Exhibit B
2 Investment Summary. Upon expiration of the initial term, your annual fees will be at our then-current rates.
2.7 Annual Services: Unless otherwise indicated in this Exhibit B, fees for annual services are due annually, in advance, commencing on the availability of the service. Your annual fees for the initial term are set forth in the Investment Summary. Upon expiration of the initial term, your annual fees will be at our then-current rates.
3. Third Party Products and Hardware.
3.1 Third Party Software License Fees: License fees for Third Party Software, if any, are invoiced when we make it available to you for downloading.
3.2 Third Party Software Maintenance: The first year maintenance fee for the Third Party Software is invoiced when we make it available to you for downloading. Subsequent annual maintenance fees for Third Party Software are invoiced annually, in advance, at thencurrent rates, upon each anniversary thereof.
3.3 Hardware: Third Party Hardware costs, if any, are invoiced upon delivery.
3.4 Hardware Maintenance: The first year maintenance fee for Hardware is invoiced upon delivery of the hardware. Subsequent annual maintenance fees for hardware are invoiced annually, in advance, at then-current rates, upon each anniversary thereof.
3.5 Third Party Services: Fees for Third Party Services, if any, are invoiced as delivered, along with applicable expenses, at the rates set forth in the Investment Summary.
3.6 Third Party SaaS: Third Party SaaS Services fees, if any, are invoiced annually, in advance, commencing with availability of the respective Third Party SaaS Services. Pricing for the first year of Third Party SaaS Services is indicated in the Investment Summary. Pricing for subsequent years will be at the respective third party’s then-current rates.
4. Transaction Fees. Unless paid directly by an end user at the time of transaction, per transaction (call, message, etc.) fees are invoiced on a quarterly basis. Fees are indicated in the Investment Summary and may be increased by Tyler upon notice of no less than thirty (30) days.
5. Expenses. The service rates in the Investment Summary do not include travel expenses.
Expenses for Tyler delivered services will be billed as incurred and only in accordance with our then-current Business Travel Policy, plus a 10% travel agency processing fee. Our current Business Travel Policy is attached to this Exhibit B as Schedule 1. Copies of receipts will be provided upon request; we reserve the right to charge you an administrative fee depending on the extent of your requests. Receipts for miscellaneous items less than twenty-five dollars and mileage logs are not available.
Payment. Payment for undisputed invoices is due within forty-five (45) days of the invoice date. We prefer to receive payments electronically. Our electronic payment information is available by contacting [email protected].
Exhibit B
Schedule 1
1 Exhibit B
Schedule 1
Business Travel Policy
1. Air Travel
A. Reservations & Tickets
The Travel Management Company (TMC) used by Tyler will provide an employee with a direct flight within two hours before or after the requested departure time, assuming that flight does not add more than three hours to the employee’s total trip duration and the fare is within $100 (each way) of the lowest logical fare. If a net savings of $200 or more (each way) is possible through a connecting flight that is within two hours before or after the requested departure time and that does not add more than three hours to the employee’s total trip duration, the connecting flight should be accepted.
Employees are encouraged to make advanced reservations to take full advantage of discount opportunities. Employees should use all reasonable efforts to make travel arrangements at least two (2) weeks in advance of commitments. A seven (7) day advance booking requirement is mandatory. When booking less than seven (7) days in advance, management approval will be required.
Except in the case of international travel where a segment of continuous air travel is six (6) or more consecutive hours in length, only economy or coach class seating is reimbursable. Employees shall not be reimbursed for “Basic Economy Fares” because these fares are non-refundable and have many restrictions that outweigh the cost-savings.
B. Baggage Fees
Reimbursement of personal baggage charges are based on trip duration as follows:
• Up to five (5) days = one (1) checked bag
• Six (6) or more days = two (2) checked bags
Baggage fees for sports equipment are not reimbursable.
Exhibit B
Schedule 1
2 2. Ground Transportation
A. Private Automobile
Mileage Allowance – Business use of an employee’s private automobile will be reimbursed at the current IRS allowable rate, plus out of pocket costs for tolls and parking. Mileage will be calculated by using the employee's office as the starting and ending point, in compliance with IRS regulations.
Employees who have been designated a home office should calculate miles from their home.
B. Rental Car
Employees are authorized to rent cars only in conjunction with air travel when cost, convenience, and the specific situation reasonably require their use. When renting a car for Tyler business, employees should select a “mid-size” or “intermediate” car. “Full” size cars may be rented when three or more employees are traveling together. Tyler carries leased vehicle coverage for business car rentals; except for employees traveling to Alaska and internationally (excluding Canada), additional insurance on the rental agreement should be declined.
C. Public Transportation
Taxi or airport limousine services may be considered when traveling in and around cities or to and from airports when less expensive means of transportation are unavailable or impractical. The actual fare plus a reasonable tip (15-18%) are reimbursable. In the case of a free hotel shuttle to the airport, tips are included in the per diem rates and will not be reimbursed separately.
D. Parking & Tolls
When parking at the airport, employees must use longer term parking areas that are measured in days as opposed to hours. Park and fly options located near some airports may also be used. For extended trips that would result in excessive parking charges, public transportation to/from the airport should be considered. Tolls will be reimbursed when receipts are presented.
3. Lodging
Tyler’s TMC will select hotel chains that are well established, reasonable in price, and conveniently located in relation to the traveler's work assignment. Typical hotel chains include Courtyard, Fairfield Inn, Hampton Inn, and Holiday Inn Express. If the employee has a discount rate with a local hotel, the hotel reservation should note that discount and the employee should confirm the lower rate with the hotel upon arrival. Employee memberships in travel clubs such as AAA should be noted in their travel profiles so that the employee can take advantage of any lower club rates.
“No shows” or cancellation fees are not reimbursable if the employee does not comply with the hotel’s cancellation policy.
Tips for maids and other hotel staff are included in the per diem rate and are not reimbursed separately.
Exhibit B
Schedule 1
3 Employees are not authorized to reserve non-traditional short-term lodging, such as Airbnb, VRBO, and HomeAway. Employees who elect to make such reservations shall not be reimbursed.
4. Meals and Incidental Expenses
Employee meals and incidental expenses while on travel status within the continental U.S. are in accordance with the federal per diem rates published by the General Services Administration.
Incidental expenses include tips to maids, hotel staff, and shuttle drivers and other minor travel expenses. Per diem rates are available at www.gsa.gov/perdiem.
Per diem for Alaska, Hawaii, U.S. protectorates and international destinations are provided separately by the Department of State and will be determined as required.
A. Overnight Travel
For each full day of travel, all three meals are reimbursable. Per diems on the first and last day of a trip are governed as set forth below.
Departure Day
Depart before 12:00 noon Lunch and dinner
Depart after 12:00 noon
Return Day
Dinner
Return before 12:00 noon Breakfast
Return between 12:00 noon & 7:00 p.m. Breakfast and lunch Return after 7:00 p.m.* Breakfast, lunch and dinner
*7:00 p.m. is defined as direct travel time and does not include time taken to stop for dinner.
The reimbursement rates for individual meals are calculated as a percentage of the full day per diem as follows:
Breakfast 15%
Lunch 25%
Dinner 60%
B. Same Day Travel
Employees traveling at least 100 miles to a site and returning in the same day are eligible to claim lunch on an expense report. Employees on same day travel status are eligible to claim dinner in the event they return home after 7:00 p.m.*
*7:00 p.m. is defined as direct travel time and does not include time taken to stop for dinner.
Exhibit B
Schedule 1
4 5. Internet Access – Hotels and Airports
Employees who travel may need to access their e-mail at night. Many hotels provide free high speed internet access and Tyler employees are encouraged to use such hotels whenever possible. If an employee’s hotel charges for internet access it is reimbursable up to $10.00 per day. Charges for internet access at airports are not reimbursable.
6. International Travel
All international flights with the exception of flights between the U.S. and Canada should be reserved through TMC using the “lowest practical coach fare” with the exception of flights that are six (6) or more consecutive hours in length. In such event, the next available seating class above coach shall be reimbursed.
When required to travel internationally for business, employees shall be reimbursed for photo fees, application fees, and execution fees when obtaining a new passport book, but fees related to passport renewals are not reimbursable. Visa application and legal fees, entry taxes and departure taxes are reimbursable.
The cost of vaccinations that are either required for travel to specific countries or suggested by the U.S. Department of Health & Human Services for travel to specific countries, is reimbursable.
Section 4, Meals & Incidental Expenses, and Section 2.b., Rental Car, shall apply to this section.
Exhibit C
1 Exhibit C
SERVICE LEVEL AGREEMENT
I. Agreement Overview
This SLA operates in conjunction with, and does not supersede or replace any part of, the Agreement. It outlines the information technology service levels that we will provide to you to ensure the availability of the application services that you have requested us to provide. All other support services are documented in the Support Call Process. This SLA does not apply to any Third Party SaaS Services. All other support services are documented in the Support Call Process.
II. Definitions. Except as defined below, all defined terms have the meaning set forth in the Agreement.
Actual Attainment: The percentage of time the Tyler Software is available during a calendar month, calculated as follows: (Service Availability – Downtime) ÷ Service Availability.
Client Error Incident: Any service unavailability resulting from your applications, content or equipment, or the acts or omissions of any of your service users or third-party providers over whom we exercise no control.
Downtime: Those minutes during Service Availability, as defined below, when all users cannot launch, login, search or save primary data in the Tyler Software. Downtime does not include those instances in which only a Defect is present.
Emergency Maintenance Window: (1) maintenance that is required to patch a critical security vulnerability; (2) maintenance that is required to prevent an imminent outage of Service Availability; or (3) maintenance that is mutually agreed upon in writing by Tyler and the Client.
Planned Downtime: Downtime that occurs during a Standard or Emergency Maintenance window.
Service Availability: The total number of minutes in a calendar month that the Tyler Software is capable of receiving, processing, and responding to requests, excluding Planned Downtime, Client Error Incidents, denial of service attacks and Force Majeure. Service Availability only applies to Tyler Software being used in the live production environment.
Standard Maintenance: Routine maintenance to the Tyler Software and infrastructure. Standard Maintenance is limited to five (5) hours per week.
III. Service Availability
a. Your Responsibilities
Whenever you experience Downtime, you must make a support call according to the procedures outlined in the Support Call Process. You will receive a support case number.
Exhibit C
2 b. Our Responsibilities
When our support team receives a call from you that Downtime has occurred or is occurring, we will work with you to identify the cause of the Downtime (including whether it may be the result of Planned Downtime, a Client Error Incident, denial of service attack or Force Majeure). We will also work with you to resume normal operations.
c. Client Relief
Our targeted Attainment Goal is 100%. You may be entitled to credits as indicated in the Client Relief Schedule found below. Your relief credit is calculated as a percentage of the SaaS Fees paid for the calendar month.
In order to receive relief credits, you must submit a request through one of the channels listed in our Support Call Process within fifteen days (15) of the end of the applicable month. We will respond to your relief request within thirty (30) day(s) of receipt.
The total credits confirmed by us will be applied to the SaaS Fee for the next billing cycle. Issuing of such credit does not relieve us of our obligations under the Agreement to correct the problem which created the service interruption.
Credits are only payable when Actual Attainment results in eligibility for credits in consecutive months and only for such consecutive months.
Client Relief Schedule
Actual Attainment Client Relief
99.99% - 99.70% Remedial action will be taken
99.69% - 98.50% 2% of SaaS Fees paid for applicable month
98.49% - 97.50% 4% of SaaS Fees paid for applicable month
97.49% - 96.50% 6% of SaaS Fees paid for applicable month
96.49% - 95.50% 8% of SaaS Fees paid for applicable month Below 95.50% 10% of SaaS Fees paid for applicable month * Notwithstanding language in the Agreement to the contrary, Recovery Point Objective is one (1) hour.
IV. Maintenance Notifications
We perform Standard Maintenance during limited windows that are historically known to be reliably low-traffic times. If and when maintenance is predicted to occur during periods of higher traffic, we will provide advance notice of those windows and will coordinate to the greatest extent possible with you.
Not all maintenance activities will cause application unavailability. However, if Tyler anticipates that activities during a Standard or Emergency Maintenance window may make the Tyler Software unavailable, we will provide advance notice, as reasonably practicable, that the Tyler Software will be unavailable during the maintenance window.
Exhibit C
Schedule 1
1 Exhibit C
Schedule 1
Support Call Process
Support Channels
Tyler Technologies, Inc. provides the following channels of software support for authorized users*:
(1) On-line submission (portal) – for less urgent and functionality-based questions, users may create support incidents through the Tyler Customer Portal available at the Tyler Technologies website.
A built-in Answer Panel provides users with resolutions to most “how-to” and configurationbased questions through a simplified search interface with machine learning, potentially eliminating the need to submit the support case.
(2) Email – for less urgent situations, users may submit emails directly to the software support group.
(3) Telephone – for urgent or complex questions, users receive toll-free, telephone software support.
* Channel availability may be limited for certain applications.
Support Resources
A number of additional resources are available to provide a comprehensive and complete support experience:
(1) Tyler Website – www.tylertech.com – for accessing client tools, documentation, and other information including support contact information.
(2) Tyler Search -a knowledge based search engine that lets you search multiple sources simultaneously to find the answers you need, 24x7.
(3) Tyler Community –provides a venue for all Tyler clients with current maintenance agreements to collaborate with one another, share best practices and resources, and access documentation. (4) Tyler University – online training courses on Tyler products.
Support Availability
Tyler Technologies support is available during the local business hours of 8 AM to 5 PM (Monday – Friday) across four US time zones (Pacific, Mountain, Central and Eastern). Tyler’s holiday schedule is outlined below. There will be no support coverage on these days.
New Year’s Day Labor Day
Martin Luther King, Jr. Day Thanksgiving Day
Memorial Day Day after Thanksgiving
Independence Day Christmas Day
For support teams that provide after-hours service, we will provide you with procedures for contacting
Exhibit C
Schedule 1
2 support staff after normal business hours for reporting Priority Level 1 Defects only. Upon receipt of such a Defect notification, we will use commercially reasonable efforts to meet the resolution targets set forth below.
We will also make commercially reasonable efforts to be available for one pre-scheduled Saturday of each month to assist your IT staff with applying patches and release upgrades, as well as consulting with them on server maintenance and configuration of the Tyler Software environment.
Incident Handling
Incident Tracking
Every support incident is logged into Tyler’s Customer Relationship Management System and given a unique case number. This system tracks the history of each incident. The case number is used to track and reference open issues when clients contact support. Clients may track incidents, using the case number, through Tyler’s Customer Portal or by calling software support directly.
Incident Priority
Each incident is assigned a priority level, which corresponds to the Client’s needs. Tyler and the Client will reasonably set the priority of the incident per the chart below. This chart is not intended to address every type of support incident, and certain “characteristics” may or may not apply depending on whether the Tyler software has been deployed on customer infrastructure or the Tyler cloud. The goal is to help guide the Client towards clearly understanding and communicating the importance of the issue and to describe generally expected response and resolution targets in the production environment only.
References to a “confirmed support incident” mean that Tyler and the Client have successfully validated the reported Defect/support incident.
Priority
Level Characteristics of Support Incident Resolution Targets* 1 Critical
Support incident that causes (a)
complete application failure or
application unavailability; (b)
application failure or unavailability in
one or more of the client’s remote
location; or (c) systemic loss of
multiple essential system functions.
Tyler shall provide an initial response to Priority Level 1 incidents within one (1) business hour of receipt of
the incident. Once the incident has been confirmed,
Tyler shall use commercially reasonable efforts to
resolve such support incidents or provide a
circumvention procedure within one (1) business
day. For non-hosted customers, Tyler’s responsibility
for lost or corrupted data is limited to assisting the
Client in restoring its last available database.
Exhibit C
Schedule 1
3 Priority
Level Characteristics of Support Incident Resolution Targets* 2 High
Support incident that causes (a)
repeated, consistent failure of
essential functionality affecting more
than one user or (b) loss or corruption
of data.
Tyler shall provide an initial response to Priority Level 2 incidents within four (4) business hours of receipt of the incident. Once the incident has been confirmed,
Tyler shall use commercially reasonable efforts to
resolve such support incidents or provide a
circumvention procedure within ten (10) business
days. For non-hosted customers, Tyler’s
responsibility for loss or corrupted data is limited to assisting the Client in restoring its last available
database.
3 Medium
Priority Level 1 incident with an
existing circumvention procedure, or
a Priority Level 2 incident that affects
only one user or for which there is an
existing circumvention procedure.
Tyler shall provide an initial response to Priority Level 3 incidents within one (1) business day of receipt of
the incident. Once the incident has been confirmed,
Tyler shall use commercially reasonable efforts to
resolve such support incidents without the need for a
circumvention procedure with the next published
maintenance update or service pack, which shall
occur at least quarterly. For non-hosted customers,
Tyler’s responsibility for lost or corrupted data is
limited to assisting the Client in restoring its last
available database.
4 Noncritical
Support incident that causes failure of
non-essential functionality or a
cosmetic or other issue that does not
qualify as any other Priority Level.
Tyler shall provide an initial response to Priority Level 4 incidents within two (2) business days of receipt of
the incident. Once the incident has been confirmed,
Tyler shall use commercially reasonable efforts to
resolve such support incidents, as well as cosmetic
issues, with a future version release.
*Response and Resolution Targets may differ by product or business need Incident Escalation
If Tyler is unable to resolve any priority level 1 or 2 defect as listed above or the priority of an issue has elevated since initiation, you may escalate the incident to the appropriate resource, as outlined by each product support team. The corresponding resource will meet with you and any Tyler staff to establish a mutually agreeable plan for addressing the defect.
Remote Support Tool
Some support calls may require further analysis of the Client’s database, processes or setup to diagnose a problem or to assist with a question. Tyler will, at its discretion, use an industry-standard remote support tool. Tyler’s support team must have the ability to quickly connect to the Client’s system and view the site’s setup, diagnose problems, or assist with screen navigation. More information about the remote support tool Tyler uses is available upon request.
Exhibit D
1 Exhibit D
Third Party Terms
Cornerstone OnDemand Terms. Your use of Cornerstone OnDemand software and services is subject to terms found here: https://s3.us-east1.amazonaws.com/sumtotalsystems.com/prod/images/cornerstone-terms-of-use.pdf. By signing a Tyler Agreement or Order Form including Cornerstone software or services, or accessing, installing, or using Cornerstone software or services, you agree that you have read, understood, and agree to such terms. In addition, implementation of Cornerstone software and services requires inclusion of a Cornerstone Statement of Work.
DocOrigin Terms. Your use of Tyler Forms software and forms is subject to the DocOrigin End User License Agreement available for download here: https://eclipsecorp.us/eula/. By signing a Tyler Agreement or Order Form including Tyler forms software or forms, or accessing, installing, or using Tyler Forms software or forms, you agree that you have read, understood, and agree to such terms.
Emphasys Terms. Your use of SymPro software and services is governed by terms available here: https://tylertech.com/portals/0/terms/Emphasys-Software-Agreement/Emphasys-SoftwareAgreement.pdf. By signing a Tyler Agreement or Order Form containing such software or services, or accessing, installing, or using SymPro software or services, you agree that you have read, understood, and agree to such terms.
Fire Prevention Mobile Terms. Your use of Tyler’s Fire Prevention Mobile solutions is subject to the terms found here: https://www.tylertech.com/terms/fire-prevention-mobile-third-party-terms. By signing a Tyler Agreement or Order Form, or accessing, installing, or using the Fire Prevention Mobile solution, you agree that you have read, understood, and agree to such terms.
Pattern Stream Terms. Your use of Pattern Stream software and services is subject to the terms found here: https://www.tylertech.com/terms/finite-matters-ltd-consolidated-terms. By signing a Tyler Agreement or Order Form, or accessing, installing, or using Pattern Stream software or services, you agree that you have read, understood, and agree to such terms.
Quatred Terms. Your use of Quatred solutions is subject to the End User License Agreement terms found here: https://www.quatred.com/eula. By signing a Tyler Agreement or Order Form, or accessing, installing, or using Quatred solutions provided to you by Tyler, you agree that you have read, understood, and agree to such terms.
ThinPrint Terms. Your use of Tyler Forms software and forms is subject to the End User License Agreement terms for ThinPrint Engine, ThinPrint License Server, and Connected Gateway found here: https://www.thinprint.com/en/legal-notes/eula/. By signing a Tyler Agreement or Order Form, or
Exhibit D
2 accessing, installing, or using Tyler Forms software or forms, you agree that you have read, understood, and agree to such terms.
