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Cobol Expert Witness





Expert Witness No. 2229


SUMMARY OF PROFESSIONAL SKILLS AND BACKGROUND

Expert No. 2229 is a seasoned project leader with over 40 years experience in directing companies in designing, selecting and implementing systems to meet their automation objectives and requirements.  He has successfully managed IT projects for companies of all sizes and a wide variety of manufacturing, distribution, healthcare, professional services, construction and real estate companies.  He specializes in helping a company’s IT resources meet its business requirements.

Expert No. 2229 has provided litigation support services in a variety of legal matters including assisting the Trustee in representing creditor interests in the a software firm reorganization; supporting plaintiff in a matter against a software vendor; representing plaintiff in a matter against a joint venture partner not meeting its IT obligations and representing a plaintiff in determining the damages resulting from a software copyright infringement matter.

Expert No. 2229 has extensive experience in managing automation projects from determining the roles and responsibilities of automation to helping companies meet their business objectives, defining applicable systems requirements, working with users to define project success criteria, developing and managing user and IT expectations, developing system specifications and designing and managing the implementation of the system into the culture of the company to meet the project success criteria.  He has applied this extensive experience by assisting clients that have underperforming systems – either not properly implemented or not meeting company information requirements – in turning around the systems problems and completing the incorporation of the systems to meet their business needs.

Expert No. 2229 has also provided consulting assistance in turning around under-performing software companies to become more profitable and in preparing for sale of the company and preparing for the sale of and marketing the firm to another software company.  He has also assisted health care organizations in successfully completing system implementation projects in serious trouble and having IT resources meet corporate needs and expectations.  Expert No. 2229 has functioned as the interim CIO for health care, professional service and non-profit companies in the process of revising and implementing their IT strategies and organization.

He is a seasoned health care systems consultant with extensive experience in assisting health plans and providers (hospitals and physician groups) and clients in other industries meet their automation objectives.  He has specialized in analyzing operational flow, identifying their information requirements and selecting, developing and implementing computerized solutions for managed care organizations.  His health care clients include Rush/Prudential Health Plans in Chicago, HMO Illinois (BCBS of Illinois), Mayo clinic in Minnesota, Harris Health Plans in Dallas (as part of their being acquired by BCBS Texas), Horizon Health Plans (BCBS of New Jersey), HealthFirst in New York and Mercy Health Plans in Wisconsin and Illinois, Mercy Hospital in Chicago, University of Miami School of Medicine and other HMOs, IPAs, TPAs, hospitals and professional provider groups.

Expert No. 2229 is a Certified HIPAA Professional and his considerable HIPAA and HITECH consulting experience encompasses assisting several health plans, providers and ancillary services in developing HIPAA privacy, security and standard transaction compliance methodologies and tools and directing clients in using these methodologies and tools to assess their HIPAA compliance positions and planning and directing appropriate remediation activities.  This includes directing the IBM Consulting practice in developing and implementing a HIPAA consulting service for their clients with less than $2 billion in revenues.  Expert No. 2229 is currently working with many of his prior HIPAA clients as well as new clients to bring them up to date with the latest Health and Human Services and the Federal Trade Commission regulations pursuant to the Health Information Technology Economic and Clinical Health Act of the American Recovery and Reinvestment Act of 2009 and the Patient Safety and Quality Improvement Act as they modify the HIPAA regulations.

Expert No. 2229 has provided a wide variety of IT strategic and tactical consulting engagements related to evaluating organizational systems as part of a buy or sell transaction, executing the post transaction integration, functioning as a temporary CIO, preparing offering books and sales information for a software company sale and various strategic and tactical planning to ensure that IT was an integral part of a organization’s operations.

Expert No. 2229 has extensive experience in the preparation and negotiation of software license agreements between vendors and users.  The scope of these services has included serving as the President and COO of a Boston software company in a turn-around environment.  As part of this responsibility, he reviewed and revised, with counsel to reflect needed changes.  In addition, he has worked with a number of users in the insurance and other industries regarding the acquisition of software including the review and negotiation of software license agreements as they relate to the acquisition.

Expert No. 2229 has developed a business intelligence methodology for companies in a variety of industries including a major healthcare provider in the Chicago area and a Fortune 100 provider of business products and services.

Expert No. 2229 has taught systems analysis and programming at the Illinois Institute of Technology (IIT).  He initiated and developed the course for the IIT MBA and Master Degree in Industrial Engineering program.  The course encompassed learning the basics of how to develop a system and programming portions of the system in COBOL.  He taught the course for seven years including teaching the programming portions of the course.

