and losses accruing or resulting to any person, firm, or corporation who may be injured or damaged by SUBGRANTEE in the performance of this Agreement, including the Attachments hereto. 13. No alteration or variation of the terms of this Agreement shall be valid unless made in writing and signed by duly authorized representatives of the parties hereto, and no oral understanding or agreement not incorporated herein shall be binding on any of the parties hereto. 14. SUBGRANTEE may not assign this Agreement in whole or in part without the express I written consent of CITY. 15. For a period of three years after final delivery hereunder or until all claims related to this Agreement are finally settled, whichever is later, SUBGRANTEE shall preserve and maintain all documents, papers and records relevant to the equipment acquired in accordance with this Agreement, including the Attachments hereto. For the same time period, SUBGRANTEE shall make said documents, papers and records available to CITY and the agency from which CITY received Grant funds or their duly authorized representative(s), for examination, copying, or mechanical reproduction on or off the premises of SUBGRANTEE, upon request during usual working hours. 16. SUBGRANTEE shall provide to CITY all records and information requested by CITY for inclusion in quarterly reports and such other reports or records as CITY may be required to provide to the agency from which CITY received grant funds or other persons or agencies. 17. CITY may terminate this Agreement and be relieved of the delivery of any consideration to SUBGRANTEE if a) SUBGRANTEE fails to perform any of the covenants contained in this Agreement, including the Attachments hereto, at the time and in the matter herein provided, or b) CITY loses funding under the grant. 4 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 0 9 18. SUBGRANTEE and its agents and employees shall act in an independent capacity in the performance of this Agreement, including the Attachments hereto, and shall not be considered officer agents or employees of CITY or of the agency from which CITY received grant funds. 19. SUBGRANTEE and its officers, agents, employees shall abide by all applicable federal, State and local laws, including all applicable statutes, regulations, executive orders and ordinances. IN WITNESS WHEREOF, the parties have executed this Agreement in the City of Anaheim, County of Orange, State of California. ATTEST: CITY OF ANAHEIM, a municipal Corporation of the State of California Sheryll Schroeder Clerk of the Council RECOMMENDED FOR APPROVAL: By: John Welter Chief of Police APPROVED AS TO FORM: Christina Talley Assistant City Attorney David Morgan City Manager SUBGRANTEE City of Newport Beach, Police Department M 5 Bob McDonell, Chief Newport Beach Police Department 1 2 3 4 5 6 7 8 9 10 11 12 13 14 015 16 17 18 19 20 21 22 23 24 25 26 27 28 0 0 AGREEMENT TO TRANSFER OR PURCHASE EQUIPMENT OR SERVICES Including Services and Technology Specifically Required Under the INTEGRATED LAW AND JUSTICE PROJECT FOR FY04 URBAN AREA SECURITY INITIATIVE (UASI) THIS AGREEMENT is entered into this day of 2004, which date is enumerated for purposes of reference only, by and between the CITY OF SANTA ANA, a municipality of the State of California, hereinafter referred to as "CITY ", and the CITY OF Newport Beach, acting as Lead Agency for the Orange County Integrated Law and Justice (IL&J) project, I hereinafter referred to as " SUBGRANTEE." WHEREAS, CITY, acting through the Santa Ana Police Department in its capacity as the Core City for the Santa Ana Urban Area under the FY04 Urban Area Security Initiative, has applied for, received and accepted a grant entitled "FY04 Urban Area Security Initiative" from the federal Department of Homeland Security, Office of Domestic Preparedness, through the State of California, Office of Homeland Security, to enhance countywide emergency preparedness, hereinafter referred to as "the grant," as set forth in the grant guidelines that are attached hereto as Attachment A and incorporated herein by reference. WHEREAS, the terms of the grant require that CITY use certain grant funds to purchase, or reimburse SUBGRANTEE for the procurement of, equipment, technology or services that will be transferred to SUBGRANTEE to be used for grant purposes, including the transfer of technology to Orange County Police Agencies under the Urban Area Security Initiative. NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS: 1. Effective January 23, 2004, SUBGRANTEE was designated as the lead agency and grant administrator for the monies allocated by the federal government for the Orange County Integrated Law and Justice Project (ILJ), a countywide effort and multi -phase project to integrate the diverse information systems of all criminal justice agencies in the county pursuant to a COPS MORE grant. These grant monies are held by SUBGRANTEE on behalf of the ILJ Steering Committee. The ILJ i 1 Steering Committee, chaired by Chief of Police Bob McDonelI of Newport Beach, makes distribution of 2 these funds and decisions on how they are expended. 3 2. The funds allocated under the COPS Office grant are insufficient to implement the entire 4 IL &J project, thus the Santa Ana and Anaheim Urban Areas will fund the portion of the project that 5 enables data and information sharing, as well as the data analysis and intelligence tools in support of 6 homeland security objectives. In no case will the UASI funds supplant the COPS Office grant funds. 7 3. The ILJ Project Steering Committee seeks to procure services from a responsible vendor 8 to provide a technical and operational solution to enable the justice agencies in the county to share 9 information with each other from their records management systems and related databases, and to 10 provide a set of tools that can be used to analyze the data in those systems across jurisdictional 1 l boundaries. This particular and critical phase of the ILJ Project is the "RMS /CMS Information Sharing 12 Project," and is being undertaken by the City of Newport Beach (SUBGRANTEE) on behalf of the 13 justice agencies in Orange County, California. 14 4. The RMS /CMS Information Sharing Project includes the supply of required computer 15 software and hardware as well as integration and implementation services. In an effort to ensure thaO 16 Orange County law enforcement agencies are able, to the greatest extent possible, prevent, deter and 17 effectively respond to potential acts of terrorism and crime, there are two objectives for the project: 18 a. To enable sharing of data from records management systems (RMS), case management 19 systems (CMS) and related databases across the County. 