Twilio Acceptable Use Policy. Your use of the Tyler solutions listed below includes functionality provided by a Third Party Developer, Twilio. Your rights, and the rights of any of your end users, to use said functionality are subject to the terms of the Twilio Acceptable Use Policy, available at http://www.twilio.com/legal/aup. By signing a Tyler Agreement or Order Form, or accessing, installing, or using any such Tyler solution, you certify that you have reviewed, understand and agree to said terms. Tyler hereby disclaims any and all liability related to your or your end user’s failure to abide by the terms of the Twilio Acceptable Use Policy. Any liability for failure to abide by said terms shall rest solely with the person or entity whose conduct violated said terms. Electronic Warrants
Online Dispute Resolution
Enterprise Justice Notifications Add On (text notifications) Absence & Substitute
Notify
Enterprise Jury Manager
Enterprise Supervision
Virtual Court
Exhibit E
1 Exhibit E
Statement of Work
Statement of Work to be inserted prior to Agreement execution.
Name Alicia B.
Title Project Manager
Education California State University, East Bay
B.A. in Business Administration with an Emphasis Operations and Resource Management
Office Location Fresno, CA
Tenure 3 years
Previous Experience OnePoint HCM (Kronos partner) HRIS Implementation Specialist Pridestaff, Inc. Payroll Support and Training Specialist
Reference Projects Redlands, CA Muscogee Creek Nation, OK Burlingame, CA Long Beach, CA
Yorba Linda, CA Cathedral City, CA
Simi Valley, CA Gilroy, CA
Independence, MO
Name Ryan F.
Title Project Manager
Education The University of Arizona
Bachelor of Science, Business Administration with Honors, Management Information Systems and Entrepreneurship Majors
Office Location Tuscon, AZ
Tenure 9 years
Previous Experience Tyler Technologies Implementation Consultant Volunteer Southern Arizona Manager of Information Systems
Reference Projects Irving, TX Coconino County, AZ
South Coast Water District, CA
Name Veronica B.
Title Implementation Consultant
Education Georgia State University
MBA
Office Location Atlanta, GA
Tenure 8 years
Previous Experience City of Alpharetta, HRIS Administrator/Project Manager City of Alpharetta, HRIS and Compensation Specialist
Reference Projects Transylvania County, NC Duplin County, NC Camden County School District, GA Troup County School District, GA Collier County Sheriff's Office, FL Morgan County, AL
Commonwealth of the Northern
Mariana Islands (CNMI), MP
Pasco County Clerk of Courts, FL
Lenoir County, NC Hall County Schools, GA
Name Amanda I.
Title Implementation Consultant
Education Colorado State University
Degree in Biological Science with a Concentration in Secondary Education
Office Location Colorado Springs, CO
Tenure 2 years
Previous Experience Widefield School District #3 High School Science Teacher
Reference Projects Cucamonga Valley Water District, CA Redlands, CA Las Virgenes Municipal Water
District, CA
Burlingame, CA
Fontana, CA
Name Bill S.
Title Implementation Consultant
Education Indiana State University
Bachelor's of Science in Finance
Office Location Mesa, AZ
Tenure 20 years
Previous Experience Tyler Technologies Munis Implementation Consultant
Reference Projects Visalia Unified School District, CA Gilroy, CA Lubbock County, TX Alameda, CA
San Bernardino Municipal Water
Department, CA
Sugar Land, TX
1 Project Management Plan Tyler Technologies
2 Table of Contents
Introduction ........................................................................................................................................................ 4 Scope Management Plan .................................................................................................................................... 5 Purpose ........................................................................................................................................................... 5 Scope Management Approach ....................................................................................................................... 5 Scope Roles and Responsibilities .................................................................................................................... 5 Project Scope Statement ................................................................................................................................ 6 Scope Verification ........................................................................................................................................... 6 Scope Control ................................................................................................................................................. 6 Scope Change ................................................................................................................................................. 6 Communication Plan .......................................................................................................................................... 8 Purpose ........................................................................................................................................................... 8 Communications Planning .............................................................................................................................. 8 Information Distribution ................................................................................................................................. 8 Roles and Responsibilities .............................................................................................................................. 8 Sample Communication Plan Matrix .............................................................................................................. 9 Resource Management Plan ............................................................................................................................ 12 Purpose ......................................................................................................................................................... 12 Physical Resource Requirements .................................................................................................................. 12 Facility Resource Matrix ............................................................................................................................... 12 Human Resources Requirements Matrix ...................................................................................................... 14 Quality Management Plan ................................................................................................................................ 15 Purpose ......................................................................................................................................................... 15 Quality Approach .......................................................................................................................................... 15 Quality Planning ........................................................................................................................................... 15 Quality Assurance ......................................................................................................................................... 15 Quality Control ............................................................................................................................................. 16 Risk Management Plan ..................................................................................................................................... 17 Purpose ......................................................................................................................................................... 17 Risk Assessment Procedures ........................................................................................................................ 18 Risk Management Procedures ...................................................................................................................... 18 Risk Measuring and Control Procedures ...................................................................................................... 18 Risk Register ................................................................................................................................................. 19
3 Risk Assessment ........................................................................................................................................... 20 Risk Evaluation .............................................................................................................................................. 21 Probability and Impact Matrix ...................................................................................................................... 22 Risk Management Planning .......................................................................................................................... 22 Risk Measuring and Control.......................................................................................................................... 23 Quality Control Checklist .................................................................................................................................. 25
4 Introduction
All successful implementations require strategic planning, performed at various stages throughout the project lifecycle. This Implementation Management Plan is a compilation of what Tyler considers to be some of the most important management plans needed during implementation. Please make sure to add the City’s Change Management Plan to the Project SharePoint, as well as any other relevant management plans that may have been developed.
One of the biggest challenges faced with Management Plans is actually putting them to use. Too often, the burdens of day-to-day project activities seem to outweigh the importance of having a plan in place; especially one that is clearly communicated, carefully followed, and revised as needed. Tyler’s implementation methodology carefully establishes a formal placeholder for planning sessions at the onset of each phase and requires acceptance of the Management Plan as a deliverable.
5 Scope Management Plan
Purpose
The focus of the Scope Management Plan is on managing the scope of the project as it is defined at the onset of the project/phase and determining when changes are to be considered, how requests are to be processed through the organization, and who is involved in authorizing the change to scope.
This plan documents the scope management approach, roles and responsibilities as they pertain to scope change control. Any project communication which pertains to the project’s scope should adhere to the Scope Management Plan.
Scope Management Approach
It is important to clearly define the approach to managing the project’s scope. This section provides a summary of the Scope Management Plan and addresses the following:
x Authorities and responsibilities for scope management x Scope change process (who initiates, who authorizes, etc.) Scope management will be the responsibility of both the City and Tyler Project Managers. The scope for this project is defined by the Statement of Work and the Agreement.
Scope Roles and Responsibilities
In order to successfully manage a project’s scope, it is important to clearly define all roles and responsibilities for scope management. This section defines all of the project roles of those who are involved in managing the scope of the project. It should state who is responsible for scope management and who is responsible for accepting the deliverables of the project as defined by the project’s scope. Any other roles in scope management should also be stated in this section.
The Project Managers, Sponsor and project team will all play key roles in managing the scope of this project.
As such, the Project Sponsor, Project Managers, and team members must be aware of their responsibilities in order to ensure that work performed on the project is within the established scope throughout the entire duration of the project. The table below defines the roles and responsibilities for scope management.
6 Name Role Organization Responsibility
Project
Manager
City Evaluate Change Request, Prepare Change
Request Form
Project
Manager
Tyler Prepare response to Change Request Form,
Evaluate impact to schedule, budget
Steering
Committee
City Evaluate the recommendations from the
Project Team, weigh the benefits vs. cost of
budget/timeline impact, make decisions on
scope changes
Project Sponsor City
Project Scope Statement
The scope for this project is defined by the Statement of Work and the Agreement.
Scope Verification
As the project progresses, the City Project Manager will verify project deliverables and control points against the Project Scope Statement. Once the City Manager verifies that they meet the requirements, the City Project Manager complete the acceptance of the deliverable/Control Point. This will ensure that project work remains within the scope of the project on a consistent basis throughout the life of the project.
Scope Control
The Project Managers and the project team will work together to control of the scope of project. The project team will ensure that they perform only the work described in the project scope statement. The Project Manager will oversee the project team and the progression of the project to ensure that this scope control process is followed and progress is reported through Project Scope measurements tools as defined above in the project scope statement.
Scope Change
If a change to project scope is needed, the process for recommending and estimating changes to the scope of the project must be carried out. Any City project team member or Sponsor can request changes to the project scope. All change requests must be submitted to the City Project Manager in the form of a project change request document. The City Project Manager will then review the suggested change to the scope of the project. The City Project Manager will then either reject the change request if it does not apply to the intent of the project, or convene a Change Control meeting with the project team and Steering Committee to review the change request further and determine if the City is ready to submit a change request to Tyler to gather cost and schedule information, so a full impact assessment of the change can be performed.
Upon receipt of a change request document, Tyler Project Manager will review the request with the appropriate Tyler resources to determine if the scope change can be accomplished and/or meets the products’ requirements, depending on whether the change is one requiring implementation services or
7 product change. If Tyler decides to move forward with the scope change, the Tyler Project Manager will prepare a Project Change Request form, including any budgetary or schedule impacts, and a description of the services and/or product change. The Change Request Form will be provided to the City Project Manager for review with the project team and Steering Committee.
If the City Project Manager and Steering Committee approve the Scope Change Form, the Tyler Project Manager will determine if further action is required before proceeding with the scope change. The City and Tyler Project Managers will update all project documents and communicate the scope change to all project team members’ stakeholders.
8 Communication Plan
Purpose
The purpose of the Communication Plan is to detail how communications will be managed throughout the project life cycle. The plan will include all planned and periodic communications occurring between the project stakeholders, scheduled written and oral communication, the frequency of the scheduled communications and the responsible person(s) for providing the information. A routine communication plan will aid all Project team members, of both the City and Tyler, in understanding the goals, objectives, current status and health of the Project.
Communications Planning
Communication Planning determines the information and communications needs of the project. Here we will identify who needs what information, when they will need it, how it will be given to them, and by whom. Identifying the informational needs of the stakeholders and determining a suitable means of meeting those needs is an important factor for project success. In addition to documenting the approach to communications identification and analysis, the plan should cover who is responsible for managing communications, how communications will be tracked throughout the project lifecycle, and how mitigation and contingency plans are developed and implemented.
Information Distribution
Throughout the project, this plan will be maintained to ensure that necessary information is made available to project stakeholders in a timely manner. This plan will impact the following members:
Members Inform Involve Invoke Action Gain Buy-In
Project Team √ √ √
User Group √ √ √
Stakeholder Group √ √ √
External / Public Audience √ √
Roles and Responsibilities
In order to successfully manage project communication, it is important to clearly define all roles and responsibilities for communication management. This section should define the communication role of the Project Manager, Project Team, Stakeholders and other key persons who are involved in the project. It should state who is responsible for each communication. The participants and stakeholders involved in managing project communications are defined in the Communication Matrix. In some cases, one individual may perform multiple roles in the process. At a minimum, we recommend the items in the Sample Communication Matrix be assigned and implemented.
9 Sample Communication Plan Matrix
Message Objective/ goal Target
Audience
Owner(s) Frequency Medium or
method
Timing Notes
Stakeholder
Meeting
Reasons for
upgrade;
WIIFM; overall
project
timeline; who
to contact with
questions, high
level scope
outline
Functional
Leaders,
Project
Team,
Stakeholders
Client
PM, Tyler
PM
Start of overall
project
Group
presentation
Early in
Phase 1
Cover:
What,
Why,
When,
Who,
Where
Do we
need
anything
from end
users yet?
Project
Planning
Meetings
Roles and
responsibilities
will be
outlined as
well as
Implementatio
n
Management
Plans and
initial schedule
development.
Client
Project
Manager,
Phase
Functional
Leaders
Tyler PM,
Client PM
Start of overall
project
Presentation
and Planning
Document
Early in
Phase 1
Bring
blackout
dates to
meeting
Executive
Mandate
Organization
will
understand
the purpose
and
importance of
the project as
well as the
level of
commitment
required to
make it
successful.
Entire
Organization
Client
Executive
Officer
Start of overall
project
Email Early in
Phase 1
Recognize
challenge
s and
emphasiz
e long
term
value
Executive
Project Status
Updates
Provide overall
project
direction and
status.
Client
Managemen
t; Sponsors
Client PM Quarterly at
Steering
Committee
meeting
Status
Reports,
Budget
Reports
Start in
Phase 1
10 Message Objective/ goal Target
Audience
Owner(s) Frequency Medium or
method
Timing Notes
Client Project
Team
Meetings
Provide key
project
participants
with detailed
information
regarding
project task
status,
schedules,
progress, and
budget.
Functional
Leaders,
Project
Team
Client PM Weekly Status
Reports, In
Person
Meetings
TBD
Tyler Status
Meetings
Provide
effective and
timely
communicatio
n to the Client
PM on the
status of the
Tyler Project at
a detailed
level. The goal
is to keep the
project team
abreast of the
current project
status, project
issues,
upcoming
events, and
project
milestones at a
detailed level.
Delivery point
will be to
Client PM for
distribution to
the Project
Team.
Tyler PM
and Client
PM
Tyler PM Bi-Weekly until
90 days from
LIVE, then
Weekly
Status Report TBD Review
schedule,
issues
and
actions,
deliverabl
es
Project Plan Communicate
clearly defined
tasks,
milestones,
schedules and
dependencies.
Client
Project
Manager,
Functional
Leaders,
Project
Team
Tyler PM Evolving SharePoint Update
d
weekly
11 Message Objective/ goal Target
Audience
Owner(s) Frequency Medium or
method
Timing Notes
Project SignOffs
Provide clear
acceptance
and
authorization
to proceed to
next step in
implementatio
n.
Client
Project
Manager,
Functional
Leaders,
Project
Team, Tyler
PM
Tyler PM Evolving Hardcopy, or
Electronic
Approval
Project Web
Space
Provide
information
and support
for the project
goals to the
community
and
organization
Functional
Leaders,
Project
Team,
Organization
, Community
Client PM Evolving Client
Intranet and
Website
FAQ
Document
Answer
frequently
asked
questions
about the
project and its
benefits
Organization Client PM Evolving TBD
Project
Change
Request Form
Provide clear
description
about
requested
changes to
project scope,
budgetary or
schedule
impacts, and a
description of
the services
and/or
product
change.
Organization Tyler PM,
Client PM
Evolving SharePoint As
request
er
Agreeme
nt to
proceed
with
changes
may
result in a
contract
amendme
nt.
12 Resource Management Plan
Purpose
The purpose of the Resource Management Plan is to identify and define the necessary roles and positions needed to support the project successfully, as well as other types of needed project resources such as training facilities, meeting space, offices, and equipment. Knowing when, and for how long, each resource is needed is critical to planning and controlling project costs, staff backfill requirements, and everyday project management logistics.
Physical Resource Requirements
x Analysis Facility
o Conference Room or open meeting space free of interruptions to accommodate all users comfortably
o Space for attendees to take notes and organize documents o Internet connection
o Projector and screen
o White board/smart board or flip chart
o Speaker phone
x Training Facility – Functional Leads, Power Users and End Users o Training environment free of interruptions
o Space for trainees to take notes and organize documents o Internet connection
o Access to the Tyler system
o Projector and screen
o A working networked Tyler printer
o Speakerphone
o White board/smart board or flip chart
o Ideally one computer per user being trained and a trainer computer Facility Resource Matrix
Analysis 1 Analysis 2 Training 1 Training 2
Room name/number
Exact location
Purpose (analysis, training,
decentralized training, backup)
Number of computers
13 Is there a separate station for the
instructor?
Total capacity
Networked printer available?
Is there access to the Tyler
system? Or estimated date for
access.
Number of internet connections
(or note if wireless)
Speakerphone?
Whiteboard or flipchart?
First date available
End date available
Is room dedicated to project? If
not, who reserves it?
Is there a permanent projector &
screen? If not, who reserves
them?
Is the room locked? If so, who
will have access?
Other room considerations
14 Human Resources Requirements Matrix
ID Role When needed? Desired
Skill Level
Actual Skill
Level
Skill Development Strategy
A B C D A B C D
01 Project
Manager
Project Initiation
through Project Closure
X
A=proficient, B = well experienced, C = experienced, D = basic
15 Quality Management Plan
Purpose
The purpose of the quality management plan is to define the responsibilities, activities, and metrics used in measuring and ensuring quality throughout the project. As with all projects, quality crosses various layers of work; implementation, processes, deliverables, software, and management. All layers require scrutiny and continuous adjustment in order to ensure project success, more commonly known as: Plan, Do, Check, Act.
Quality Approach
The project quality approach for this project involves stakeholders and all other project team members beginning at the inception of project stages. This allows the team to focus on items related to quality in the initial stages so that specific quality activities and standards are incorporated right from the start. The project will also use status reports as a tool to communicate any quality risks or issues that arise.
Quality Planning
Identify Quality Metrics
The Project Team must agree on the metrics by which quality will be measured. For instance, if a process can be achieved in the software “out of the box,” but requires a process change that users are resisting because it represents change, the Project Team should agree to assign a metric of “Pass.” Likewise, if a core software process required for production processing cannot be completed successfully in a test scenario, there are no viable work-arounds available, the Project Team should agree to assign a metric of “Fail,” and submit it for re-testing.
Establish Quality Control Checklist
The quality management plan identifies the quality control checklist that will be used throughout the project. A baseline quality control checklist has been attached as a starting point for the project but may be modified or added to as needed.
Issue Resolution
The Client Project Manager will schedule separate meetings, as needed, to discuss project process improvements and determine corrective actions. The results of the meeting activities are then documented and acted on, where possible, so that future project phases are improved by incorporating lessons learned.
This approach minimizes issues at the end of the project and facilitates a successful Go-live. These meetings should be addressed as part of the Schedule Management Plan.
Quality Assurance
16 Quality assurance is focused on the project’s processes and, when executed properly, provides confidence that quality requirements can be fulfilled. The iterative process for providing quality assurance will include review and completion of the following for each phase of the project:
x Control Point 1: Initiate & Plan Stage Acceptance
x Control Point 2: Assess & Define Stage Acceptance
x Control Point 3: Prepare Solution Stage Acceptance
x Control Point 4: Production Readiness Stage Acceptance x Control Point 5: Production Stage Acceptance
x Control Point 6: Close Stage Acceptance
Quality Control
Quality control is focused on the project’s product as opposed to its processes. It involves listing all of the expected deliverables, testing activities, acceptance criteria, and quality control owners. This list may include items that extend beyond Tyler’s involvement, but should be maintained as one, cohesive quality control checklist. The checklist is a document that will likely change over the life of the project as lessons learned influence future quality planning.
17 Risk Management Plan
Purpose
A Risk Management Plan defines methods and procedures for assessing and dealing with internal or external threats that could potentially undermine the implementation. The following diagram illustrates the key elements of a comprehensive risk management plan and the lifecycle of how risk can be defined and managed during the project.
18 Risk Assessment Procedures
The risk assessment process should identify the likelihood of all potential risks and the impact on the organization if that threat occurred.
The following tables should be customized for this project, based on the organizational structure and complexity of the City.
Process Owner Time Estimate
A meeting with Functional Leads and other identified
team members will be held to identify risks using a SWOT analysis.
Tyler PM
City PM
1 hour session
The Risk Register is updated with the identified risks, and other required information.
City PM enters City
risks;
Tyler PM enters Tyler
risks, collaborates
with City PM
1 hour effort
E-mail: At the end of each of the above activities, the Project Team and other City attendees will be asked to email the City PM with any additional opportunities or risks that occur to them after the session. City PM will update the Risk Register with the identified risks.
Stakeholders
City PM
1 hour for
responses
1 hour
documentation
Risk Management Procedures
Process Owner Time Estimate
Risks with scores higher than 14 will be assigned to the Project Team, Power Users, and Executive
Sponsor/Management if necessary. Each risk owner will be assigned to develop strategies avoid, if possible, or
mitigate/transfer the risk, or to increase the chance for an opportunity. Risk owners are given 1 week to complete.