Expert No. 2229 has an MBA from Loyola University in Chicago.  He has participated in building three successful consulting practices, first for a big eight accounting firm, second for a mid-level Chicago area accounting firm and for the last 20 years has been an independent systems consultant.


REPRESENTATIVE LITIGATION SUPPORT ENGAGEMENTS

  • Represented a national third party logistics (3PL) company in litigating a claim against their software and hardware vendors for an improperly implemented warehouse management system.  This is an ongoing matter. Expert No. 2229 initially provided consulting services to the 3PL to try to salvage the wrongly installed warehouse management system (WMS) and automated conveyor system.  In negotiating with the WMS vendor, the vendor withdrew from the project and several lawsuits were filed among several entities in several states regarding breach of contract, misrepresentation, negligence and others.   In the resulting lawsuits, Expert No. 2229 is serving as advisor to the lawyers for the 3PL and serving as an expert regarding the breach of contract, misrepresentation, negligence and other claims.  Expert No. 2229 has advised the attorney in preparation for discovery, preparation of the filings and preparation for depositions.  In addition, he is serving as an expert witness regarding the contract terms and responsibilities, failure to perform and other matters.
  • Represented Creditors’ Committee Trustee in the reorganization of a mainframe based software company.  Based upon Expert No. 2229’s counsel regarding the creditors and debtor-in-possession options, the creditors were able to work with the debtor to develop the most favorable solution available to the creditors.
  • Represented the major health care clinic plaintiff against the consulting/software firm that provided advisory services and the installed software.  Expert No. 2229’s counsel regarded the use of the software and the failure of the software to perform its intended features and functions.  At the time of being retained as an expert for the plaintiff, Expert No. 2229 had just completed a three year term as a member of the American Institute of Certified Public Accountants, Management Advisory Committee on Consulting Standards.  In addition, Expert No. 2229 provided counsel regarding any violation defendant made against those standards.
  • Represented a video vending plaintiff against a SEC traded company joint venture partner that failed to meet their contractual IT hardware and software obligations.  Expert No. 2229 served as both a fact witness, advisor to the attorneys and expert witness for the plaintiff is pursuing issues of breach of contract for an automated video vending system, licensing infringements and in assisting in developing damage estimates.
  • Represented a bankruptcy creditor regarding the asset value of an internally developed software system for a commercially printing company.  Expert No. 2229’s responsibility in this matter was to assist the bankruptcy court in determining the commercial value of the software of the debtor company.  Based on Expert No. 2229’s assessment, the software was valued as a significant asset of the company and used for damages determination.
  • Represented a plaintiff in a copyright infringement matter regarding the determination of damages against the defendant.  In this matter, Expert No. 2229 represented a software company that sold software to a user.  The user infringed upon the license and marketed the stolen software as its own.  The user offered a sum to settle.  Based on Expert No. 2229’s report regarding the estimate of the nature of the infringement and the damages to the software company, the software company claimed 10 times the amount offered and settled 8 time the amount offered.
  • Represented a claimant in the arbitration of a wrongful firing matter where the claimant had provided good and valuable services and was inappropriately fired.  In this matter, Expert No. 2229 represented the claimant who had performed professionally but was discharged for other reasons.  Based on Expert No. 2229’s report, the claimant received the requested amount.
  • Represented a plaintiff in a breach of contract matter related to the development and implementation of a social web site.  Expert No. 2229’s responsibility in this matter was to opine regarding the lack of performance of the software company providing the web site and to provide an assessment of damages.  Based upon Expert No. 2229’s report the claimant settled for a favorable amount..