20 b. To acquire and implement a set of data analysis/intelligence tools in support of enhanced 21 homeland security and crime related investigations. 22 c. The project is structured in two phases. Phase 1 is designed to establish the solution and 23 will enable the sharing of the Court's citation data, five police RMS systems (Newport 24 Beach, Irvine, Garden Grove, Brea, and the new release of the RMS System being 25 implemented to serve the West Covina Consortium consisting of Cypress, Seal Beach 26 and others), and the Orange County Sheriff's Department RMS and LARS (Local Arrest 27 Records System, including their Mug -shot database). Search and analysis tools will bl 28 acquired and deployed to allow for the flexible export of data as well as analysis within 2 r- 1 the provided toolsets. Phase 2 involves the incorporation of the approximately 17 2 additional remaining Police RMS systems and portions of the District Attorney and the 3 Probation CMS systems into the infrastructure. Phase 2 will be contracted on a work 4 order basis as agencies add their RMS system to the integration platform. 5 5. Depending upon the agreement, City may transfer to SUBGRANTEE, or 6 SUBGRANTEE shall purchase, the equipment or services as specified in Attachment B hereto, in 7 accordance with grant guidelines and in full compliance with all of the subgrantee's purchasing and 8 bidding procedures. 9 6. Throughout its useful life, SUBGRANTEE shall use any equipment acquired with grant 10 funds only for grant purposes, and shall make it available for mutual aid response. 11 7. SUBGRANTEE shall exercise due care to preserve and safeguard equipment acquired with 12 grant funds from damage or destruction and shall provide regular maintenance and such repairs for said 13 equipment as are necessary, in order to keep said equipment continually in good working order. Such 14 maintenance and servicing shall be the responsibility of subgrantee and other participating criminal 15 justice agencies, who shall assume full responsibility for maintenance and repair of the equipment 16 throughout the life of said equipment.8. If equipment acquired with grant funds becomes obsolete, 17 SUBGRANTEE shall dispose 18 of it only in accordance with the instructions of CITY or the agency from which CITY received the 19 grant funds. 20 9. Upon receipt of an invoice for a purchase of any equipment or services as specified in Attachment B, 21 SUBGRANTEE shall submit the invoice to the CITY as soon as practical, but in no event later than 30 22 days after receiving it. 23 10. SUBGRANTEE understands that the CITY shall have 60 days to reimburse 24 SUBGRANTEE upon receipt of the invoice, or longer if the Office of Homeland Security takes longer 25 to issue payment to the CITY. 26 11. By executing this Agreement, SUBGRANTEE agrees to comply with and be fully bound by 27 all applicable provisions of the Attachments hereto and shall be fully responsible for payment of items 28 purchased that do not adhere to grant guidelines. 3 I 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 is 12. SUBGRANTEE agrees to indemnify, defend and save harmless CITY and the agency from which CITY received grant funds, and their officers, agents and employees from any and all claims anil losses accruing or resulting to any and all contractors, subcontractors, laborers, and any other person, firm or corporation furnishing or supplying work services, materials or supplies in connection with SUBGRANTEE's performance of this Agreement, including the Attachments hereto, and from any and all claims and losses accruing or resulting to any person, firm, or corporation who may be injured or damaged by SUBGRANTEE in the performance of this Agreement, including the Attachments hereto. 13. No alteration or variation of the terms of this Agreement shall be valid unless made in writing and signed by duly authorized representatives of the parties hereto, and no oral understanding or agreement not incorporated herein shall be binding on any of the parties hereto. 14. SUBGRANTEE may not assign this Agreement in whole or in part without the express I written consent of CITY. 15. For a period of three years after final delivery hereunder or until all claims related to this Agreement are finally settled, whichever is later, SUBGRANTEE shall preserve and maintain all documents, papers and records relevant to the equipment acquired in accordance with this Agreement including the Attachments hereto. For the same time period, SUBGRANTEE shall make said documents, papers and records available to CITY and the agency from which CITY received Grant funds or their duly authorized representative(s), for examination, copying, or mechanical reproduction on or off the premises of SUBGRANTEE, upon request during usual working hours. 16. SUBGRANTEE shall provide to CITY all records and information requested by CITY for inclusion in quarterly reports and such other reports or records as CITY may be required to provide to the agency from which CITY received grant funds or other persons or agencies. 17. CITY may terminate this Agreement and be relieved of the delivery of any consideration to SUBGRANTEE if a) SUBGRANTEE fails to perform any of the covenants contained in this Agreement, including the Attachments hereto, at the time and in the matter herein provided, or b) CITY loses funding under the grant. 4 aA 1 02 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 18. SUBGRANTEE and its agents and employees shall act in an independent capacity in the performance of this Agreement, including the Attachments hereto, and shall not be considered officers, agents or employees of CITY or of the agency from which CITY received grant funds. 19. SUBGRANTEE and its officers, agents, employees shall abide by all applicable federal, State and local laws, including all applicable statutes, regulations, executive orders and ordinances. IN WITNESS WHEREOF, the parties have executed this Agreement in the City of Santa Ana, County of Orange, State of California. ATTEST: CITY OF SANTA ANA, a municipal Corporation of the State of California Patricia E. Healy Clerk of the Council RECOMMENDED FOR APPROVAL: By: Paul M. Walters Chief of Police APPROVED AS TO FORM: Paula Coleman Assistant City Attorney David N. Ream City Manager SUBGRANTEE City of Newport Beach, Police Department M 5 Bob McDonell, Chief Newport Beach Police Department ,js See file for Attachment (Response by Knowledge Computing Corporation to REP for a Records Management System Data Sharing Solution dated 9/15/04 -94 pages)