Project Team
City Executive
Sponsor (if
needed), Tyler
Executive
Management (if
needed)
4 hours
The Project Team will discuss the risk response strategies and agree on the response to be taken should a risk trigger occur, or if it’s about to occur. These responses should be documented in the risk register.
Project Team 2 hours
Risk Measuring and Control Procedures
19 Process Owner Time Estimate
Monitoring: Risk owners are responsible for monitoring
their risks and notifying the appropriate PM via e-mail when a trigger occurs and that the response plan has been initiated.
Risk Owners 4 hours
New Risk Identification: Any stakeholder can identify
additional risks. The stakeholder should notify the PM of the new risk (or possible risk) via e-mail.
Stakeholders 1 hour
Audits: The PM will be responsible for overseeing risk
activities and ensuring the risk register is updated.
City PM
Tyler PM
2 hours per month
Review: The project team will review the project’s high priority risks biweekly and all risks monthly.
Project Team
Tyler PM
City PM
1 hour per month
Reporting: Risks will be reported in two ways.
First, the Tyler PM and City PM maintain a Risk Register in a central location accessible by both parties. The Risk Register will contain a list of risks identified for the project, the priority of the risk, the risk owner, and a current status of any active risks.
Second, the status report will contain a summary of the high priority risks and any new risks identified and added to the Risk Register.
City PM
Tyler PM
Tyler PM
1 hour per month
Risk Register
The project’s risk register will be created and maintained during the risk management process and will become part of the Implementation Management Plan. All identified risks should be entered in the register.
Entered in the risk register during or after Risk Assessment1 :
x Risk ID – A unique identifier for the risk. To be used when referring to risks in meetings and communications.
x Title – A description of the risk.
x Description of Impact on Project if Risk Occurs – If the risk occurs, will it impact scope, schedule, cost, user satisfaction, etc.?
x Possible Triggers – Listing of the triggers of the risk. x Date Reported – The date the risk was identified.
x Status – Identifies whether the risk is a priority, on the watch list, or closed (see risk response section below).
x Probability – The likelihood that the risk will occur. See the Risk Evaluation section below for possible values.
1 Exact headings may vary.
20 x Impact – The effect on project objects if the risk event occurs. x Risk Score – Reflects the severity of the risks effect on objectives. The risk score is determined by multiplying the risk probability and risk impact values. The intent is to assign a relative value to the impact on project objectives if the risk in question should occur.
Entered in the risk register during or after Risk Management Planning:
x Current Owner – Person(s) responsible for the risk if it should occur. x Response Strategy – The strategy that is most likely to be effective. x Risk Response Plan – Specific actions to enhance opportunities and reduce threats to the project’s objectives based on the most likely strategy.
Risk Assessment
For the purpose of this Implementation Management Plan, Tyler has selected the SWOT Analysis risk assessment technique. While there are other options available, and the City may augment their Risk Analysis using other techniques, the following outline will be used for the Tyler Implementation.
SWOT Analysis
A SWOT Analysis is a strategic planning tool used to evaluate the Strengths, Weaknesses, Opportunities, and Threats involved in a project or in a business venture. Strengths and weaknesses are internal to an organization. Opportunities and threats originate from outside the organization.
SWOT analysis, usually performed early in the project development process, helps organizations evaluate the environmental factors and internal situations facing a project. Strengths and weaknesses are attributes that measure your internal capability.
Opportunities and threats refer to how the external environment affects your team/business/group. Ideally a cross-functional team or a task force that represents a broad range of perspectives should carry out SWOT analyses.
SWOT Analysis Template
Project Name:
Prepared by:
Date:
Project Manager:
SWOT Analysis Facilitator:
SWOT Analysis Participants:
21 SWOT Analysis Recorder:
Date of SWOT Analysis:
Project Strengths: (What potential strengths exist about the project, the project team, the sponsor, the organization structure, the client, the project schedule, the project budget, the product of the project, and so on?)
1. 2.
3. 4.
Project Weaknesses: (What potential weaknesses exist about the project, the project team, the sponsor, the organization structure, the client, the project schedule, the project budget, the product of the project, and so on?)
1. 2.
3. 4.
Project Opportunities: (What potential opportunities exist in regard to achieving the project requirements, the product requirements, the project schedule, the project resources, the project quality, and so on?)
1. 2.
3. 4.
Project Threats: (What potential threats exist in regard to achieving the project requirements, the product requirements, the project schedule, the project resources, the project quality, and so on?)
1. 2.
3. 4.
Risk Evaluation
Each identified risk should be assigned a probability score and an impact score and these should be recorded on the risk register. The scores may change over the course of the project, so should be reviewed
22 and updated regularly. For instance, a risk may have a low impact at the start of the project, but may have a high impact as the project progresses.
Likelihood or Probability of each risk
5 Very likely to occur
4 Probably will occur
3 May occur
2 Unlikely to occur
1 Very unlikely to occur
Potential Impact of each risk on the project
5 Event poses very high cost, schedule, or other failure 4 Event poses major cost, schedule, or other increases
3 Event poses moderate increases, but requirements may still be met 2 Event poses small increases, but requirements may still be met 1 Event has little impact on the project
Probability and Impact Matrix
After determining risk scores for each risk’s probability and impact, use the following scale to determine the risk priority. Risks with ratings (Risk rating = probability score x impact score) of 10 or higher should be evaluated and reviewed regularly, and should appear on the status reports. Medium and Low risks should be monitored and scores should be re-evaluated throughout the project, as impact and probability change.
Impact
Pro
bability
1 2 3 4 5
5 5 10 15 20 25
4 4 8 12 16 20
3 3 6 9 12 15
2 2 4 6 8 10
1 1 2 3 4 5
After determining the risk ratings for each identified risk, the Risk Register should be updated to reflect the appropriate status for each risk. At this time, each risk will have a status of either “Watch List” for risk scores less than 10, or “Priority” for risk scores of 10 or higher.
Risk Management Planning
23 Management of risk should be planned for all high priority risks (risk score of 10 or greater) to plan for what will need to happen if the risk is triggered. Risks will be assigned risk owners who will be responsible for watching the risks and implementing these responses if the causes that trigger the risks have occurred, or are about to occur. The risk owners should also identify secondary risks that occur as a result of implementing the risk response, or risks that remain after the response has been implemented.
The following strategies will be used for determining the appropriate response for each risk or opportunity and should be recorded for each high priority risk, along with the chosen response for the risk. x Threats:
o Avoid – Risk avoidance entails changing the Project Plan to eliminate the risk or condition or to protect the project objectives from its impact.
o Transfer – Risk transference is seeking to shift the consequence of a risk to a third party together with ownership of the response. Transferring the risk simply gives another party responsibility for its management; it does not eliminate it. o Mitigate – Risk mitigation seeks to reduce the probability and/or consequences of an adverse risk event to an acceptable threshold. Taking early action to reduce the probability of a risk’s occurring or its impact on the project is more effective than trying to repair the consequences after it occurs.
o Accept – This technique indicates that the project team has decided not to change the Project Plan to deal with a risk or is unable to identify any other suitable response strategy.
x Opportunities:
o Exploit – Exploitation entails taking actions to ensure that the opportunity will occur and that the project will benefit from it.
o Share – Sharing the opportunity is seeking to shift the consequence of a risk to a third party in order to gain benefit for the project. Transferring the risk simply gives another party responsibility for its management; it does not eliminate it. o Enhance – Enhancing seeks to increase the probability and/or impact of an opportunity.
Taking early action to increase the probability of an opportunity occurring or its impact on the project is more effective than taking no proactive action, yet hoping that it might occur.
o Accept – This technique indicates that the project team has decided not to change the Project Plan to deal with an opportunity or is unable to identify any other suitable response strategy.
The Risk Register should be updated upon completion of risk management planning. If the risk plan is to mitigate, the original probability and impact scores should be updated to reflect the current status, as the scores will likely be lower than before risk management planning. Risk Owners should be assigned to all risks at this time.
The Project Plan should be updated to incorporate any activities associated with risk response plans that will be implemented. Risk response activities that will be implemented only if a risk trigger has occurred or is about to occur should not be entered into the Project Plan at this time.
Risk Measuring and Control
24 Risks must be continuously measured, monitored and controlled throughout the project. Newly identified risks should be added to the risk registers and the steps performed earlier in the process (risk assessment and risk management planning) should be performed. In addition, identified risks should be monitored and updated, as probability and impact change throughout a project. Risks may also no longer pose a threat or opportunity and may be closed.
Risk Owners should review their assigned risks regularly to determine if a trigger is about to occur, or if it has occurred, so they can implement the risk response plan.
Regular updates to the Risk Register and the Project Plan are necessary throughout this process.
There are many different tools that can be used to create a risk register including MS Word, MS Excel, SharePoint, OneNote etc. Make sure the register is updated frequently and includes the elements discussed earlier in this document and outlined in the sample below.
Sample Risk Register:
25 Quality Control Checklist
ID TYPE TITLE SCOPE ACCEPTANCE ACCEPTED REVIEWER DATE COMMENTS CRITERIA Yes No N/A 1 D Project Management Plan
The Project Management Plan addresses how communication, quality control, risks/issues, resources and schedules, and software upgrades (if applicable) will be managed throughout the lifecycle of the Project.
Review and acknowledge receipt of Project Management Plan 2 D Initial Project
Schedule
Task list, assignments and due dates
Acceptance of schedule based on resource availability and Project budget and goals 3 CP Hardware Installed (if
applicable)
4 CP System infrastructure
audit complete and verified
Client complete the system infrastructure audit, ensuring vital system infrastructure information is available to the Tyler implementation team, and verifies all hardware compatibility with Tyler solutions N/A x
26 ID TYPE TITLE SCOPE ACCEPTANCE ACCEPTED REVIEWER DATE COMMENTS CRITERIA Yes No N/A 5 CP Stakeholder Presentation complete
Client stakeholders join Tyler Project Management to communicate successful Project criteria, Project goals, Deliverables, a highlevel milestone schedule, and roles and responsibilities of Project participants N/A x
6 D Completed analysis
Questionnaire (Design Document)
Provide comprehensive answers to all questions on Questionnaire(s) Acceptance of completed Questionnaire based on thoroughness of capturing business practices to be achieved through Tyler solution. 7 D Data conversion
summary and specification documents
Data conversion approach defined, data extract strategy, conversion and reconciliation strategy Data conversion document(s) delivered to the Client, reflecting complete and accurate conversion decisions 8 D Modification
specification documents, if contracted
Design solution for Modification
Client accepts Custom Specification Document(s) and agrees that the proposed solution meets their requirements 9 D Completed Forms
options and/or packages
Complete Forms package(s) included in agreement and identify Reporting needs Identify Forms choices and receive supporting documentation
27 ID TYPE TITLE SCOPE ACCEPTANCE ACCEPTED REVIEWER DATE COMMENTS CRITERIA Yes No N/A 10 D Installation checklist Tyler will conduct an initial coordination call, perform an installation of the software included in the Agreement, conduct follow up to ensure all tasks are complete, and complete server system administration training Tyler software is successfully installed and available to authorized users, Client team members are trained on applicable system administration tasks 11 CP Tyler software is
Installed
Purchased software and required peripheral software is installed Installation completes successfully and applications can be opened 12 CP Solution Orientation
is complete
Solution Orientation provided, including the use of eLearning, videos, documentation, and/or walkthroughs Basic understanding of system functionality
13 CP Current/Future state
analysis completed
Evaluate current state processes, options within the new software, pros and cons of each option based on current or desired state Questionnaires delivered and reviewed
14 CP Data conversion
mapping and extractions completed and provided to Tyler x
15 CP Standard Interface
Planning
Define/confirm which Interfaces are needed (if not outlined in the Agreement). Tyler will provide a file layout for each Standard Interface x
28 ID TYPE TITLE SCOPE ACCEPTANCE ACCEPTED REVIEWER DATE COMMENTS CRITERIA Yes No N/A 16 CP Modification Analysis & Specification, if contracted
Tyler staff conducts additional analysis and develops specifications Specifications meet Client requirements
17 D Initial data
conversion
Data conversion program complete; deliver converted data for review Initial error log available for review
18 D Data conversion
verification document
Provide self-guided instructions to verify specific data components in Tyler system Client acknowledges data conversion delivery; Client completes data issues log. 19 D Installation of
Modifications on the Client’s server(s)
Program for Modification is complete and available in Tyler software Client acknowledges Delivery of Modification(s) meeting objectives described in the Client-signed specification 20 D Standard Forms &
Reports Delivered
Installation of all Standard Forms & Reports included in the Agreement Client acknowledges that Standard Forms & Reports available in Tyler software for testing 22 CP Application
configuration completed
Review of primary configuration areas
Configuration complete and ready for testing
23 CP Data conversions
(except final pass) delivered
Subsequent passes of data conversions delivered and validated Conversions are validated and ready for final pass
24 CP Standard Interface
training provided
Use of standard interface tools is trained
Users have tools and have been trained
29 ID TYPE TITLE SCOPE ACCEPTANCE ACCEPTED REVIEWER DATE COMMENTS CRITERIA Yes No N/A 25 D Go-live checklist Dates for final conversion, date(s) to cease system processing in Legacy System, date(s) for first processing in Tyler system, contingency plan for processing Client acknowledges the checklist delivery including definition of all pre-production tasks, assignment of owners and establishment of due dates 26 D User Acceptance Test
Plan
Testing steps for Standard business processes
Client acknowledges that Testing steps have been provided for Standard business processes 27 CP Modification(s)
tested and accepted, if applicable
Client performs test of modification
Modification performs as outlined in specification
28 CP Standard 3rd party
Data Exchange programs tested and accepted
Client performs test of 3rd party data exchange
3rd party data exchanges perform as expected
29 CP Standard Forms &
Reports tested and accepted
Client performs test of Forms & Reports
Forms & Reports perform as expected
30 CP Solution Validation
completed
Client performs Solution Validation using provided
scripts or customized scripts
Client to determine
31 CP End User training
completed
End User Training performed according to scope
End Users trained
32 D Final data conversion,
if applicable
Final passes of all conversions completed in this Phase Client acknowledges that data is available in production environment
30 ID TYPE TITLE SCOPE ACCEPTANCE ACCEPTED REVIEWER DATE COMMENTS CRITERIA Yes No N/A 33 D Client Services transition documents
Define support strategy for day-to-day processing, conference call with Client project manager(s) and Tyler Support team, define roles and responsibilities, define methods for contacting Support Client acknowledges receipt of tools to contact Support and understands proper support procedures. 34 CP Final data
conversion(s) delivered
Client provides final data extract and Reports from the Legacy System for data conversion and Tyler executes final data conversion, Client reviews final pass Final pass is free of errors, or meets an acceptable level of error that may be fixed manually in Production 35 CP Transition to Tyler
Client Services is completed
Tyler project manager(s) introduce the Client to the Tyler Support team Call is completed
36 CP Post-live services
have been scheduled, if applicable
Prior to scheduling services, the Tyler project manager(s) collaborate with Client project manager(s) to identify needs Remaining services scheduled
D – Deliverable CP – Control Point
ID Task Name
1 Phase One - Financials1 Initiate & Plan2 Initial coordination3 Project/phase planning4 GIS planning, if applicable 5 Stakeholder meeting 6 Control Point 1: Initiate & Plan stage acceptance7 Assess & Define8 Solution orientation 9 Current/future state analysis 10 Conversion assessment 11 Modification analysis, if applicable12 Data assessment 13 Initial system deployment14 Control point 2: Assess & Define stage acceptance15 Prepare Solution 16 Configuration17 Conversion delivery 18 Data delivery 19 Modification delivery, if applicable 20 Control point 3: Build & Validate stage acceptance21 Production Readiness22 Go live readiness 23 Solution validation24 End User Training25 Control point 4: Production Readiness stage acceptance26 Go Live27 Final data conversion28 Production processing assistance29 Transition to Client Services 30 Post go live activities31 Control point 5: Go Live stage acceptance32 Close33 Phase/project close out34 Control point 6: Close stage acceptance -1 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 Yuba City, CA - Gantt Chart
Proprietary and Confidential
ID Task Name
2 Phase Two - Human Resource Management1 Initiate & Plan2 Initial coordination3 Project/phase planning4 GIS planning, if applicable 5 Stakeholder meeting 6 Control Point 1: Initiate & Plan stage acceptance7 Assess & Define8 Solution orientation 9 Current/future state analysis 10 Conversion assessment 11 Modification analysis, if applicable12 Data assessment 13 Initial system deployment14 Control point 2: Assess & Define stage acceptance15 Prepare Solution 16 Configuration17 Conversion delivery 18 Data delivery 19 Modification delivery, if applicable 20 Control point 3: Build & Validate stage acceptance21 Production Readiness22 Go live readiness 23 Solution validation24 End User Training25 Control point 4: Production Readiness stage acceptance26 Go Live27 Final data conversion28 Production processing assistance29 Transition to Client Services 30 Post go live activities31 Control point 5: Go Live stage acceptance32 Close33 Phase/project close out34 Control point 6: Close stage acceptance -1 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 Yuba City, CA - Gantt Chart
Proprietary and Confidential
Exhibit G
1 Exhibit G
Client’s Request for Proposals
The Client’s Request for Proposals for Enterprise Resource Planning (ERP) System and Implementation Services released on or around June 13, 2013, is incorporated herein by reference as if fully set forth herein.
[REMAINDER OF PAGE INTENTIONALLY BLANK]
CITY OF YUBA CITY
REQUEST FOR PROPOSAL (RFP)
for
Enterprise Resource Planning (ERP)
System and Implementation Services
Issue Date: June 13, 2023
Proposal Due Date/Time: July 28, 2023 - 4:00 PM PT
City of Yuba City RFP for ERP System and Implementation Services Page i
This page intentionally left blank.
City of Yuba City RFP for ERP System and Implementation Services Page ii
Table of Contents
1 RFP Overview .................................................................................................................................... 1
1.1 Purpose of RFP .......................................................................................................................... 1
1.2 Project Objectives and Scope ................................................................................................... 1
1.3 RFP Timeline ............................................................................................................................. 2
1.4 RFP Coordinator ........................................................................................................................ 3
1.5 RFP Posting, Amendment, and Cancellation ............................................................................ 3
1.6 RFP Questions ........................................................................................................................... 3
1.7 Intent to Propose ...................................................................................................................... 3
1.8 Proposal Submittal .................................................................................................................... 3 2 City Overview .................................................................................................................................... 5 3 Current Environment ........................................................................................................................ 6
3.1 Primary Software ...................................................................................................................... 6
3.2 Additional Software/Services ................................................................................................... 6
3.3 Technology Standards ............................................................................................................... 7
3.4 Key Statistics ............................................................................................................................. 8 4 ERP System Requirements .............................................................................................................. 10
4.1 Modules .................................................................................................................................. 10
4.2 Key Functionality ..................................................................................................................... 11
4.3 Implementation Schedule ....................................................................................................... 11
4.4 Requirements.......................................................................................................................... 11 5 Proposal Submission Requirements ............................................................................................... 12
5.1 General Instructions ............................................................................................................... 12
5.2 Proposal Format and Content ................................................................................................. 12 Cover Letter ............................................................................................................................ 12 Table of Contents .................................................................................................................... 13 Section 1 - Executive Summary ............................................................................................... 13 Section 2 – Company Background .......................................................................................... 13 Section 3 – Company Qualifications ....................................................................................... 13 Section 4 - References ............................................................................................................ 14 Section 5 - Proposed Solution ................................................................................................. 14 Section 6 - Implementation Approach and Schedule ............................................................. 15 Section 7 – Ongoing Maintenance and Support ..................................................................... 18
City of Yuba City RFP for ERP System and Implementation Services Page iii
Section 8 – Pricing ................................................................................................................... 19 Section 9 – Software Licensing and Maintenance Agreements ............................................. 20 6 Proposal Evaluation ........................................................................................................................ 20 7 Proposal Evaluation ........................................................................................................................ 21
7.1 Collusion ................................................................................................................................. 21
7.2 Gratuities ................................................................................................................................ 21
7.3 Required Review and Waiver of Objections by Proposers ..................................................... 21
7.4 Nondiscrimination .................................................................................................................. 21
7.5 Proposal Preparation Costs ..................................................................................................... 21
7.6 Proposal Withdrawal .............................................................................................................. 21
7.7 Proposal Errors ....................................................................................................................... 22
7.8 Incorrect Proposal Information .............................................................................................. 22
7.9 Prohibition of Proposer Terms and Conditions ...................................................................... 22
7.10 Assignment and Subcontracting ............................................................................................. 22
7.11 Right to Refuse Personnel ....................................................................................................... 22
7.12 Proposal of Additional Services .............................................................................................. 22
7.13 Licensure ................................................................................................................................. 22
7.14 Conflict of Interest and Proposal Restrictions ........................................................................ 23
7.15 Contract Negotiations ............................................................................................................. 23
7.16 Execution of Contract ............................................................................................................. 23
7.17 Right of Rejection .................................................................................................................... 23
7.18 Disclosure of Proposal Contents ............................................................................................. 23
7.19 Proprietary Information .......................................................................................................... 24
7.20 Severability ............................................................................................................................. 24
7.21 RFP and Proposal Incorporated into Final Contract ............................................................... 24
7.22 Proposal Amendment ............................................................................................................. 24
7.23 Consultant Participation ......................................................................................................... 24
7.24 Warranty ................................................................................................................................. 24
7.25 Rights of the City ..................................................................................................................... 24 8 Appendix A – Requirements ........................................................................................................... 26 9 Appendix B – Price Sheets ............................................................................................................... 26 10 Appendix C – City Standard Agreement .......................................................................................... 26
City of Yuba City RFP for ERP System and Implementation Services
1 RFP Overview
1.1 Purpose of RFP
The City of Yuba City (City) has issued this Request for Proposal (RFP) to solicit responses from vendors (Proposer’s) offering proven, integrated Enterprise Resource Planning (ERP) solutions to replace the City’s existing Central Square FinancePlus system (the City also has CommunityPlus and will continue to use it to support certain functions including utility billing) with one that supports the following high-level functions:
Finance
Human Resources
The City seeks a qualified Proposer who can demonstrate that they possess the organizational, functional, and technical capabilities, along with the experience, expertise, and qualifications necessary to provide a state-of-the-art ERP solution, along with the professional services specified to complete the implementation and support the system post-implementation.