REPRESENTATIVE IT STRATEGIC AND TACTICAL CONSULTING PROJECTS

  • Assisted a large Chicago based third party logistics distribution company in analyzing the reasons for a poorly implemented warehouse management system and developed a strategy for successfully completing the system implementation.  This included a close review of the terms of the software license agreement as it impacted the users installation and implementation of the software.
  • Directed the implementation of a mission critical school bus routing and management system for one of the larger school bus districts in the United States.  This encompassed advising the organization regarding negotiating the vendor contract, establishing stakeholder success criteria, system implementation project planning and execution.
  • Assisted a national transportation firm in evaluating the technical resources of possible acquisitions to determine technical compatibility should the acquisition be executed and assisted in the post-sale integration of the new company into the primary company.
  • Functioned as the CIO in providing system technical support for 15 years for the same international architectural engineering firm.  As Y2K became a critical issue, advised the client of the need to move to a new modern system.  Managed the requirements definition, software vendor selection, software contract review and negotiation and implementation of the new software.
  • Performed the assessment and feasibility study of a failed automated warehouse implementation for a prominent beer distributor in Central Florida.  This included developing a new system design, selecting hardware and software vendors, negotiating software license agreements and managing the system implementation.
  • Performed several IT assessments to determine how the purchased company’s system would fit into the combined company systems, if the purchased company’s system would function on its own and/or how the systems should be merged to one integrated system.
  • Performed IT Section 404 Sarbanes Oxley privacy and security studies of IT operations as part of overall data controls reviews.
  • Led a project for a large St. Louis catalog sales company experiencing a disastrous system implementation to complete that implementation.  Based upon the initial assessment, recommended that the company revert to its old system.  Successfully directed the reversion project to meet the company’s time and budget objectives.
  • Provided information technology and consulting practice expertise representing a British owned company selling a Boston division’s IT and consulting practice.  This included performing an initial assessment of their IT and consulting management and practices, developing the sales package materials sent to prospective buyers, assisting in the development of the confidentiality agreements and facilitating the buyer due diligence meetings at the Boston location.
  • When the acquisition wasn’t completed, was assigned as the temporary President and COO for the same Boston software company that was a division of an SEC traded company.  The holding company desired to turn around the under-performing system division in preparation for selling the division.   In 8 months the company became profitable with a positive cash flow.  Bringing the software company’s customer implementations under control resulted in the net cash value of the open projects changed from $7,000 when the assignment started to $3.6 million when the company was sold with another $2 million in sold but not-yet-started projects.
  • Served as an overall business and systems advisor for 10 years to a national professional association.  This included serving as their de facto Chief Financial Officer and Chief Information Officer as well as assisting in selecting and implementing their new systems software.  
  • Assisted a children’s day care center company desiring to take their internally custom developed application software to market as a canned software solution for other day care companies.  After reviewing the costs, marketing and support costs necessary to convert an internal software system for commercial sales, the owners concluded not to pursue the matter.
  • Provided systems related valuating software systems as part of the due diligence support for organizations looking to acquire other companies.


REPRESENTATIVE IT SELECTION, DEVELOPMENT, SOFTWARE LICENSE NEGOTIATION AND/OR IMPLEMENTATION CONSULTING PROJECTS

  • Served as the CIO for a national transportation company that acquired a $10MM company as a major operating division and grew in one year to $35MM in one year without any automated systems.  Provided systems strategies and implementation management direction for this company in establishing their automated systems resulting in their operations being a leader in their industry.  This included managing the following engagements:
    • Designed and managed the development and implementation of custom dispatch software.  There was no prewritten software for this process in this industry.  As a result of this system, the entire paper driven processes, from railroad calling for service through billings, were converted in the consolidated Kansas City operations to a fully paperless operation in 8 months.
    • Directed the implementation of JD Edwards accounting package for the subsidiary.
    • Directed the process to organize and catch-up a significant backlog of unbilled services and posting them to the new JD Edwards Accounts Receivable software to manage collections
    • Directed the consolidation of their two dispatch centers in Columbus, OH and Kansas City, MO to one in Kansas City
  • Prepared a software implementation guide and user training program for a national homebuilder software company.  Directed the implementation of their software for several home builders and trained the software vendor’s other installers in the disciplined implementation process.
  • Managed the selection, software contract negotiation and implementation of project management software for several commercial, industrial and residential major construction development companies in the Chicago area. These projects included assessing overall operational and technical requirements, reviewing and improving internal processes to best utilize the software.
  • Managed the selection and implementation of real estate management firms for commercial, industrial and residential software.
  • Designed, developed and programmed, implemented, managed and maintained the mission critical engineering design and construction management project management system for an international architectural engineering firm.
  • Solely designed, developed and implemented an automated warehouse management system and an industrial engineering time study system for International Harvester.  The programs for both systems were entirely written in COBOL.
  • Based on the assessment managed the above project to successfully complete the implementation of the warehouse automation system that met their project success criteria.
  • Performed an assessment of the IT hardware and software resources for a Kentucky precision stamping plant.  This included recommending their long term IT strategy and managing the project to implement the systems’ solutions.  
  • Based on the above assessment, performed a vendor selection, software license contract negotiation and was assigned by the Kentucky precision stamping plant management as the project manager to implement the recommendations. The project experienced 6 major changes in project scope with minor impact on the initial go live date.  
  • Performed system selection and implementation management services for a nationally known and SEC traded TV retail products company. This included preparing the automation strategy, defining system requirements, identifying likely software and hardware vendors and selecting and implementing the hardware and software.
  • Performed system selection and implementation management services for a variety of commercial, residential and industrial construction management and real estate management companies.
  • Performed system selection and implementation management services for a variety of professional service firms including law firms, public accounting firms and engineering firms.
  • Performed system selection and implementation engagements for a variety of small manufacturing and distribution companies.
  • Directed the selection and implementation of an automated distribution system for a Los Angeles based movie distributor.


REPRESENTATIVE HEALTH CARE PROJECTS

  • Directed a large project team in developing and submitting a proposal to the Illinois Department of Healthcare and Family Services to create a patient-centered-medical-home managed health care model.  Followed that with directing the actual development of the health care system.
  • Co-directed a project to assist an prominent Chicago IPA in expanding its business presence to include relationships with Federally Qualified Health Centers
  • Directed a Chicago area staff model HMO in becoming compliant with the HIPAA Privacy and Security Regulations.  This included directing the organization performing their risk assessment, developing policies and procedures, developing applicable HIPAA training materials and training management and staff, developing their Notice of Privacy Policies and Procedures, developing and reviewing their Business Associate agreements and providing an after operational audit to ensure their compliance.
  • Assisted IBM in developing their national HIPAA and electronic data security health care consulting service products for providers and payors.  This included defining the consulting services, identifying the skills and resources necessary to provide these services, preparing marketing and sales materials, educating the sales team, supporting the sales team in presenting these products to potential clients both by phone and in face to face meetings, preparing proposals and directing and participating in HIPAA consulting engagements.
  • Assisted a medium sized HMO in Indianapolis in completing the tasks necessary to become compliant with the Final HIPAA Security Regulations.
  • Provided direction for a large billing service to become compliant with HIPAA privacy and security rules.
  • Provided direction for a large dental practice to become compliant with the HIPAA privacy and security rules.
  • Currently working with an outpatient clinic, medical billing advisory company and health care technology services companies to bring their compliance current with the recent HIPAA, HITECH and PSQIA laws and regulations.
  • Provided direction for the Association of Blue Cross Plans in planning their approach for assisting their member Blue Cross Organizations in becoming HIPAA compliant.
  • Served as the prime speaker regarding for a large pharmaceutical company that was sponsoring HIPAA training programs for hospitals and provider practices.
  • Managed the project team that assisted a non-for-profit nursing facility in the Northern Chicago suburbs in defining their information system requirements, identifying prospective software vendors and in selecting the most appropriate vendor.
  • Managed the project team that assisted a for-profit nursing facility in the Northern Chicago suburbs in defining their information system requirements, identifying prospective software vendors, selecting the most appropriate vendor and negotiating their software license agreement.
  • Managed the project team that assisted the Association of Ohio Philanthropic Homes for the Aged in developing a standardized process to help their Ohio nursing home members in selecting the most appropriate software packages for their operations.
  • Performed a revenue cycle enhancement engagement for a large Chicago area teaching hospital.
  • Assisted a large outpatient clinic in improving their revenue cycle processes and systems as part of the implementation of the overall back office systems implementation.
  • Managed the project for a large Blue Cross plan to document an old dental insurance claims processing system.  The objectives of the project were to provide a reference for programmers to learn the system and as a basis for preparing the requirements for a new system.
  • Directed two large Chicago area substance abuse and mental health care IPAs in assessing their information requirements and in developing their information systems strategy.
  • Directed the software selection and implementation of start up HMO computer systems in Illinois and Wisconsin.
  • Assisted the HMO for a prominent Rochester, Minnesota medical center in resolving problems with the implementation of their managed care software.
  • Functioning as the operational CIO and directed a staff model HMO in improving their automation and operating procedures to make their Medical Management (Utilization Management) functions more effective.
  • Assisted a major HMO and PPO in Cleveland in planning for their automation requirements to support a major growth initiative.
  • Assisted several large and small TPAs in developing and implementing their systems strategy, including requirements definition, system selection, contract negotiation and implementation management.
  • Assisted a Chicago based staff model HMO in preparing their practice management and managed care systems strategy, developing systems requirements, selecting hardware and software vendors, negotiating the contracts, and managing the successful implementation of the practice management software on time and on budget.
  • Directed the system procurement function for the University of Miami Medical School, Behavioral Health HMO in defining their requirements and selecting a software vendor to replace their current vendor.
  • Assisted a Chicago-based outpatient clinic and staff model HMO in developing their business intelligence approach and implementing the BI tools to enable their access to actionable quality of care and managed care information.
  • Directed a small Indianapolis HMO in performing the risk assessment and remediation tasks necessary to become compliant with the HIPAA Final Security Regulations.  This included providing initial direction for the development of Disaster Recovery Plans.
  • Functioned as a temporary CIO in assisting a large New York Medicaid HMO in quickly resolving major IT resource issues and developing and implementing their automation strategy.
  • Assisted HMOs and IPAs in meeting their Y2K objectives.
  • Assisted a large Chicago based HMO in developing their systems disaster contingency plans.
  • Assisted two managed care organizations in evaluating, selecting and implementing document management and imaging systems.
  • Assisted several health care organizations in developing their information strategy for pursuing Medicaid, Medicare and Commercial contracts.
  • Directed and participated in developing its long term systems strategic information plans for three Chicago area hospitals.
  • Directed a staff model HMO in developing its IT strategic plan and in implementing the systems strategy for their clinical, back office and managed care needs.