The City is looking to acquire a Software as a Service (SaaS) solution that meets the functional and technical requirements pertaining to Finance and Human Resources as identified in this RFP. If subcontractors and/or third-party application providers are included as part of their full SaaS solution, Proposers must address the requirements specific to those subcontractors and/or third-party application providers as identified in RFP Section 5 – Proposed Solution. Proposals that do not provide a comprehensive solution may be subject to immediate disqualification.
NOTE: The City will be using American Rescue Plan Act (ARPA) funds for this project and these funds must be spent by December 31, 2026. As such, adherence to any proposed implementation schedule, including the December 31, 2026 end date, is critical.
1.2 Project Objectives and Scope
With this RFP, the City intends to replace its existing ERP system with a proven, commercial-off-theshelf (COTS) ERP system. The City’s goal is to take advantage of a modern ERP system that is designed around best practices and meets the following objectives:
Consolidates information, links processes and functions, and eliminates separate departmental systems/spreadsheets/access databases in favor of a single system that connects the City’s financial and non-financial applications through a common database Streamlines and improves business processes through automation Provides a user-friendly and intuitive user interface to promote system use and increase user productivity
Reduces or eliminates redundant data entry
Provides timely, accurate, and easy-to-access information for decision making Reduces or eliminates the need for manual input when preparing various financial documents, including the annual budget and financial statements Improves and/or provides necessary reports and reporting capabilities and access to data through inquiry or drill down capabilities
City of Yuba City RFP for ERP System and Implementation Services
Supports interfaces with third-party systems through documented APIs or other standardized data exchange methods
Provides appropriate security measures
Improves services to stakeholders
Complies with state and local statutory requirements
In addition to the above, the City is seeking a Proposer to provide professional services (e.g. best practices guidance, data conversion and migration, testing, training, project management, implementation, and integration) that will help ensure a successful implementation in a timely and professional manner.
1.3 RFP Timeline
Table 1 presents the RFP Timeline.
Table 1 - RFP Timeline
RFP Event Date/Time
City Issues RFP June 13, 2023
Deadline for Proposer Questions June 30, 2023
4:00 PM PT
City Provides Responses to Questions July 10, 2023
Deadline for Proposal Submissions July 28, 2023
4:00 PM PT
Finalist(s) Notified & Provided Proof-of-Capabilities (POC) Packet Issued
September 5, 2023
POC Demonstration(s) September, 2023
Contract Negotiations October, 2023
Contract Award and Execution November, 2023
Project Start January, 2024
As identified in Table 1, finalist(s) will be required to participate in a proof-of-capabilities (POCs) demonstration to allow staff to fully understand the proposed solution. The POCs will be a scripted demonstration using scenarios/scripts to evaluate critical product functionality rather than the City viewing a generic product demonstration.
NOTE: Proposers must be prepared to invest the time and resources in the proof-of-capabilities demonstration to be successful in this procurement.
At the completion of the POCs, the City intends to select a finalist that may be asked to participate in further solution demonstrations, if necessary, to ensure that all pertinent functionality is reviewed prior to finalizing contract negotiations. The City reserves the right, at its sole discretion, to adjust the RFP Timeline as it deems necessary.
City of Yuba City RFP for ERP System and Implementation Services
1.4 RFP Coordinator
The City is using a consultant, SDI Presence, to support the procurement and selection process. All communications concerning this RFP must be submitted via email to the RFP Coordinator identified below.
Wendell Yacur, ERP Procurement Consultant, [email protected] The RFP Coordinator will be the sole point of contact for this RFP.
NOTE: Proposer contact with any person(s) in the City other than the RFP Coordinator is expressly forbidden and may result in disqualification of the Proposer’s bid. Any communications to the RFP Coordinator other than email will be considered unofficial and non-binding on the City. Telephone calls will not be accepted.
1.5 RFP Posting, Amendment, and Cancellation
The RFP will be posted on the City’s website: www.yubacity.net/city_hall/purchasing/rfps The City reserves the unilateral right to amend the RFP in writing at any time. The City also reserves the right to cancel or reissue the RFP at its sole discretion. If an amendment is issued, it will be posted on the City’s website: www.yubacity.net/city_hall/purchasing/rfps Proposers must respond to the final written RFP, including and any exhibits, attachments, and amendments.
1.6 RFP Questions
Questions concerning the RFP should be submitted via e-mail to the RFP Coordinator identified in Section 1.4 prior to the “Deadline for Proposer Questions” identified in Section 1.3. Proposer questions should clearly identify the relevant section of the RFP and page number(s) related to the question being asked. The questions submitted and the City’s responses shall be posted on the City website identified in Section 1.5.
1.7 Intent to Propose
Each Proposer who plans to submit a proposal should indicate as such via an email to the RFP Coordinator. The email should include:
Proposer’s company name
Proposer’s intent to respond to this RFP
Name and title of Proposer main contact
Address, telephone, and email address
Note that this “Intent to Propose” email is optional and does not bind Proposers to submitting a proposal. However, the City will ensure that any Proposer who submits this information will receive any information regarding RFP addendums and question and answer sets.
1.8 Proposal Submittal
Proposals are to be submitted no later than the “Deadline for Proposal Submission” identified in Section
1.3. Proposers assume the risk of the method of delivery chosen. The City assumes no responsibility for delays caused by any delivery service. A Proposer's failure to submit a proposal as required before the deadline may cause the proposal to be disqualified.
City of Yuba City RFP for ERP System and Implementation Services
Proposers must submit in a sealed package: one (1) original, eleven (11) paper copies, and one (1) electronic copy (a single .pdf file containing all submitted material, as well as copies of Appendix A and Appendix B).
The proposal package shall be mailed, couriered, or hand delivered to:
City of Yuba City
Attn: City Clerk
1201 Civic Center Blvd.
Yuba City, CA 95993
The package should be clearly labeled as follows:
Proposal for ERP System and Implementation Services
Due Date/Time: July 14, 2023 – 4:00 PM PT
Name of Proposing Firm, Proposer’s Address, Proposer’s Contact Person, Proposer’s Telephone Number
All information must be received by the City on the date/time indicated in Section 1.3. Information received after this date/time may be returned unopened. Postmarks will not be accepted as proof of receipt.
City of Yuba City RFP for ERP System and Implementation Services
2 City Overview
Yuba City is located approximately 40 miles north of the State Capital, Sacramento. Two of the State's major economic powerhouses (the San Francisco Bay Area, and Silicon Valley) are within a 2-to-3-hour drive from the City. Yuba City’s unique location benefits both businesses and residents and offers a quality, family-oriented lifestyle. The Feather River borders the city to the East and the city's western horizon is dominated by the Sutter Buttes, popularly believed to be the smallest mountain range in the world.
The City of Yuba City is a full-service General Law City located in the northern part of the Sacramento Valley. Yuba City operates under the Council-Manager form of government, with each of the five Council members elected at-large and serving four-year, staggered terms. From among its members, the Council selects the City's Mayor and Vice Mayor every year. The City Council appoints a full-time City Manager whose job it is to carry out the Council's policy directives and coordinate, control, and direct City operations, functions, and projects.
In making its policy determinations, the Council works with advisory committees made up of citizens appointed by the Council and receives other citizen input from the public at its regular and special meetings. The Council's business meetings are scheduled for the first and third Tuesday of each month in the Council Chambers at City Hall. Other special or study session meetings are scheduled as needed and are open to the public. The public is always invited and encouraged to attend.
City of Yuba City RFP for ERP System and Implementation Services
3 Current Environment
The information in this section describes the City’s current environment – information pertinent to the new ERP.
3.1 Primary Software
The City currently uses Central Square FinancePlus as its primary application to support its financial and human resource needs. The City purchased the following Central Square FinancePlus modules, though not all are in use at this time (indicated by a “*”).
Financial Accounting
Capital Assets
Miscellaneous Billing
Central Receipting
Human Resources Payroll
State Reporting
Employee Benefits*
Project Ledger*
3.2 Additional Software/Services
Table 2 identifies the additional software currently used by the City, the business purpose, and which may be expected to interface/import information with the new ERP.
Table 2 – Additional Software
Additional
Software/Service Name
Purpose Comments
Accela Business License,
Permitting, and
Code
Enforcement;
Fire Cash Receipts
The City will keep this app. It will
require an interface or import
with the new ERP.
Chameleon Animal Services
Cash Receipts
The City will keep this app. It will
require an import with the new
ERP.
CivicRec Recreation Cash
Receipts
The City will keep this app. It will
require an interface or import
with the new ERP.
ClearGov Budget The City may keep this app. If so, it
will require an interface or import
with the new ERP.
DocuPhase Document
Management
The City will keep this app. It may
require an interface with the new
ERP.
City of Yuba City RFP for ERP System and Implementation Services
Additional
Software/Service Name
Purpose Comments
InfoSend UB Bill Print and
Online Payment
Portal
The City will keep this app. It will
require an interface/import with
the new ERP.
LabWorks Public Works Lab
Management,
creates invoices
for Finance
The City will keep this app. It may
require an import with the new
ERP.
NeoGov Recruiting The City may keep this app. If so, it may require an import.
Central Square
CommunityPlus
Utility Billing The City will keep using
CommunityPlus for the near
future. As such, there will need to
be an interface/import with the
new ERP.
Third-Party Benefit
Providers
WorkTerra,
AFLAC, UNUM,
CalPERS, Deferred
Comp/RHS, Basic
Pacific, Claremont,
Vector Solutions
The City will require an
interface/import from all ThirdParty Benefit Providers to the new ERP.
U.S. Bank CAL-Cards The City will keep this service. It will require an import.
Vector Scheduling Fire Scheduling The City will keep this app. It may require an interface or import
with the new ERP.
Visual Computer Solutions
(VCS)
Police Scheduling The City will keep this app. It may
require an interface or import
with the new ERP.
Wells Fargo Bank Banking The City will keep this service. It will require an interface/import.
Adobe Sign Electronic
Signatures
The City will keep this service. It
may require an interface.
DebtBook GASB 87 & 96
Debt, Lease &
Subscription
Management
The City may keep this app. If so, it
will require an interface or import
with the new ERP.
3.3 Technology Standards
Table 3 identifies the City’s current technology standards. The proposed system must be compatible with the existing technical environment or accessible from it. Proposers will be required to confirm conformance to these requirements or clearly articulate proposed alternatives.
City of Yuba City RFP for ERP System and Implementation Services
Table 3 – Technology Standards
Technology Current Standard
Database(s) SQL Server, Informix, Oracle possible
Desktop OS Windows 10 and 11, a few Macs
Desktop Hardware Lenovo
Laptop Hardware Lenovo
Mobile/Notebook Hardware iPads, Surface, Surface Pro, Android phones, iOS preferred
Browsers Chrome, Edge, Firefox
Email Server/Client Office 365 Hybrid Exchange
Virtual Environment VMware (current vSphere and ESXi), primary and secondary sites
Storage Area Network Lenovo (iSCSI 10g)
Active Directory On premise AD, synched to Azure
VPN Global Protect (Palo Alto)
Scanners DocuPhase with Fujitsu with ScanDocs, some
Epson, Kyocera MFD’s
Printers Kyocera MFD’s, HP printers, Brother and Canon
Internet
Bandwidth
Redundancy
Single Internet POP, 1G synchronous; City sites
well connected via private fiber
Cisco Duo MFA
Adobe Sign Electronic Signatures
3.4 Key Statistics
Table 4 provides information regarding key statistics (approximations) to aid the Proposers in preparation of their proposed solutions and pricing.
City of Yuba City RFP for ERP System and Implementation Services
Table 4 – Key Statistics
Functional Area Volume/Statistics
(Averages)
Frequency (if applicable)
Finance
Purchase Orders 36/Month Monthly
Purchase Order (currently open) 528 Total in System
Invoices 1000-2000 Monthly
Journal Entries 110/Month Monthly
Miscellaneous Bills 300-600 Monthly
New Vendors 30/Month Monthly
Total Vendors 26,378* Total in System
Human Resources
Recruitments 50 Yearly
MOUs 8 N/A
FTEs 325 N/A
PTEs/Seasonal/Temporary 250 Yearly
Volunteer Employees N/A N/A
Position Classifications 327 N/A
Personal Action Forms Submitted 20 Bi-weekly
Total Current Central Square
FinancePlus Users (Citywide)
110 N/A
*This number contains many vendor profiles that are duplicates or that the City has not used in a long time. Duplicates are due to vendors having different mailing addresses for the different services they provide, changing their tax filing status, and input error (staff not realizing that a vendor profile already exists).
City of Yuba City RFP for ERP System and Implementation Services
4 ERP System Requirements
4.1 Modules
The City is seeking a highly integrated system that can serve as many of the City’s various departmental needs as possible. Modules should include the following functionality:
Finance
o General Ledger/Accounting
o Budgeting*
o Vendor Management
o Procurement/Purchasing
o Contract Management
o Accounts Payable
o Capital Asset Accounting
o General Billing/Accounts Receivable
o Cash Receipts (Cashiering)
o Project and Grant Accounting
o Payroll Processing (note that while this is a Finance function from a separation of duties perspective, it is listed under Human Resources in Appendix A from a process/flow perspective)
Human Resources
o Position Control
o Recruiting*
o Onboarding*
o Employee Master File
o Benefits Administration
o Leave Administration
o Personnel Actions
o Training and Certification
o Performance Reviews*
o Employee Self-Service (ESS)
o Pay Administration
o Time Entry
o Separation/Offboarding
Modules identified with a “*” are optional (optional for the City to purchase, not for Proposer’s to propose and price assuming they offer the functionality).
City of Yuba City RFP for ERP System and Implementation Services
4.2 Key Functionality
The City is interested in adopting modern, automated tools that support financial and human resource best practices. Key functionality in these areas would include, but not be limited to dashboards, mobile access, employee portal with electronic time reporting, vendor portal, workflow, reporting, etc. The specific functionality required can be found in Appendix A - Requirements.
4.3 Implementation Schedule
As previously stated, the City will be using ARPA funds to support this project. With this in mind, and considering a number of other factors, the City has identified the following base requirements pertaining to the implementation schedule:
Implementation to begin approx. January 2024
The COA must be implemented first
The City would like to be live on payroll as soon as possible, assuming this can be done in a logical and effective manner
Implementation must end by December 31, 2026
The Proposer’s implementation schedule must be clearly articulated in their proposal in response to Section 6 – Implementation Approach and Schedule.
4.4 Requirements
Proposers must respond to the requirements included in Appendix A - Requirements. The City will incorporate the requirements and the selected Proposer’s responses into the final contract that is executed between the parties.
City of Yuba City RFP for ERP System and Implementation Services
5 Proposal Submission Requirements
5.1 General Instructions
Proposals should be prepared simply and economically and provide a straightforward, concise description of the Proposer’s company, qualifications, proposed solution, and capabilities to satisfy the requirements of this RFP. Emphasis should be on completeness and clarity of content.
Proposals must be organized consistent with the outline provided in this section. Proposers must follow all formats and address all portions of the RFP set forth herein, providing all information requested.
Proposers may retype or duplicate any portion of this RFP for use in responding to the RFP, provided that the proposal clearly addresses all of the City's information requirements.
5.2 Proposal Format and Content
Information must be structured, presented, and labeled in the following manner:
Cover Letter
Table of Contents
Section 1 – Executive Summary
Section 2 – Company Background
Section 3 – Company Qualifications
Section 4 – References
Section 5 – Proposed Solution
Section 6 – Implementation Approach and Work Plan
Section 7 – Ongoing Maintenance and Support
Section 8 – Pricing
Section 9 – Software Licensing and Maintenance Agreements Information should be prepared on standard 8 1/2" x 11" paper and printed on two sides.
Failure to follow the specified format, to label the responses correctly, or to address all of the subsections may, at the City’s sole discretion, result in the rejection of a proposal.
Cover Letter
The proposal must include a cover letter that provides the following:
Proposer’s legal name and corporate structure, including the state incorporated in. Proposer’s primary contact to include name, address, phone, and email. Identification of proposed solution, including any third-party applications and/or subcontractors
Identification of any pending litigation against the Proposer. Disclosure of any bankruptcy or insolvency proceedings in last ten (10) years. Statement indicating the proposal remains valid for at least 120 days.
City of Yuba City RFP for ERP System and Implementation Services
Statement that the Proposer and any other company or individual who will perform work for the Proposer is free of any conflict of interest (e.g. employment by the City). Statement of acknowledgement that the City’s legal documents (Appendix C – City Standard Agreement) have been reviewed and accepted with or without exception. If exceptions are involved, those items requiring adjustment or modification must be identified and listed along with suggested modifications to the contract. If no exceptions are noted, the City will assume that the Proposer is capable of performing all tasks and services without reservation or qualification to the contract. Signature of a company officer empowered to bind the Proposer to the provisions of this RFP and any contract awarded pursuant to it.
The Cover Letter should be concise and brief and not exceed three (3) pages unless a Proposer’s exceptions to the City’s legal documents require it.
Table of Contents
All sections should be identified and pages consecutively numbered.
Section 1 - Executive Summary
This section of the proposal should provide a brief and concise synopsis of Proposer’s proposal and a description of the Proposer’s credentials to deliver the services sought under the RFP. This is to include identification of Proposer solution and identification of use of any third-party applications and/or subcontractors, and the scope of work to be performed by each subcontractor.
The Executive Summary should not exceed three (3) pages.
Section 2 – Company Background
This section of the proposal should identify the following:
2.1 – A brief description of the Proposer’s background.
2.2 – Identify the location of headquarters, technical support, and field offices and the location of the office that would service the City.
2.3 – Identify Proposer’s annual company revenues and profit for the last three fiscal years.
The Background section should not exceed two (2) pages.
Section 3 – Company Qualifications
In this section, Proposers should identify company qualifications and experience in implementing solutions similar to what the City is seeking:
3.1– Describe the Proposer’s familiarity with public sector ERP systems and associated business processes, and experience with the requirements of municipalities.
3.2 – Identify the Proposer’s client base including the number of existing clients using the version/release of the software being proposed. Specifically identify experience with similar sized California municipalities.
The Company Qualifications section should not exceed two (2) pages.
City of Yuba City RFP for ERP System and Implementation Services
Section 4 - References
Proposers must provide at least five (5) references with at least three (3) of the references for systems that have been implemented in the last five years. The City prefers references from California municipalities of similar size and complexity to the City. For each reference, Proposer must provide the following information:
4.1 - Name and contact information (i.e. name, title, address, direct phone, and email)
4.2 - Brief project description, including identifying the software version, modules, and interfaces implemented
4.3 - Implementation timeline, Go Live date, and budgetary cost vs. actual cost The References section should not exceed five (5) pages.
Section 5 - Proposed Solution
In this section, Proposers should describe their solution by providing the following:
5.1 – Solution Details
Name and origin of solution
Release history and current release being proposed
Proposed modules with detailed information regarding their functionality Mobile capabilities of the proposed modules
Identification of use of subcontractors and/or third-party application providers including:
o Company background
o Scope of work to be performed
o Experience and references specific to scope of work to be performed o Identification of where Proposer and subcontractor and/or third-party application provider has successfully worked together in the past o Description of how Proposer will manage any subcontractor and/or third-party application provider to ensure successful delivery of subcontractor and/or thirdparty application provider scope of work
5.2 – Application Integration/Interface
Required integration/interfaces are identified in Appendix A - Technical. Please describe the following for each integration/interface:
o Proposer’s integration/interface solution [web services, Application Programming Interfaces (APIs), etc.]
o Data availability/transfer (real-time, nightly, etc.) o How Proposer will ensure data security
City of Yuba City RFP for ERP System and Implementation Services
o The involvement, if any, that is required from the owners of the applications to be integrated/interfaced to the ERP
o If Proposer has previous experience developing/implementing the relevant integration/interface
5.3 – Data Storage and Backup
Describe approach to data storage
Describe data backup process
Describe the network bandwidth required between the City and hosting facilities Describe what options are available for dedicated bandwidth (if available) Describe scalability options for computing power (CPU, RAM, and storage) Indicate hosting provider (e.g. Azure, Amazon Web Services, etc.)
5.4 – Data Access and Security
Describe how data access (functional vs. data roles) is managed Describe the environment (single or multi-tenant)
If a multi-tenant environment, describe how is the data segregated If a multi-tenant environment, describe how is security managed
5.5 – Business Continuity and Disaster Recovery
Describe approach to business continuity and disaster recovery
5.6 – Service Level Agreements (SLA’s)
Describe supported SLA options (e.g. reliability, availability, performance, issue resolution, system response time, etc.)
5.7– Transition
Describe proposed exit strategy at end of contract (contract transition)
5.8 – Response to Appendix A – Requirements:
The City will provide a copy of RFP Appendix A in MS Word. To address this section, Proposers should use that file to address each requirement in Appendix A. Please see Appendix A for additional instructions.
The Proposed Solution section should not exceed fifteen (20) pages, excluding the response to
5.8 – Response to Appendix A – Requirements.
Section 6 - Implementation Approach and Schedule
Proposers are to describe project implementation approach and schedule according to the following:
6.1 – Project Organization
Provide a project organization chart highlighting Proposer and any subcontractor and/or third-party application provider key staff who will be assigned to the project Identify the responsibilities of each key staff member Provide resumes and references for each key staff member The City reserves the right to request and check references for proposed key staff
City of Yuba City RFP for ERP System and Implementation Services
6.2 – Project Management
Describe the project management methodology/approach
Provide a Project Plan that describes your approach to Schedule Management, Cost Management, Scope Management, Communications Management, Issues Management, Risk Management, Change Management, etc.
6.3 – Implementation Schedule
As previously mentioned, the City will be using American Rescue Plan Act (ARPA) funds for this project. As such, adherence to any proposed schedule is critical. With this in mind, and considering a number of other factors, the City has identified the following base requirements pertaining to the implementation schedule:
Implementation to begin approx. January 2024
The COA must be implemented first
The City would like to be live on payroll as soon as possible, assuming this can be done in a logical and effective manner
Implementation must end by December 31, 2026
While adhering to the above, Proposers are to describe an implementation approach and schedule that addresses the following:
Describe the overall implementation methodology and approach Describe the implementation schedule, including the order (phasing) of major functionality (Finance and HR), including any overlap, as well as the timing of specific modules within those phases
The schedule must identify phases, tasks, activities, dates, durations, resources, deliverables, and milestones
6.4 –Implementation Support Specifics
Identify the specific roles/responsibilities to be filled by Proposer, subcontractor, or thirdparty applications provider staff versus those to be filled by City staff. Include estimated level of effort for each staff person and when that person would be required (what part of implementation). Proposers should provide this information in Table 5.
NOTE - In consideration of the overall implementation scope of work, the City expects staff to be available approximately 40% of the time. As such, the Proposer team’s implementation hours should be estimated accordingly. If this number changes, the City reserves the right to negotiate the amount of time to be provided by Proposer resources.
City of Yuba City RFP for ERP System and Implementation Services
Table 5 – Roles and Level of Effort
Phase Task Start and
End Date
Proposer Staff
Role
City Staff
Role
Task
Hours
Work Split
(%
Proposer/
% City)
City of Yuba City RFP for ERP System and Implementation Services
Describe the data conversion strategy, including what data should be converted, the number of years to convert, and the conversion methodology (extract, transform, and load). Describe previous experience with converting data. Describe the training methodology/approach and how you ensure users are prepared to utilize the proposed solution. Include a description of how you address different learning styles (classroom, online, hands-on, etc.). The City may or may not be able to support the train-the-trainer approach, so Proposers are to identify alternatives (e.g.
Proposer led training) and any related costs in RFP Appendix C – Price Sheets. The City also expects the Proposer to develop training materials tailored specifically for the City to support the training effort.
Describe testing methodology/approach, including the criteria, methods, and timing to ensure successful completion of user acceptance testing (UAT) prior to go live. Identify the specific roles/responsibilities pertaining to City staff vs. Proposer staff. The City expects the Proposer to develop the UAT plan and related test scripts, as well as any other testing materials necessary to support the testing effort, so Proposers are to identify any related costs in RFP Appendix C – Price Sheets.
The Implementation Approach and Work Plan section should not exceed fifteen (15) pages, excluding the project schedule.
Section 7 – Ongoing Maintenance and Support
7.1– Help Desk
Help desk location(s), staffing, ticketing system utilized, processes, and procedures Ticket prioritization, response time commitments, and escalation procedures Support hours (in Pacific Time)
Number of help tickets per year and average resolution time by priority level
7.2 – System Monitoring
Describe how the system will be monitored and how and when the City will be informed of system performance issues, etc.
7.3– Post-Implementation Evaluation Report (PIER)
Proposers must develop one PIER six months after the Finance implementation and one six months after the HR implementation. Describe how Proposer would support these PIER assessments, including the expected PIER content, how gaps in system utilization would be identified, and how those gaps would be addressed through additional training [minimum one full week (40 hours) of Proposer led, onsite training after each of the two implementations].
7.4 – Application Upgrades
Describe the upgrade process, including:
o Identify the frequency of upgrades over the past two (2) years o Identify the typical upgrade schedule
o Describe the testing performed on potential upgrades
o Describe how upgrades would be performed
o Describe any downtime related to upgrades
City of Yuba City RFP for ERP System and Implementation Services
o Describe how the City would be notified of such upgrades and how much lead time would be provided
o Describe the City’s ability to delay, test, accept, and/or deny applying upgrades
7.5– Change Management (post implementation)
Describe the post-implementation Change Management process
7.6 – User Groups/Conferences
Identify any solution user groups and/or user conferences including frequency and location of events, topics, etc.
The Ongoing Maintenance and Support section should be no longer than ten (10) pages.
Section 8 – Pricing
The City seeks a clear and comprehensive understanding of all costs associated with the implementation and ongoing maintenance of the proposed system.
To address pricing, the City will provide a copy of RFP Appendix B – Price Sheets - in MS Excel. To address this section, Proposers must complete all the price sheets in Appendix B.
Proposers must itemize all costs associated with the implementation and ongoing maintenance. The City will evaluate information based on the “Total Cost to Implement (TCI)” and the “Total Cost to Operate (TCO).” TCI will include all costs required for a successful implementation. The TCO will be calculated based on TCI plus five (5) years of annual hosting fees.
The Proposer’s implementation pricing must identify all costs required to include:
Implementation Services
Project management
Software configuration
Data conversion and migration
Interface development
Training and documentation
Testing
Go-Live
Travel
The Proposer’s ongoing hosting (SaaS) prices should clearly identify the annual costs for five (5) years to include:
Hosting
Post Implementation Evaluation Report (PIER) and associated training (one six months after the Financial implementation and one six months after the HR implementation) The City will evaluate Proposer price information based solely off the information provided in Appendix B. Appendix B includes space for Proposers to identify any assumptions or comments that will ensure the City understands what is being proposed.
NOTE: In their assumptions, Proposer’s must identify when the ongoing hosting costs are due and payable for their SaaS solutions.
City of Yuba City RFP for ERP System and Implementation Services
Section 9 – Software Licensing and Maintenance Agreements To address this section, the Proposer must provide any software licensing and maintenance agreements that will be required to implement the Proposer’s solution. 6 Proposal Evaluation
A City Evaluation Committee will review all information to determine which Proposers have qualified for consideration. The evaluation will include at least an initial administrative review and a subsequent detailed review. The administrative review will evaluate all submissions for conformance to stated specifications in order to eliminate any responses that deviate substantially from the basic intent and/or fail to satisfy the mandatory requirements. Only those that meet or exceed the intent of the mandatory requirements will be further evaluated.
Submitted proposals will be evaluated on the following criteria:
Quality, clarity, and responsiveness of proposal
Ability to meet the needs of the City
Well thought out timeline and roadmap for “go live” with a phased approach Proven technical ability to design, install, and support the proposed system Demonstrated ability to work in a cooperative and collaborative manner with clients Anticipated value and price
Perceived risk or lack thereof
Company financial stability
References for each application proposed
Results of interviews, demonstrations, and site visits Ability to prepare and execute a contract in a timely manner Commitment to continually evolving the system to remain current with evolving best practices The City reserves the right, at its sole discretion, to request clarifications of proposals or to conduct discussions for the purpose of clarification with any or all Proposers. The purpose of any such discussions shall be to ensure full understanding of the proposal. Discussions shall be limited to specific sections of the proposal identified by the City and, if held, shall be after initial evaluation of proposal is complete. If clarifications are made as a result of such discussion, the Proposer shall put such clarifications in writing.
City of Yuba City RFP for ERP System and Implementation Services
7 Proposal Evaluation
7.1 Collusion
By submitting a response to the RFP, each Proposer represents and warrants that its response is genuine and made in the interest of or on behalf of any person not named therein; that the Proposer has not directly induced or solicited any other person to submit a sham response or any other person to refrain from submitting a response; and that the Proposer has not in any manner sought collusion to secure any improper advantage over any other person submitting a response.
7.2 Gratuities
No person will offer, give or agree to give any City employee or its representatives any gratuity, discount or offer of employment in connection with the award of contract by the City. No City employee or its representatives will solicit, demand, accept or agree to accept from any other person a gratuity, discount or offer of employment in connection with a City contract.
7.3 Required Review and Waiver of Objections by Proposers Proposers should carefully review this RFP and all attachments, including but not limited to the Standard Professional Services Agreement, for comments, questions, defects, objections, or any other matter requiring clarification or correction (collectively called “comments”). Comments concerning RFP objections must be made in writing and received by the City no later than the "Deadline for Proposal Questions" detailed in Table 1 - RFP Timeline. This will allow issuance of any necessary amendments and help prevent the opening of defective information upon which contract award could not be made.
Protests based on any objection will be considered waived and invalid if these faults have not been brought to the attention of the City, in writing, by the Deadline for Proposal Questions.
7.4 Nondiscrimination
No person will be excluded from participation in, be denied benefits of, be discriminated against in the admission or access to, or be discriminated against in treatment or employment in the City’s contracted programs or activities on the grounds of disability, age, race, color, religion, sex, national origin, or any other classification protected by federal or California State Constitutional or statutory law; nor will they be excluded from participation in, be denied benefits of, or be otherwise subjected to discrimination in the performance of contracts with the City or in the employment practices of the City’s contractors.
Accordingly, all Proposers entering into contracts with the City will, upon request, be required to show proof of such nondiscrimination and to post in conspicuous places, available to all employees and applicants, notices of nondiscrimination.
7.5 Proposal Preparation Costs
The City will not pay any costs associated with the preparation, submittal, or presentation of any proposal.
7.6 Proposal Withdrawal
To withdraw a proposal, the Proposer must submit a written request, signed by an authorized representative, to the RFP Coordinator (Section 1.4). After withdrawing a previously submitted proposal, the Proposer may submit another proposal at any time up to the Deadline for Proposal Submission.
City of Yuba City RFP for ERP System and Implementation Services
7.7 Proposal Errors
Proposers are liable for all errors or omissions contained in their information. Proposers will not be allowed to alter proposal documents after the Deadline for Proposal Submission.
7.8 Incorrect Proposal Information
If the City determines that a Proposer has provided, for consideration in the evaluation process or contract negotiations, incorrect information which the Proposer knew or should have known was materially incorrect, that proposal will be determined non-responsive, and the proposal will be rejected.
7.9 Prohibition of Proposer Terms and Conditions
A Proposer may submit the Proposer's own contract terms and conditions in a response to this RFP.
7.10 Assignment and Subcontracting
The Contractor may not subcontract, transfer, or assign any portion of the contract without prior, written approval from the City. Each subcontractor must be approved in writing by the City. The substitution of one subcontractor for another may be made only at the discretion of the City and with prior, written approval from the City.
Notwithstanding the use of approved subcontractors, the Proposer, if awarded a contract under this RFP, will be the prime contractor and will be responsible for all work performed and will be responsible for all costs to subcontractors for services provided by the Proposer. Proposer shall be the single point of contact for support of all components in the proposed solution. The Proposer is prohibited from performing any work associated with this RFP or using contractors for any service associated with this RFP offshore (outside the United States).
7.11 Right to Refuse Personnel
A Proposer shall be an independent contractor to the City and shall be responsible for the management of its own employees and ensuring the quality of services under any agreement with the City. Failure to properly manage employees may result in termination of the agreement for cause. The Proposer shall promptly remedy any personnel issues brought to its attention by the City that affect the Proposer’s performance of the requested services, including if necessary, dismissing affected personnel.
7.12 Proposal of Additional Services
If a Proposer indicates an offer of services in addition to those required by and described in this RFP, these additional services may be added to the contract before contract signing at the sole discretion of the City.
7.13 Licensure
Before a contract pursuant to this RFP is signed, the Proposer must hold all necessary, applicable business and professional licenses. The City may require any or all Proposers to submit evidence of proper licensure.
City of Yuba City RFP for ERP System and Implementation Services
7.14 Conflict of Interest and Proposal Restrictions
By submitting a response to the RFP, the Proposer certifies that no amount will be paid directly or indirectly to an employee or official of the City as wages, compensation, or gifts in exchange for acting as an officer, agent, employee, subcontractor, or consultant to the Proposer in connection with the procurement under this RFP.
Notwithstanding this restriction, nothing in this RFP will be construed to prohibit another governmental entity from making a proposal, being considered for award, or being awarded a contract under this RFP.
Any individual, company, or other entity involved in assisting the City in the development, formulation, or drafting of this RFP or its scope of services will be considered to have been given information that would afford an unfair advantage over other Proposers, and said individual, company, or other entity may not submit a proposal in response to this RFP.
7.15 Contract Negotiations
After a review of the information and completion of the demonstration and proof-of-capabilities (POC), the City intends to enter into contract negotiations with the selected Proposer. These negotiations could include all aspects of services and fees. If a contract is not finalized in a reasonable period of time, the City will open negotiations with the next ranked Proposer.
7.16 Execution of Contract
If the selected Proposer does not execute a contract with the City within forty-five (45) business days after notification of selection, the City may give notice to that service provider of the City’s intent to select from the remaining Proposers or to call for new information, whichever the City deems appropriate.
7.17 Right of Rejection
The City reserves the right, at its sole discretion, to reject any and all information or to cancel this RFP in its entirety.
Any proposal received which does not meet the requirements of this RFP may be considered to be nonresponsive, and the proposal may be rejected. Proposers must comply with all of the terms of this RFP and all applicable State laws and regulations. The City may reject any proposal that does not comply with all of the terms, conditions, and performance requirements of this RFP.
Proposers may not restrict the rights of the City or otherwise qualify their information. If a Proposer does so, the City may determine the proposal to be a nonresponsive counter offer, and the proposal may be rejected.
The City reserves the right, at its sole discretion, to waive variances in technical information provided such action is in the best interest of the City. Where the City waives minor variances in information, such waiver does not modify the RFP requirements or excuse the Proposer from full compliance with the RFP.
Notwithstanding any minor variance, the City may hold any Proposer to strict compliance with the RFP.
7.18 Disclosure of Proposal Contents
All information and other materials submitted in response to this RFP procurement process become the property of the City. Selection or rejection of a proposal does not affect this right. All proposal information, including detailed price and cost information, will be held in confidence during the evaluation process. Upon the completion of the evaluation of information, the information and associated materials will be open for review by the public to the extent allowed by the California Public
City of Yuba City RFP for ERP System and Implementation Services
Records Act, (Government Code Section 6250-6270 and 6275-6276.48). By submitting a proposal, the Proposer acknowledges and accepts that the contents of the proposal and associated documents will become open to public inspection.
7.19 Proprietary Information
The master copy of each proposal will be retained for official files and will become public record after the award of a contract unless the proposal or specific parts of the proposal can be shown to be exempt by law (Government code §6276). Each Proposer may clearly label part of a proposal as "CONFIDENTIAL" if the Proposer thereby agrees to indemnify and defend the City for honoring such a designation. The failure to so label any information that is released by the City will constitute a complete waiver of all claims for damages caused by any release of the information.
7.20 Severability
If any provision of this RFP is declared by a court to be illegal or in conflict with any law, the validity of the remaining terms and provisions will not be affected; and, the rights and obligations of the City and Proposers will be construed and enforced as if the RFP did not contain the particular provision held to be invalid.
7.21 RFP and Proposal Incorporated into Final Contract
This RFP and the successful proposal will be incorporated into the final contract.
7.22 Proposal Amendment
The City will not accept any amendments, revisions, or alterations to information after the Deadline for Proposal Submission unless such is formally requested, in writing, by the City.
7.23 Consultant Participation
The City reserves the right to share with any consultant of its choosing this RFP and proposal responses in order to secure a second opinion. The City may also invite said consultant to participate in the Proposal Evaluation process.
7.24 Warranty
The selected Proposer will warrant that the proposed software will conform in all material respects to the requirements and specifications as stated in this RFP, demonstrated in both the software demonstration and subsequent proof-of-capabilities. Further, that the requirements as stated in this RFP will become part of the selected Proposer’s license and the Proposer will warrant to the requirements. The selected Proposer must warrant that the content of its proposal accurately reflects the software's capability to satisfy the functional/technological requirements as included in this RFP.
Furthermore, the warranty, at a minimum, should be valid for the duration of the implementation and until final acceptance (as will be defined during the negotiation process) of all application modules included in the implementation.
7.25 Rights of the City
The City reserves the right to:
Make the selection based on its sole discretion
Reject any and all information
City of Yuba City RFP for ERP System and Implementation Services
Issue subsequent Requests for Proposal
Postpone opening proposals, if necessary, for any reason Remedy errors in the Request for Proposal process
Approve or disapprove the use of particular subcontractors Negotiate with any, all, or none of the Proposers
Accept other than the lowest offer
Waive informalities and irregularities in the proposal Enter into an agreement with another Proposer in the event the originally selected Proposer defaults or fails to execute an agreement with the City An agreement will not be binding or valid with the City unless and until it is approved by the City Council and executed by authorized representatives of the City and of the Proposer.
City of Yuba City RFP for ERP System and Implementation Services
8 Appendix A – Requirements
The Requirements are provided separately as Appendix A – Requirements as a Word document. 9 Appendix B – Price Sheets
The Price Sheets are provided separately as Appendix B – Price Sheets as an Excel document. 10 Appendix C – City Standard Agreement
The City Standard Agreement is provided separately as Appendix C – City Standard Agreement as a PDF.