EMPLOYMENT EXPERIENCE

1991 – Present, President, Private Consulting (Independent IT Consulting)

1979 – 1991, Manager - Principal, Philip Rootberg & Company
  • Partner-level with responsibility of developing, marketing and managing an IT consulting practice primarily assisting clients of all industries, with heavy emphasis on construction, real estate management and health care, in meeting their accounting systems needs.1975 – 1979, Consultant - Senior Manager, Arthur Young and Company
  • Senior manager participating in the growth of a major consulting practice within the Arthur Young and Company accounting firm.  Developed and implemented major custom accounting systems for large manufacturing, association and financial institutions.
1971 – 1975, Department Manager, International Harvester Company
  • Engineer responsible for developing engineering systems to
    • Automate a high bay warehouse stacker crane;
    • Improve the cost effectiveness of designing new products and for developing;
    • Implementing a time study system that was accepted for operations by the unions working for International Harvester.  
In all three major systems projects, the results were documented and presented at professional conferences
1967 – 1971, Engineer, Zenith Radio
  • System developer responsible for developing a computer program for topologically designing printed circuit boards for electronic circuits used in Zenith television sets.  This software reduced the topological design process from three to four weeks to one to two days.


EDUCATION
1966 Bachelor of Science in Mechanical Engineering, Purdue University, West Lafayette, Indiana

1969 Masters Degree in Business Administration, Loyola University, Chicago, IL


OTHER ACCOMPLISHMENTS
  • An active Associate Member of the Illinois Association of Health Plans.  Chaired a seminar being developed for the Illinois Association of Health Plans regarding the impact of HIPAA on HMOs.  Developed seminars and other educational programs and speaks regularly on systems related issues and consults with the association regarding systems topics, legislation and issues related to the state HMOs.
  • Developed a comprehensive systems implementation and management approach for the Illinois Association of Health Plans.  Presented this approach at an association seminar and to other health care organizations.
  • A speaker for the Illinois CPA Society, Illinois Association of Health Plans and RX2000 regarding Health Care organizations becoming HIPAA compliant.  He also was an active speaker, program planner and faculty member for RX2000 regarding preparing managed care organizations for the Year 2000.  
  • Assisted the American Bar Association – Legal Technology Advisor Counsel in defining accounting system requirements, evaluating and testing practice management software for ABA approval.  Co-authored a book The Automated Law Office regarding evaluating and selecting legal software.
  • Speaker at Healthcare Finance Management Association National Meeting regarding the practical implications of implementing an Accountable Care Organization.
  • Speaker at the University of Chicago School of Medicine regarding the Trends of Technology in Health Care
  • An active member of the Alliance of Mergers and Acquisition Advisors.  Serving as the Chair of the AM&AA Technical Resources Committee and participating in the Corporate M&A Committee.
  • Published articles in the monthly IBM Systems magazine on the role of IT in a merger transaction and for the Journal of Turn Around Management on the role of IT in a turn around engagement.
  • Developed and taught a Masters Degree level course on Systems Analysis for the Illinois Institute of Technology from 1972 – 1979.

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