ERP RFP Appendix A – Requirements
City of Yuba City 1 Table of Contents INTRODUCTION ................................................................................................................................................................................................ 4 GENERAL ..................................................................................................................................................................................................... 5 USER INTERFACE ........................................................................................................................................................................................... 5WORKFLOW ................................................................................................................................................................................................ 6DOCUMENT MANAGEMENT ............................................................................................................................................................................ 7REPORTING AND ANALYSIS ............................................................................................................................................................................. 7 FINANCE .................................................................................................................................................................................................... 10 GENERAL LEDGER/ACCOUNTING .................................................................................................................................................................... 10 GENERAL ......................................................................................................................................................................................................................... 10 CHART OF ACCOUNTS ........................................................................................................................................................................................................ 11 JOURNAL PROCESSING ....................................................................................................................................................................................................... 12 BANK RECONCILIATION ...................................................................................................................................................................................................... 12 CLOSING ......................................................................................................................................................................................................................... 13 COST ALLOCATION ............................................................................................................................................................................................................ 14 REPORTING ..................................................................................................................................................................................................................... 15 BUDGETING (OPTIONAL) .............................................................................................................................................................................. 15 GENERAL ......................................................................................................................................................................................................................... 15 REPORTING ..................................................................................................................................................................................................................... 18 VENDOR MANAGEMENT .............................................................................................................................................................................. 18 GENERAL ......................................................................................................................................................................................................................... 18 REPORTING ..................................................................................................................................................................................................................... 20 PROCUREMENT/PURCHASING ....................................................................................................................................................................... 21 REQUISITIONS .................................................................................................................................................................................................................. 21 ENCUMBRANCES .............................................................................................................................................................................................................. 22 PURCHASE ORDERS ........................................................................................................................................................................................................... 22 CAL-CARDS ..................................................................................................................................................................................................................... 23
ERP RFP Appendix A – Requirements
City of Yuba City 2 YEAR END ....................................................................................................................................................................................................................... 24 REPORTING ..................................................................................................................................................................................................................... 25 CONTRACT MANAGEMENT ........................................................................................................................................................................... 25ACCOUNTS PAYABLE ................................................................................................................................................................................... 26 GENERAL ......................................................................................................................................................................................................................... 26 INVOICE RECEIPT/ENTRY .................................................................................................................................................................................................... 26 PAYMENT CALCULATION .................................................................................................................................................................................................... 27 PAYMENT PROCESS ........................................................................................................................................................................................................... 27 CHECK GENERATION ......................................................................................................................................................................................................... 28 EMPLOYEE EXPENSE REPORTING .................................................................................................................................................................... 28FIXED ASSET ACCOUNTING ........................................................................................................................................................................... 29 GENERAL ......................................................................................................................................................................................................................... 29 REPORTING ..................................................................................................................................................................................................................... 30 GENERAL BILLING/ACCOUNTS RECEIVABLE ....................................................................................................................................................... 30 GENERAL ......................................................................................................................................................................................................................... 30 REPORTING ..................................................................................................................................................................................................................... 32 CASH RECEIPTS (CASHIERING)...................................................................................................................................................................... 32 GENERAL ......................................................................................................................................................................................................................... 32 REPORTING ..................................................................................................................................................................................................................... 34 PROJECT AND GRANT ACCOUNTING .............................................................................................................................................................. 34 HUMAN RESOURCES ................................................................................................................................................................................. 36 POSITION CONTROL .................................................................................................................................................................................... 36RECRUITING (OPTIONAL) .............................................................................................................................................................................. 36 GENERAL ......................................................................................................................................................................................................................... 36 REPORTING ..................................................................................................................................................................................................................... 37 ONBOARDING (OPTIONAL) ............................................................................................................................................................................ 37EMPLOYEE MASTER FILE .............................................................................................................................................................................. 38 GENERAL ......................................................................................................................................................................................................................... 38 REPORTING ..................................................................................................................................................................................................................... 39 BENEFITS ADMINISTRATION .......................................................................................................................................................................... 40 GENERAL ......................................................................................................................................................................................................................... 40 REPORTING ..................................................................................................................................................................................................................... 41 LEAVE ADMINISTRATION .............................................................................................................................................................................. 41
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PERSONNEL ACTIONS................................................................................................................................................................................... 42TRAINING AND CERTIFICATIONS ..................................................................................................................................................................... 43PERFORMANCE REVIEWS (OPTIONAL) ............................................................................................................................................................. 43 EMPLOYEE SELF SERVICE (ESS) .................................................................................................................................................................... 44PAY ADMINISTRATION ............................................................................................................................................................................... 45 GENERAL ......................................................................................................................................................................................................................... 45 REPORTING ..................................................................................................................................................................................................................... 47 TIME ENTRY ............................................................................................................................................................................................ 48 GENERAL ......................................................................................................................................................................................................................... 48 REPORTING ..................................................................................................................................................................................................................... 49 PAYROLL PROCESSING................................................................................................................................................................................ 50 GENERAL ......................................................................................................................................................................................................................... 50 PAYSTUB ......................................................................................................................................................................................................................... 51 REPORTING ..................................................................................................................................................................................................................... 52 SEPARATION/OFFBOARDING ....................................................................................................................................................................... 53 TECHNICAL ................................................................................................................................................................................................ 54 GENERAL .................................................................................................................................................................................................. 54REGULATORY COMPLIANCE/CERTIFICATIONS .................................................................................................................................................... 54SYSTEM AND DATA SECURITY ........................................................................................................................................................................ 55INTEROPERABILITY/SYSTEM INTERFACE ........................................................................................................................................................... 55DATA STORAGE .......................................................................................................................................................................................... 57DATA BREACHES AND AUDIT LOGGING ............................................................................................................................................................ 58DISASTER RECOVERY ................................................................................................................................................................................... 59
ERP RFP Appendix A – Requirements
City of Yuba City 4 Introduction As stated in RFP Section 4.2, Proposers must use this document to respond to the ERP requirements included herein. Proposers must respond to all of the requirements. Proposers must respond to each of these requirements with one of the following response codes:
Y – Meets Requirement N – Does Not Meet Requirement F – Planned for future release W/C – Workaround Proposed or Customization Needed to Meet Requirement T – Third-Party Solution to Meet Requirement
Note that response codes “Y” and “N” do not require written responses.
However, the other response codes “F,” “W/C,” and “T” do require written responses. For these codes, Proposers must describe how the requirement will be met in the “Response/Comment” column. For response code “F,” Proposers must provide a statement indicating the release number and date as to when the release is scheduled to occur. For response code “W/C,” Proposers must provide a statement indicating when any customization will be completed. For response code “T,” Proposers must describe the third-party solution, who is to support the implementation of it, and how and by whom the interface will be completed. Some requirements are marked “optional” (Budgeting, Recruiting, Onboarding and Performance Reviews), which means the City may or may not purchase them. Even though this is the case, proposers must respond to these requirements with the codes defined above, and ensure these requirements are accounted for in the Price Sheets. Note that while the costs for these need to be accounted for in the Pricing Sheets, since they are optional, they should be separate and not included in the total.
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City of Yuba City 5
General
User Interface
# Requirement Response Code Response/Comments
Provides a browser-based user interface Supports mobile technologies (e.g. smartphones, tablets) Provides the ability to drill-down and drill-across from a transaction view to the supporting source data and documents Provides fully integrated functionality such that data is entered only one-time and available throughout the system(s) modules and available in near real time (single-points of data entry) to eliminate re-keying of information Provides organized screen layouts (dashboards) that can be modified and made unique by each user Provides shortcuts for frequently accessed processes, screens, reports, etc. Provides search functions that reach across all applications and attachments Provides online help that is context sensitive and content appropriate with manuals also available for download Provides auto population of fields based on entry of information in another field across all modules (i.e. entering a PO number will automatically fill in vendor information) Allows user to enter effective date of transactions throughout modules including future and past dates (based on defined security roles)
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City of Yuba City 6
Workflow
# Requirement Response Code Response/Comments
Provides integrated workflow management including generation, routing, notification and approval or rejection of forms, reports, other documents and processes (e.g. payable processing, purchase order requisitions, GL transactions, HR transactions, time entry, payroll processing, budgeting, personnel action forms, etc.) for all modules Supports rules-based workflow routing to multiple approvers that can be concurrent or consecutive with prioritization, alerts, and electronic signatures Provides ability to establish multiple approval levels based on user-defined criteria (e.g. dollar amounts, types of items purchased, document types, etc.) Allows out of office approval delegation Integrates with the email system to assist in the notification/request of approvals, reject, corrections, and approval through/from email and mobile devices Allows document attachment for review through all levels of workflow approval for all core modules Provides rule-based alerts (including e-mail) for pastdue workflow items Provides user visibility of workflow queue for items within the system
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City of Yuba City 7
Document Management
# Requirement Response Code Response/Comments
Provides the ability to create, store, and retrieve electronic images (e.g. purchase orders, payroll checks, accounts payable invoices, etc.) that are attached to the appropriate transaction record for all modules Supports multiple media formats (e.g. audio, video, image, etc.) and file types (e.g. Excel, Word, PDF, etc.) Offers drill-down/drill across features for users to view documents associated with financial, payroll, and personnel transactions Supports document scanning and attachment and makes documents accessible throughout all modules (i.e. requisition, purchase order, packing slips, accounts payable, budget, onboarding, leave, etc.) Reporting and Analysis
# Requirement Response Code Response/Comments
Provides a user-friendly inquiry and reporting tool that does not require specialized knowledge or training Provides modeling tools to do ‘what if’ analysis and forecasting (i.e. analysis of revenue/expenditure trends and the ability to develop forecast projections) Processes transactions in real-time and are immediately available for inquiry and reporting Allows users to drilldown from reports and inquiries to source transaction
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City of Yuba City 8
# Requirement Response Code Response/Comments
Provides full integration with MS Excel for all modules (e.g. worksheet export to Excel, data imported from Excel, etc.) and allows users to export reports to Excel that include formulas/formatting Provides the ability to copy and customize standard reports Provides the ability for reports to access data across all modules Provides the ability to create report notification groups and inform/alert groups when a new report is available Provides the ability to choose a format when exporting a report (e.g. Excel, Adobe, flat file, delimited, etc.) Provides the ability for a dashboard/scorecard to include, at a minimum, user defined metrics, key performance indicators (KPIs), reports, charts, etc. Provides the ability for reporting to be based on user security setting Provides the ability to save and “publish” ad hoc reports for use by report author and others, and to generate these automatically at desired intervals Provides the ability to report/query on any field within an application Allows for multiple output options (e.g. display, print, email, etc.) Provides the ability to automatically run scheduled reports for distribution to a group or individuals. Provides the ability to define report from/to dates, including dates across multiple fiscal years Provides the ability to obtain summary level or detail level reports
ERP RFP Appendix A – Requirements
City of Yuba City 9
# Requirement Response Code Response/Comments
Provides the ability to define sorting parameters for reports (i.e. by date, department, fund, etc.) Provides the ability to stay current with changes in State and Federal payroll reporting requirements
ERP RFP Appendix A – Requirements
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Finance
General Ledger/Accounting
General
# Requirement Response Code Response/Comments
Supports accrual, modified accrual, and cash accounting methods Provides support for project accounting that crosses multiple fiscal years Maintains accounts for transactions via elements such as fund, sub-fund, department, division, program, project, object, or any other element needed to meet the needs of the City Supports posting of transactions individually and/or in summary to the general ledger regardless of the transaction source ensuring each entry is balanced and auditable Provides a message/warning if transactions are not balanced Creates appropriate entries needed at the end of a period and for purposes of opening a new period (e.g. rolling forward account balances or reversing certain year end entries) Provides the ability to add notes/comments to transactions that post to the GL Enforces rules for entry validation based on roles at departmental/user level to prevent incorrect account coding Captures multiple dates (e.g. transactional, posting, data entry, etc.)
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City of Yuba City 11
# Requirement Response Code Response/Comments
Provides pooled cash accounting from multiple funds to a single bank account Provides the ability to manage and reconcile multiple bank accounts and to transfer funds between the accounts Provides the ability to automate fund account allocations for certain transactions Allows multiple periods to be open at the same time Chart of Accounts
# Requirement Response Code Response/Comments
Supports a flexible COA structure with room for growth within each field and expanded use of segments in the future Provides the ability to support the City as paying agent for Narcotics enforcement, LAFCO, Sutter Butte Flood Control Agency, and Sutter Animal Control Provides ability to reclassify the COA as necessary in support of organizational changes without having to create an entirely new COA Accommodates potential City department reorganization by mapping historical transactional data across old to new account structures
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Journal Processing
# Requirement Response Code Response/Comments
Supports the following journal processing capabilities: one-time, standing, automated recurring, allocations & distributions, automatic reversals (accruals), imports, and corrections Identifies the source of journals (e.g. budget, subsystem, import, etc.) Manages due to/due from transactions Allows multiple options for creating a journal (e.g. onscreen, import from Excel, copy a prior journal, etc.) Provides multiple description fields for the Journal Entries (i.e. long, short, free form, etc.) and document attachment Provides the ability to search for posted journal entries by date, keyword, creator, etc. Provides the ability to save work in process and return to it at another date/time Prevents the use of Journal Entry numbers Provides the ability to attach and view supporting documents for journal entries Bank Reconciliation
# Requirement Response Code Response/Comments
Provides the ability to manage and automate reconciling of multiple bank accounts, including check clearing, stop pays, and credit cards Provides the ability to transfer funds between bank accounts
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City of Yuba City 13
# Requirement Response Code Response/Comments
Provides the ability to allocate interest, with weighting, to appropriate funds Provides the ability to manage and automate reconciling of multiple bank accounts, including check clearing, stop pays, and credit cards Provides the ability to transfer funds between bank accounts Provides the ability to allocate interest, with weighting, to appropriate funds Tracks cash balances on all funds by sub-fund and project Automatically calculates and allocates interest earnings based on average daily balance and included interest charges for negative balances Allows user-defined interest allocation methodology Provides the ability for interest to be posted to a different fund/sub-fund from earning source Provides for positive pay support with bank integration Closing
# Requirement Response Code Response/Comments
Supports period end soft close processes (i.e. secures new entries to a closed accounting period for specific modules) Provides automated year-end closing of revenue and expenditure accounts and the automated roll forward of balance sheet accounts (as appropriate) to establish and maintain subsequent year beginning balances
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City of Yuba City 14
# Requirement Response Code Response/Comments
Allocates interest earning, gain/loss on investments,
and expenses as a percentage of daily cash balances, prepares journals of the allocations for review and posting Allows multiple year-end closings periods (i.e. period 13, period 14, etc.) Cost Allocation
# Requirement Response Code Response/Comments
Provides the ability to allocate total costs related to aninternal service fund or activity across multiple departments / divisions based on user defined factors
(i.e. employee count; square feet of office space; number of desktop computers)
Provides the ability to bill from adepartment/division/project to another department/division/project or within a department
Provides the ability to select specific revenue andexpenditure accounts to be compiled for future allocation/billing
Provides the ability to generate a scheduled (monthly,quarterly, annually) journal voucher for the allocations/billings
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Reporting
# Requirement Response Code Response/Comments
Provides automated month-end reportingProvides the ability to categorize and summarize transactional data in support of the Comprehensive
Annual Financial Report (CAFR)
Provides automated, flexible, and efficient month‐
end, quarterly and year‐end reports
Provides the ability to download transaction data to
and upload data from Microsoft Excel
Provides the ability to drill down into transaction
data to view transaction details and relatedtransactions Provides a report to assist Journal Entryapproval/review and includes GL accounts and names, amounts, descriptions, etc.
Budgeting (optional)
General
# Requirement Response Code Response/Comments
Supports multiple budgeting methods (e.g. zero base, program base, line-item, rollover, etc.) Calculates projected fund balances automatically (reflecting projected reserves, revenues, expenses and inter-fund transfers that would result in an ending fund balance) Allows users to change key underlying assumptions to impact forecasts
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City of Yuba City 16
# Requirement Response Code Response/Comments
Provides an automated electronic budget process with decentralized entry, workflow, and related notifications/alerts Supports tracking budget revisions and mid-year amendments (e.g. mid-year estimates calculated by Departments) Supports multiple budget years for expenditures, revenue, and projections Supports Capital Improvement Planning, Project, and Grant budgeting Tracks various budget versions (i.e. Submitted, Proposed, Amended, Approved), etc. Provides the option to initiate budgets as zerobased, with historical data (e.g. last year’s actuals) or with increasing/decreasing factors down to the object level Allows departmental entry of justifications and background data (including attachments) related to requests; this information must stay with line item entries through budget level-up cycles Processes mass changes to various accounts during budget process such as a reorganization, rates changes, etc. Offers the ability to control budget rollups at multiple levels, including mid-year estimates Offers the ability to add/delete/reallocate/shift positions and update proposed budgets in real-time Allocates employee costs by percentage to multiple accounts
ERP RFP Appendix A – Requirements
City of Yuba City 17
# Requirement Response Code Response/Comments
Utilizes position control to facilitate personnel budget development Automates roll-forward for selected operational and multi-year Capital Improvement Plan (CIP) project budgets Provides modeling for “what if” scenarios and forecasting tools for 5 and 10 Year Budget/Cash Flow Projections Provides an ability to apply “what if”/factor scenarios across funds, departments, programs, and/or objects as designated by staff Offers the ability to restrict staff access, through security/rights, to specific funds, departments, objects, and/or object categories Provides the ability to budget capital projects as single year or multiple years Provides the ability to define and use statistics (e.g. invoices paid, recruitments completed, etc.) as performance measurements Provides status tracking relative to departmental budget approvals Offers the ability to define a maximum budget amount per funds, department, division, object, and report against the defined maximum Provides multi-year budgeting, object, justification, description, etc. fields for each budgeting year Allows negative amounts to be entered
ERP RFP Appendix A – Requirements
City of Yuba City 18
Reporting
# Requirement Response Code Response/Comments
Provides the ability to generate a statement of special fund activity (projected fund balance with current appropriations) Provides the ability to report/inquire by organization budget, amended budget, year-to-date budget, etc. Provides the ability to report on justification comments by budget line item Offers the ability to see budget-to-actuals in realtime with drill-down capabilities Supports publication of the “annual budget document” via direct leveraging of system outputs/forms/reports Provides full integration with MS Excel for budget development (e.g. worksheet export to Excel, data imported from Excel, Excel-based forecasting, etc.) Vendor Management
General
# Requirement Response Code Response/Comments
Provides the ability to maintain vendor information to process payments Supports auto-numbering of vendors Provides the ability to categorize vendors by type Provides the ability to auto-generate vendor descriptions by type Supports decentralized vendor entry with workflow to approve vendor prior to availability for use
ERP RFP Appendix A – Requirements
City of Yuba City 19
# Requirement Response Code Response/Comments
Provides the ability to attach supporting documentation Provides the ability to add notes to a vendor record Provides the ability to identify vendors as active or inactive Provides the ability to view changes to vendor records (i.e. address, name, phone, etc.) Provide workflow to approve vendor changes Provides the ability to track insurance requirements and related certificates needed for doing business with the City Ensures a W-9 is on file prior to setting up a PO or contract encumbrance Identifies the last time a W-9 form was updated Prevents duplicate entry of vendor records Notifies staff if insurance requirements are near/past expiration Supports multiple remittance addresses for a vendor Provides the ability to check any contracts and PO’s associated with a vendor
ERP RFP Appendix A – Requirements
City of Yuba City 20
# Requirement Response Code Response/Comments
Provides a vendor self-service portal with functions that include:
Provide vendor related forms online Submit requests to become “registered” vendors
Register to receive notifications for formal
bids, and download information and upload bids accordingly Check invoice/payment status View appropriate transactional history associated with purchase orders (POs)
Make changes to address, phone, primary
contact, etc.
Ability to submit and track submitted
documents
Provides appropriate levels of security to ensure vendor information is secure Reporting
# Requirement Response Code Response/Comments
Provides the ability to report on payments made to a vendor in a specific year Supports CA Employment Development Department (EDD) reporting requirements (cumulative payments over $600 within a given year) for independent contractors
ERP RFP Appendix A – Requirements
City of Yuba City 21
Procurement/Purchasing
Requisitions
# Requirement Response Code Response/Comments
Provides the ability to configure alerts (percentage/dollar-based) when an invoice (or combination of invoices) is on the verge of exceeding the approved PO amount or the approved budget Enforces the purchasing policy rules for “Open Market” purchases (i.e. under policy thresholds that do not require a PO), general purchases, informal bidding, formal bidding, authority limits, sole source, and emergency purchasing procedures Performs budget checking during requisition, PO creation, and invoice processing Supports the purchase of recurring services by automatically generating a requisition/PO based on pre-established criteria (e.g. health insurance, cleaning services, and leased vehicles) Provides the ability to categorize a requisition as “in review” Provides the ability to hold a requisition before turning it into a PO Provides the ability to attach supporting documentation to requisitions Provides the ability to enter notes or comments on a requisition Provides the ability to indicate a requisition as a Fixed Asset Provides the ability to pre-populate requisition fields as applicable
ERP RFP Appendix A – Requirements
City of Yuba City 22
# Requirement Response Code Response/Comments
Provides the ability to capture various units of measure Provides the ability to ID a requisition as taxable or non-taxable Encumbrances
# Requirement Response Code Response/Comments
Provides the ability to pre-encumber/encumber requisitions and purchases, and the ability to override transactions that fail budget check When a requisition or PO is cancelled, or closed, automatically reverses pre-encumbrance and encumbrance amounts as appropriate Provides the ability to encumber service and construction contracts to separate numbers for PO Purchase Orders
# Requirement Response Code Response/Comments
Provides the ability to have a single PO associated with multiple departments and/or funding sources (i.e. cross department PO’s) Supports recurring/routine departmental PO’s based on dollar limits Supports annual, blanket, multi-department PO types Supports multiple line items per PO with the option of associating different GL accounts with each line Captures internal or external justifications, notes, or comments on PO; internal comments must only be visible to staff
ERP RFP Appendix A – Requirements
City of Yuba City 23
# Requirement Response Code Response/Comments
Limits which users are authorized to override established PO limits Provides near real-time expense tracking on all PO’s, including blanket PO’s Prevents a PO from being issued to an inactive vendor Provides options for distributing the PO (e.g. printmail, email, etc.) Provides the ability to re-open a purchase order that has been closed including recording the encumbrance (for current, not past FY) CAL-Cards
# Requirement Response Code Response/Comments
Supports management and staff utilization of CALCards Provides the ability to capture card issuance details Supports the ability to exclude items from CAL-Card purchases (e.g. entertainment, gas, meals, etc.) Supports single purchase and overall transaction limits as indicated in the City’s CAL-Card Procedures Document Allows for CAL-Card single purchase and monthly limits to be increased on either a temporary or permanent basis and provide workflow approvals of limit increases Provides the ability to flag sales tax Provides the ability to scan and attach receipts Provides mobile access for the uploading of receipts
ERP RFP Appendix A – Requirements
City of Yuba City 24
# Requirement Response Code Response/Comments
Supports interface with US Bank for CAL-Card statements, reconciliation, and monthly payments from City to bank Provides automated notification to staff when statements are received from US Bank Provides the ability to assign purchases to different GL accounts Provides approval workflow (based on City’s Purchasing Policy) for purchase approvals Provides the ability to close CAL-Card transactions on a monthly basis Year End
# Requirement Response Code Response/Comments
Defines close and roll-over dates at system and module level Supports the maintenance of open POs over multiple years Supports year-end activities such as conditional PO closure and the ability to roll purchase orders to the new fiscal year Ensures old year GL reflects PO and encumbrance balances after roll-forward Supports rolling of PO to different account number in the new year Automates PO rollover process for individual or groups of POs including appropriate treatment of carryover budget amounts Allows users to enter POs for the new fiscal year prior to the start of that fiscal year
ERP RFP Appendix A – Requirements
City of Yuba City 25
Reporting
# Requirement Response Code Response/Comments
Provides the ability to report/inquire on funds encumbered to date Provides the ability to report “large” PO’s for a specific time period Provides the ability to report on P-Card exception items and trends Contract Management
# Requirement Response Code Response/Comments
Supports tracking and managing of master agreements (and their individual task orders) and contract status (e.g. milestone payment schedule, payment terms, payments, incentives, amendments/change orders, renewal status, expiration dates, insurance certificates, remaining balances, payments per deliverable, etc.) Associates contracts to projects, grants, and/or purchase orders Provides the ability to alert/notify of expiring contract items (e.g. contract end, insurance documents, licenses etc.)
ERP RFP Appendix A – Requirements
City of Yuba City 26
Accounts Payable
General
# Requirement Response Code Response/Comments
Supports payments to various entities including, but not limited to, vendors for services or goods, employees’ expenses, and retirees Provides and applies appropriate controls over all payments Provides the ability to generate an annual report to calculate the City’s sales tax liability vendors did not collect Invoice Receipt/Entry
# Requirement Response Code Response/Comments
Supports receipt and entry of hardcopy and electronic invoices Checks the status of all open/pending invoices Provides the ability to identify duplicate invoices from vendor Automates matching the PO, receiver, and invoice Manages vendor invoice credits with associated adjustments to encumbrances and PO balances Supports checking available PO balance Provides the ability to define a threshold for payments to process if it exceeds PO balance (e.g. due to taxes, shipping, etc.)
ERP RFP Appendix A – Requirements
City of Yuba City 27
Payment Calculation
# Requirement Response Code Response/Comments
Alerts staff of and calculates payment discounts Supports automatically calculating shipping and taxes as appropriate for items being paid at time of data entry Provides the ability to automatically calculate retainage using percentage indicated on a purchase order Allows for the tracking, deduction, and reporting of garnishments Allows payments that can be set/scheduled with associated tracking of payment terms Provides the ability to allocate pre-payment amounts across accounting periods (i.e. for software maintenance agreements) Provides the ability to include sales tax owed if the vendor did not include the amount on the invoice Payment Process
# Requirement Response Code Response/Comments
For multi-line item POs, allows selection of one or more of those line items during invoice processing Creates positive pay files Supports processing of 1099’s and 1099 reporting requirements Supports refund and retention payment processing Provides the ability to short close POs based on user defined parameters
ERP RFP Appendix A – Requirements
City of Yuba City 28
# Requirement Response Code Response/Comments
Provides for ACH and wire transfer payments to vendors with a system generated email notification that payment was sent Provides alerts for invoices that are aging and where penalties may apply Supports the creation of automated splits by fund, department, and/or account according to userspecified requirements Check Generation
# Requirement Response Code Response/Comments
Provides an option for more than one check for a vendor during a check process Supports generating multiple page checks Provides an option for on demand manual checks Allows reprinting checks without void and reissue if an error occurs during check printing Employee Expense Reporting
# Requirement Response Code Response/Comments
Provides for web-based employee expense reimbursement Provides access via mobile devices Provides electronic workflow for review and approval
ERP RFP Appendix A – Requirements
City of Yuba City 29
Fixed Asset Accounting
General
# Requirement Response Code Response/Comments
Provides functionality to capture and maintain information associated with leased and capitalized assets Provides the ability to import new fixed assets and attributes Supports barcoding/scanning of fixed asset tags Provides, or interfaces with, asset tag solution Provides parent/child associations for assets Allows multiple funding sources per asset, including grant funding sources Provides the ability to link an asset(s) to a CIP project Provides the ability to track non-capitalized assets Supports various asset depreciation schedules, the ability to change depreciation methodologies, and (from a point in time) recalculates depreciation based on the remaining life Allows for creation of an asset as part of purchase requisition Tracks asset maintenance, including enhancement and transfers, and projected associated costs Tracks asset disposal and salvage values Provides journal entries to record depreciation expense to the General Ledger Supports the ability for an image to be attached to the asset record
ERP RFP Appendix A – Requirements
City of Yuba City 30
Reporting
# Requirement Response Code Response/Comments
Allows user to define fields for asset reporting to assist with analysis (e.g. APN, motor vehicles, buildings, equipment etc.) Reports on assets nearing full depreciation Assets by location, fund, depreciation, department, category. Reconciles to GL. For reconciliation, a report with all information on one line is important. Additions, disposal, or retirement reports General Billing/Accounts Receivable
General
# Requirement Response Code Response/Comments
Provides customizable invoice entry templates used to initiate invoice process Supports invoicing of various entities including, but not limited to, citizens, former employees, businesses, developers, and other governmental entities Supports invoicing for a variety of items, but not limited to false alarms, grants, property damage, COBRA, NSF check fee, and other miscellaneous items and services Provides electronic workflow to route initial invoice entry document to user-defined reviewers and approvers before invoice is generated and receivable is established Provides the ability to send copies of invoices via email
ERP RFP Appendix A – Requirements
City of Yuba City 31
# Requirement Response Code Response/Comments
Provides functionality to record receivable and
payments against customer accounts
Provides the ability to add user-defined messages to invoices and statements Provides options for off-cycle and regular batch bill runs Ensures appropriate cross-references to payment history and open balances for refunds processing Provides statements of cumulative activity (vs. invoices only) Provides comprehensive NSF check processing including reversing payments, appropriate reversing of accounting transactions, rebilling with NSF check charge(s), and associating these events with the customer’s account Provides NSF support in the way of application of additional fees, adjustments to receivables, etc. Provides on demand and interval-based (i.e. weekly) past due payments Provides accounts aging data sufficient to support collection activities Automates 2nd and 3rd notices of missed payments Provides the ability to reverse payments and prepare write off journal entries Provides the ability to edit and revise invoices (i.e. address, comments, etc.) including the amount and will also record (adjustments) the revised amount to the General Ledger Supports recurring invoices
ERP RFP Appendix A – Requirements
City of Yuba City 32
# Requirement Response Code Response/Comments
Provides an option for payments to immediately affect customer account balances while batches are still open Provides the ability to search items identified as uncollectable Reporting
# Requirement Response Code Response/Comments
Provides end of month balancing reports Provides cash receipting, invoice detail (for what is billed), unapplied credit, and customer aging reports Cash Receipts (Cashiering)
General
# Requirement Response Code Response/Comments
Provides a centralized cashiering module to collect and manage transactions (e.g. cash, checks, credit cards, ApplePay, electronic payments, etc.) from multiple locations on a daily basis Supports online payments Supports various payment processors Supports daily tracking of deposits by user and type for end of day balancing Provides summary and detail information regarding a day’s activity (e.g. number and amount of checks, number of cash transactions and cash total, etc.) Supports immediate recognition of payments received by credit card
ERP RFP Appendix A – Requirements
City of Yuba City 33
# Requirement Response Code Response/Comments
Supports the daily tracking of deposits by user and type for end of day balancing Supports posting of all transaction receipts (cash, credit cards, checks, wires, etc.) Provides daily reports in order to prepare deposit slips, track cash receipted in by denomination, check, electronic deposits, etc.
Provides the ability to track deposits in transit/cash
in vault
Provides the ability to track and report all monthly cash (and cash equivalents) receipted in and disbursed out Provides the ability to track and report number of specific types of transactions by certain time frame (e.g. number of EFT’s in a specific month, number of ACH’s executed during the year, number of deposits on a specific date, etc.) Provides bank interfacing, using transaction codes defined by the bank and the City
Provides bar code functionality to capture customer billing information (including amount due), with bar code appearing on bills, and ability to scan and retrieve customer billing information Provides for chip and Pi/PCI compliance capabilities Supports breaking down of trial balance into the five unique GASB 54 categories
ERP RFP Appendix A – Requirements
City of Yuba City 34
Reporting
# Requirement Response Code Response/Comments
Supports reporting broken down by user, various date range and batch reports, Monthly Report of Cash Receipts, GL entries that hit cash, check register reports by account, and reports for cleared checks, uncleared checks, and voided checks
Project and Grant Accounting
# Requirement Response Code Response/Comments
Provides functionality to manage capital projects and grants, including tracking funding sources and budget to actual expenditures Provides functionality to divide projects/grants into multiple categories and subcategories Distributes costs and units (including labor hours) to an unlimited number of projects/grants (job phases) and sub-divisions (job-sub-phases) Provides fields to record the type of grant (local, state, and federal), grantor information, match terms, grant begin and end date, and grant drawdown activity Allows users to track activities and manage reimbursements/billings related to grants and to associate those grants with projects as appropriate Supports multi-year projects/grants Supports multiple funding sources Provides real-time project and grant budget balances with the option to include pending staff time or pending invoices in process
ERP RFP Appendix A – Requirements
City of Yuba City 35
# Requirement Response Code Response/Comments
Supports recording revenues and expenditures against the project/grant Tracks actual, committed, and estimated (or
budgeted) costs
Provides the ability to establish overhead rates Captures staff time and associates it directly to a project using a blended hourly rate (or actual rate) based on defined project rules Reports on project and grant activity by period and over the life of the project/grant award Supports collecting of reimbursements at a project level
ERP RFP Appendix A – Requirements
City of Yuba City 36
Human Resources
Position Control
# Requirement Response Code Response/Comments
Provide reporting by position type, allocations, filled positions, vacant positions, changes during a userdefined time period, etc. Associates positions with funding source Reserves a position upon request to fill a vacancy Identifies positions that are overfilled, under-filled, and/or double-filled Identifies positions that are grant funded and has a position end date (end of grant date) Supports the ability for positions to split funding across multiple funds, departments, and/or divisions Tracks full-time, part-time, temporary, and seasonal employees Contains a comments/notes field to capture details of position changes Recruiting (optional)
General
# Requirement Response Code Response/Comments
Provides a web portal for recruitment information to be posted and allows applicants to submit applications and related documents Supports the ranking of candidates Supports scheduling of interviews Supports sharing and display of candidate resumes among interview panelists
ERP RFP Appendix A – Requirements
City of Yuba City 37
# Requirement Response Code Response/Comments
Reports point-in-time status of the completion of recruitment tasks Provides notification to hiring manager when a candidate accepts an offer Reporting
# Requirement Response Code Response/Comments
Supports EEOE reporting requirements
Onboarding (optional)
# Requirement Response Code Response/Comments
Works with employee self-service web portal to facilitate on-boarding process, including completion and submission of documents, benefit enrollment forms, etc. Reports on status of completion of specific onboarding tasks including employee orientation, forms completion, etc. Facilitates sharing of new hire information between hiring department, IT, etc.
Provides the ability to accept electronic signatures by new hires to sign enrollment forms, acknowledge receiving City equipment, safety training, etc.
ERP RFP Appendix A – Requirements
City of Yuba City 38
Employee Master File
General
# Requirement Response Code Response/Comments
Maintains data elements including but not limited to employee ID, basic demographics, address information, emergency contacts, survivor/beneficiary information, dependent information, history of salary changes (effective start and end dates) including eligibility for stipends, training/certification, and history of personnel actions Provides the ability to store and view employee photo Provides the ability to attach documents to an employee file Provides employee directory functionality, and development of organization charts Provides the ability to track City property (badge, phone, vehicle, etc.) provided to the employee throughout tenure with the City Provides the ability to track special assignments, including designation as Disaster Service Worker, assigned role in Emergency Management, etc. Notifies designated staff (i.e. Emergency Manager) when an employee can no longer fulfill their assigned role do to separation, leave, or other reasons Supports setting maximum deduction for 457 deferred comp accounts (parent code that controls child codes) Provides the ability to report on data required for labor costing/negotiations
ERP RFP Appendix A – Requirements
City of Yuba City 39
Reporting
# Requirement Response Code Response/Comments
Provides Seniority Listing, including Time in Grade Provide flexible organization chart reporting functions Provides ability to select data required for labor costing/negotiations (e.g., ASRS, health, pay, employment dates, position title, etc.) Provides Federal and State government mandated reporting, including but not limited to:
IRS 1099 IRS 941 SSA W-2 EEOC EEO-4 DOL VETS 100 SCO Employee Compensation EDD New Hire EDD Quarterly Contribution Return and Report of Wages (DE9 and DE9C)
EDD Report of Independent Contractors
(DE542)
EDD SDI and UI
ERP RFP Appendix A – Requirements
City of Yuba City 40
Benefits Administration
General
# Requirement Response Code Response/Comments
Provides flexible, rules-based benefit management functionality to manage public employee benefits (including transition to retiree benefits) such as medical, dental, disability, life insurance, recreation, etc. as provided via EPIC, UNUM, AFLAC, etc. Complies with current and future Affordable Care Act (ACA) requirements, including automatic notification to employee when a dependent is at age 19 for full-time student status, and an annual courtesy check until age 25, with coverage discontinuance at age 26 Complies with Consolidated Omnibus Budget Reconciliation Act (COBRA) requirements Supports California Public Employees Retirement System (CalPERS) to manage pension, health, and retirement benefits Supports the pre-tax withholding of deferred compensation for part time, seasonal, and temporary employees in lieu of Social Security withholding and 457 plan for full time employees Maintains eligibility dates for different plans based on different rules and which may differ from hire dates Updates employee and retiree benefit records and reflects changes in pay in HR and payroll systems/modules and applicable 3rd party benefit providers whenever there are changes due to a life event, changes in eligibility rules, or requests for benefits
ERP RFP Appendix A – Requirements
City of Yuba City 41
# Requirement Response Code Response/Comments
Supports the ability to track and invoice health care deduction amounts for retirees and COBRA participants through Accounts Receivable Supports administration of flexible spending reimbursement accounts Supports the tracking of hours worked for seasonal and part-time employees up to the 1,000 hours which triggers PERS coverage, and 1,456 hours which triggers City benefits Provides the ability to establish benefits tiers according to employee type (based on Date of Hire) (e.g. Board Members, full-time employees, parttime employees, retirees, etc.) Reporting
# Requirement Response Code Response/Comments
Supports carrier billing/self-bill reconciliation and reportingProvides ACA reporting form 1095C Provides the ability to generate reports detailing amounts paid by the City for specific benefits versus amounts paid by employees Leave Administration
# Requirement Response Code Response/Comments
Supports managing available leave balances, including leave earned and taken, for all types of leave (PTO, vacation, sick, FLMA, disability, worker’s comp, modified duty, donated, etc.
ERP RFP Appendix A – Requirements
City of Yuba City 42
# Requirement Response Code Response/Comments
Allows for flexible rules for taking leave when balances are at zero, but accrual is pending Provides the ability to cap accruals such as vacation, etc. and to cap dollars for deferred comp, etc. Notifies employees of leave that will be lost, cease to accrue, or automatically paid Supports transfer of leave accrued by City employees to a catastrophic leave bank, and subsequent transfer of hours to other City employees for catastrophic health Supports unlimited number of leave types/banks Allows employees to supplement disability pay with leave hours and calculate pay Provides integration with time entry system for vacation/leave requests Supports leave accruals at different rates for different employee classifications Support cash out of leave at different rates Provides the ability to generate ad hoc leave balance report by employee Personnel Actions
# Requirement Response Code Response/Comments
Provides online personnel action forms Provides functionality to manage personnel actions from initiation, review, authorization, and approval for actions such as promotions, demotions, salary increase, discipline, separations, leave, etc. Updates employee records in HR and payroll systems/modules to reflect changes in pay if needed
ERP RFP Appendix A – Requirements
City of Yuba City 43
# Requirement Response Code Response/Comments
Provides the ability to set effective date and time of a personnel action (e.g. promotion, COLA, etc.) Uses end dates to automatically stop the action at a specified time (e.g. discontinue administrative leave without pay, leave of absence, etc.) Training and Certifications
# Requirement Response Code Response/Comments
Supports tracking of required position-specific job certifications, licenses, mandatory training, expirations, etc. Provides automated notification of expiring certifications/licenses to supervisors and employees based on user-defined rules Associates certifications with applicable pay codes such that employees are paid or not paid based on the status of their certification Updates employee records in HR and payroll systems/modules such that changes in pay can occur based on completion of training/certification events Performance Reviews (optional)
# Requirement Response Code Response/Comments
Provides functionality to manage performance reviews/evaluations including tracking notifications, initiation, review results, and approvals Provides notification of performance reviews coming due to supervisors and managers based on userdefined rules
ERP RFP Appendix A – Requirements
City of Yuba City 44
# Requirement Response Code Response/Comments
Provides workflow to manage/approve electronic employee performance review/evaluation Provides the ability to define and manage electronic evaluations/forms that are different by department and by job classification Provides the ability to attach external forms and documents throughout the workflow Provides alerts on past due evaluations and escalation notifications Employee Self Service (ESS)
# Requirement Response Code Response/Comments
Provides an ESS portal that allows access and update to designated employee information Updates employee records in HR and payroll systems/modules and applicable external systems (e.g. CalPERS, 3rd Party Benefit Providers, etc.) and allows HR staff to review and approve the changes Provides the ability to view and print paycheck history, W2 history, personnel actions, leave balances, etc. Provides the ability to update/change benefits during open enrollment or due to a life event, and profile data (e.g. address, phone number, emergency contact beneficiaries, dependents, etc.) Provides the ability for employee to reset password Supports access to the ESS portal from various types of mobile devices
ERP RFP Appendix A – Requirements
City of Yuba City 45
# Requirement Response Code Response/Comments
Supports various employee requests (e.g. time off, expense reimbursement, etc.) and workflow for managers to approve electronically Pay Administration
General
# Requirement Response Code Response/Comments
Provides functionality to manage employee pay including wages, Special Pay, State and Federal taxes, and accruals Provides the ability to configure multiple accrual types (comp time, leave, workers compensation, vacation, etc.) Provides the ability to manage multiple garnishment cycles (e.g. 24 pay periods and 26 pay periods) Provides the ability to establish multiple garnishments using the same garnishment code for a single employee and automatically calculate garnishment limitation amounts Supports multiple earning/pay codes including, but not limited to, Special Pays, Longevity Pays, Certification Pays, etc. that may change between pay periods Enforces required pay type based upon activity (e.g. certain overtime reasons can only accrue as paid overtime instead of comp time) Allows for deductions to be taken every pay cycle, second pay cycle, or combination of the two
ERP RFP Appendix A – Requirements
City of Yuba City 46
# Requirement Response Code Response/Comments
Supports employee groups with different benefits (e.g. differing leave accrual level, differing premiums, etc.) Provides the ability to work under multiple jobs at different rates Tracks when employees are eligible for scheduled pay raises and provides automated workflow to notify supervisor of scheduled pay raise. Upon supervisor approval, triggers automated notification that:
• Automatically notifies employees and their
supervisors
• Automatically updates employee records in HR
and Payroll systems/modules to reflect changes in pay
Supports flexible definition of shift work, split shifts, and work schedules (e.g. 4/10, 9/80, 5/40, 48/96, etc.) Supports flexible definition of shift work and work schedules to ensure compliance with FLSA legislation Automatically generates payables for payroll deductions (e.g. insurance, pension, taxes, etc.) Provides the ability to do ‘what-if’ analysis and modeling for salary increases, benefit changes, etc. Calculates step, increment, and percentage pay adjustments for effective dating for all or a group of employees (e.g. bargaining units, classes, etc.) Provides an automated process for retroactive pays based on the effective date of the retroactive pay (e.g. salary, benefits, contributions, and deductions) Provides the ability to generate an annual estimate of the cost of Medicare for retirees including monthly, quarterly, and annual payment amounts
ERP RFP Appendix A – Requirements
City of Yuba City 47
# Requirement Response Code Response/Comments
Provides the ability to intercept reimbursements for accidental, personal CAL-Card use by an employee via authorized payroll deduction Tracks beginning of benefit date, benefit used date, etc. Supports creating an accrual for FMLA so that the leave can be recorded as part of employee time entry Provides notification to HR, department admin, and the employee when an accrual balance is nearing a City-defined threshold Provides the ability to allocate payroll expenses across fiscal years when a pay period includes workdays across fiscal years Supports multiple employee groups with different MOA requirements and benefits (e.g. differing leave accrual level, differing premiums, etc.) Provides the ability to configure multiple accrual types (comp time, leave, workers compensation, vacation, etc.) Supports mass change capability (e.g. COLAs) with review prior to accepting the mass change Provides the flexibility to define “PERSable” codes including different setups for different employee groups, salaries, benefits, and other similar accumulators Reporting
# Requirement Response Code Response/Comments
Provides the ability to maintain and report Fair Labor Standards Act (FLSA) information as required by legislation
ERP RFP Appendix A – Requirements
City of Yuba City 48
# Requirement Response Code Response/Comments
Provides the ability to report Family Medical Leave Act (FMLA) leave on an employee time entry Allows for reporting accrual and usage of benefits Provides the ability to generate a report of worker’s compensation payments Supports other payroll administration reporting, including CalPERS, payroll journal, bank code tables, etc.
Time Entry
General
# Requirement Response Code Response/Comments
Provides functionality to collect time from various sources (e.g. Employee Self Service, mobile devices, employee badges used for facility entry, etc.), perform exception-based time entry for exempt employees, and time adjustments to multiple work schedules Provides the ability to define and validate business rules at time of collection (i.e. prevents employees from entering adjustments that will cause employee leave balances to be exceeded) Prevents employees from entering invalid data (i.e. earnings or pay codes they are not authorized to use) Provides the ability to include notes or comments associated with time submitted Requires notes or comments for certain activity types Provides functionality to allow time entered to be coded to projects, grants, or to another department with each line of time entered
ERP RFP Appendix A – Requirements
City of Yuba City 49
# Requirement Response Code Response/Comments
Allows multiple pay periods to be open for time entry purposes Provides workflow to collect time, perform exception based time entry, and time adjustments to multiple work schedules, including approval and submission to payroll system/module at the department level Enforces minimum hour entry for certain activity types (e.g. Police court time) Provides the ability to track hours to special time codes (e.g. 4850, FMLA, etc.) Provides pop-up notification at time of entry when employee is close to 1,000 hours worked for part time staff and retired annuitants Provides system generated email notification to staff (employee and supervisor) who have not completed required time entry Provides the ability to identify and track part-time employee work hours on a weekly basis to ensure adherence to annual limits Supports adjustment of leave accruals when employee is working less than full time or are in an unpaid status Reporting
# Requirement Response Code Response/Comments
Provides reporting to support timekeeping rules (e.g. 1,000 hours worked report for part time staff, public safety grant overtime reports, changed time recap by employee, etc.) Supports exception reporting, including missing timesheets
ERP RFP Appendix A – Requirements
City of Yuba City 50
Payroll Processing
General
# Requirement Response Code Response/Comments
Provides functionality to calculate employee payroll, deductions, and accruals based on components managed in the benefits and pay administration module Provides ability to select data required for labor costing/negotiations (e.g. CalPERS, health, pay, employment dates, position title, etc.) Provides the CalPERS required payroll report in xml format, as well as the ability to inquire/run CalPERS information for research purposes Supports importing and entering time Provides functionality to calculate employee payroll, deductions, and accruals based on components managed in the HR benefit and pay administration module Processes payments for government and 3rd party agencies (e.g. benefits, retirement, etc.)
Supports State and Federal tax filings Supports multiple concurrently open payrolls (e.g. vacation, sick or comp time cash outs, etc.) Provides and enforces rule-based validation and prevents duplicate earning codes at employee level, etc.
Provides user-defined exception hours’ analysis Supports multiple ‘re-runs’ of payroll prior to final payroll run
ERP RFP Appendix A – Requirements
City of Yuba City 51
# Requirement Response Code Response/Comments
Generates paychecks, direct deposits (supporting deposits across multiple accounts on a single check), EFT files, bank files, and related positive pay files Supports creation of annual pay and benefit letters, W2s, and ACA annual documents The Proposer has reviewed the MOAs and associated documents listed on the following website: https://www.yubacity.net/city_hall/departments/hu man_resources/bargaining_unitThe proposed system will provide the functionality to meet the items included in the MOAs and associated documents. Any exceptions are to be communicated.
Automatically generates journal entries to record payroll expenses to the General Ledger after payroll process is complete, including year-end splits and reversals Supports bulk change capability (e.g. COLAs, bargaining unit changes, etc.) with review prior to accepting the bulk change) Supports the ability to run reports on staff for multiple years and pay codes Supports the ability to run employment verification reports for Public Safety that breaks down stipends Paystub
# Requirement Response Code Response/Comments
Identifies all elements used to calculate pay on the paystub
ERP RFP Appendix A – Requirements
City of Yuba City 52
# Requirement Response Code Response/Comments
Identifies key information for employee (leave balances, allocation of direct deposit accounts, employee vs. employer pay benefits, etc.) on the paystub; ensures all required items are printed Generates PDF/electronic copy and automatically posts stub, W2, and ACA documents to the employee self-service portal Reporting
# Requirement Response Code Response/Comments
Provides the ability to report on leave taken by department, division, employee, specific leave banks, etc. Provides reporting of hours recorded for all employee types (e.g. full time, part time, retired annuitants, etc.) Supports exception reporting, including missing timesheets Supports the ability to run reports on staff for multiple years and pay codes Provides the ability to generate year-end payroll compensation reports by employee
ERP RFP Appendix A – Requirements
City of Yuba City 53
Separation/Offboarding
# Requirement Response Code Response/Comments
Provides functionality to manage processes and procedures for employee separation due to termination, retirement, resignation, or transfer Supports initiation of the process and a checklist of tasks that need to be performed to successfully exit an employee based on type of separation Updates employee records in HR and payroll systems/modules and applicable external systems (e.g. CalPERS, 3rd Party Benefit Providers, etc.) Provides electronic employee separation workflow Supports recovery of equipment previously issued to employee Supports the ability to deactivate or suspend seasonal employees as necessary
ERP RFP Appendix A – Requirements
City of Yuba City 54
Technical
General
# Requirement Response Code Response/Comments
Provides a production, training, test, and development environment Provides the ability to configure workflows, report parameters, and other elements to meet specific business needs using configuration and operating parameters provided by City and without the assistance of the software vendor Provides for upgrades to accommodate changes in laws, regulations, best practices, and new technology Integrates with Active Directory Provides system availability 24 hours a day, 365 days a year (not including Force Majeure Events or scheduled downtime) Ensures scheduled downtime is pre-approved by the City one week in advance Provides system uptime of 99.99% Regulatory Compliance/Certifications
# Requirement Response Code Response/Comments
Government Cloud Certified Provides solution that is PCI compliant Provides a “Trusted System” according to the State of California Provides hosting facility that is SSAE 16 certified
ERP RFP Appendix A – Requirements
City of Yuba City 55
System and Data Security
# Requirement Response Code Response/Comments
Utilizes Role Based Access Control or similar methodology for setting up functional and data roles Allows the system administrator to:
Configure control access to the application,
modules, transactions, data and reports
Define access rights (e.g. create, read,
update, delete) by user ID or functional role
Define functional access rights (e.g.
processes, screens, fields, and reports) by user ID or functional role Restrict access to sensitive data elements
(e.g. social security numbers, banking data, etc.) by user ID, user groups or functional role Provides an audit trail with user, date, and time stamp throughout all modules, including field level change tracking (before/after values) as well as record level activity, including creation, viewing, editing, deletion and exporting (where applicable) Provides the ability to view multiple levels of audit history in the application, not just the last change Interoperability/System Interface
# Requirement Response Code Response/Comments
Provides an Application Program Interface (API) to enable the exchange of information (both inbound and outbound) with other business applications using a variety of protocols including but not limited to JSON, XML, and other flat text/delimited sources
ERP RFP Appendix A – Requirements
City of Yuba City 56
# Requirement Response Code Response/Comments
Provides security and auditing of data exported and imported via any API interface Provides a configurable API such that new interfaces can be defined, or existing interfaces can be modified by an administrator without requiring the support of the software provider Provides the ability to specify the editing criteria (including both field validation and consistency edits) to be applied to inbound transactions and ensures that transactions submitted via the API are subject to the same business rules as transactions submitted via the user interface Provides the ability to specify whether outbound interface transactions should be sent immediately or stored and forwarded at a specific time or at specific intervals Provides a notification to users of transactions that fail edits and provides a way for user to view, update, delete, and automatically resubmit transactions for processing or to be returned to the originating applications Integrates or interfaces with the systems below through scheduled file exchanges and/or manually processed imports:
N/A N/A
ClearGov (budget) DocuPhase (document management)
Accela (BL, permitting and code enforcement
cash receipts)
OpenCounter (cash receipts) Vector Scheduling (Fire scheduling) ESO or Telestaff/Firehouse (cash receipts)
ERP RFP Appendix A – Requirements
City of Yuba City 57
# Requirement Response Code Response/Comments
Police Scheduling Software Solutions (POSS)
(time entry)
Visual Computer Solutions (VCS) (Police
Scheduling)
CivicRec (cash receipts) LabWorks (invoices)) NeoGov (recruiting) CentralSquare CommunityPlus (UB) Chameleon (cash receipts) InfoSend (UB bills and online payment portal) Third-Party Benefit Providers (WorkTerra, AFLAC, UNUM, CalPERS, Deferred Comp (RHS), Basic Pacific, Claremont, Vector Solutions) US Bank (CAL-Cards) Wells Fargo Bank (Banking) AdobeSign (electronic signature) DebtBook (GASB 87 and 96) Data Storage
# Requirement Response Code Response/Comments
Stores data in the Continental U.S.
ERP RFP Appendix A – Requirements
City of Yuba City 58
Data Breaches and Audit Logging
# Requirement Response Code Response/Comments
Maintains audit logging to record access activity:
Login/logout attempts by user and
workstation
User submitted transactions Initiated processes System overrides Additions, changes, or deletes to applicationmaintained data Upon discovery or reasonable belief of any data breach, notifies the City by the fastest means available, and also in writing within 24 hours. Notification should include:
The nature of the breach The data accessed, used, or disclosed The person(s) who accessed, used, disclosed, and/or received data (if known)
What has been done to quarantine and
mitigate the breach
What corrective actions has been taken to
prevent future breaches
Provides daily updates regarding findings and actions performed until the breach has been effectively resolved to the City’s satisfaction Provides a report containing the results of the investigation of the breach
ERP RFP Appendix A – Requirements
City of Yuba City 59
Disaster Recovery
# Requirement Response Code Response/Comments
In the event of a disaster or catastrophic failure, informs the City:
Within one hour The scale and quantity of the data loss What Proposer has done to recover the data and mitigate any effect of the data loss
What corrective action Proposer has taken to
prevent future data loss
Software Hosting Price Sheet
Year 1 Year 2 Year 3 Year 4 Year 5
- $ - $ - $ - $ - $
- $ - $ - $ - $ - $
- $ - $ - $ - $ - $
- $ - $ - $ - $ - $
- $ - $ - $ - $ - $
- $ - $ - $ - $ - $
- $ - $ - $ - $ - $
- $ - $ - $ - $ - $
- $ - $ - $ - $ - $
- $ - $ - $ - $ - $
Subtotal - Finance Modules - $ - $ - $ - $ - $
- $ - $ - $ - $ - $
- $ - $ - $ - $ - $
- $ - $ - $ - $ - $
- $ - $ - $ - $ - $
- $ - $ - $ - $ - $
- $ - $ - $ - $ - $
- $ - $ - $ - $ - $
- $ - $ - $ - $ - $
- $ - $ - $ - $ - $
- $ - $ - $ - $ - $
Subtotal - HR Modules - $ - $ - $ - $ - $
- $ - $ - $ - $ - $
- $ - $ - $ - $ - $
- $ - $ - $ - $ - $
$ - - $ - $ - $ - $
- $ - $ - $ - $ - $
- $ - $ - $ - $ - $
Subtotal - Other Modules - $ - $ - $ - $ - $
Total Application Hosting Fees - $ - $ - $ - $ - $
Proposer Name:
Other Modules (i.e. system tools, reporting, etc.)
Annual Hosting Fees
Description Vendor Notes and/or Assumptions
Financial ModulesHuman Resources (HR) Modules
Yuba City - ERP RFP - Appendix B - Price Sheets Page 1
Implementation Services Price Sheet
Service Category Hours Rate Implementation Fee Notes / Assumptions Project Management - - $ - $
Configuration - - $ - $
Testing - - $ - $
Training - - $ - $
Go Live Support - - $ - $
Other (add as necessary) - - $ - $
- - $ - $ - - $ - $
- - $ - $
Subtotal - Finance Modules Implementation - - $
Service Category Hours Rate Implementation Fee Notes / Assumptions Project Management - - $ - $
Configuration - - $ - $
Testing - - $ - $
Training - - $ - $
Go Live Support - - $ - $
Other (add as necessary) - - $ - $
- - $ - $ - - $ - $
- - $ - $
Subtotal - HR Modules Implementation - - $
Service Category Hours Rate Implementation Fee Notes / Assumptions Project Management - - $ - $
Configuration - - $ - $
Testing - - $ - $
Training - - $ - $
Go Live Support - - $ - $
Other (add as necessary) - - $ - $
- - $ - $
- - $ - $
- - $ - $
Subtotal - Other Modules Implementation - - $ Total - All Implementation Services - - $ Other Modules Implementation
Proposer Name:
Financial Modules Implementation
Human Resources (HR) Modules Implementation
Yuba City - ERP RFP - Appendix B - Price Sheets Page 2
Data Conversion Price Sheet
Proposer Name:
Item Hours / Module Rate Conversion Fee Conversion Assumptions - - $ - $
- - $ - $
- - $ - $
- - $ - $
- - $ - $
- - $ - $
- - $ - $
- - $ - $
Total - Conversion - $ -
Data Conversion
Yuba City - ERP RFP - Appendix B - Price Sheets Page 3
3rd Party Products Price Sheet
Proposer Name:
3rd Party Product Description Cost Notes / Assumptions
$ -
$ -
$ -
$ -
$ -
$ -
$ -
$ -
$ -
$ -
Total - 3rd Party Products - $
Yuba City - ERP RFP - Appendix B - Price Sheets Page 4
Other/Optional Offerings Price Sheet
Proposer Name:
Product/Solution Description Cost Notes / Assumptions
Recruiting $ -Onboarding $ -Other $ -
$ -$ -$ -$ -$ -$ -$ -
Total - Other or Optional Offerings - $
Yuba City - ERP RFP - Appendix B - Price Sheets Page 5
Travel Price Sheet (travel related to Implementation Services) Proposer Name:
Trip Descriptions # of Trips Cost Per Trip Total Notes / Assumptions - - $ - $
- - $ - $
- - $ - $
- - $ - $
- - $ - $
- - $ - $
- - $ - $
- - $ - $
- - $ - $
Total Travel Expenses - - $
Yuba City - ERP RFP - Appendix B - Price Sheets Page 6
Professional Services Rates Price Sheet [for any additional hours needed during implementation and or hosting (operations and maintenance)].
Resource Category Hourly Rate Notes / Assumptions
Project Manager - $ Trainer - $ Data Conversion Specialist - $ Programmer - $ Business/Systems Analyst - $ Testing Specialist - $ Other (add as necessary) - $ - $ - $ - $ - $ Yuba City - ERP RFP - Appendix B - Price Sheets Page 7
1 Revised 1/28/2008
AGREEMENT FOR PROFESSIONAL SERVICES
This Agreement is made and entered into as of
______________________, by and between the City of Yuba City, a municipal corporation (“City”) and __________________ (“Consultant”).
RECITALS
A. Consultant is specially trained, experienced and competent to perform the special services which will be required by this Agreement; and B. Consultant possesses the skill, experience, ability, background, certification and knowledge to provide the services described in this Agreement on the terms and conditions described herein; and
C. City desires to retain Consultant to render professional services as set forth in this Agreement.
AGREEMENT
1. Scope of Services. The Consultant shall furnish the following services in a professional manner. [Describe Services]
OR
See Attached Scope of Services
(Exhibit A)
2. Time of Performance. The services of Consultant are to commence upon execution of this Agreement and shall continue until all authorized work is completed and approved by the City. Finalization shall be completed at the direction of the City of Yuba City.
3. Compensation. Compensation to be paid to Consultant shall be in accordance with the Schedule of Charges set forth in Exhibit A, which is attached hereto and incorporated herein by reference. In no event shall Consultant’s compensation exceed _____________without additional written authorization from the City. Payment by City under this Agreement shall not be deemed a waiver of defects, even if such defects were known to the City at the time of payment.
4. Method of Payment. Consultant shall submit monthly billings to City describing the work performed during the preceding month. Consultant’s invoices shall include a brief description of the services performed, the date the services were performed, the number of hours spent and by whom, and a
2 Revised 1/28/2008
description of any reimbursable expenses. City shall pay Consultant not later than 30 days after approval of the monthly invoice by City staff. When payments made by the City equal 90% of the maximum fee provided for in this Agreement, no further payments shall be made until the final work under this Agreement has been accepted by City.
5. Extra Work. At any time during the term of this Agreement, City may request that Consultant perform Extra Work. As used herein, “Extra Work” means any work which is determined by City to be necessary for the proper completion of the Project, but which the parties did not reasonably anticipate would be necessary at the execution of this Agreement. Consultant shall not perform, nor be compensated for, Extra Work without written authorization from City.
6. Termination. This Agreement may be terminated by the City immediately for cause or by either party without cause upon fifteen days written notice of termination. Upon termination, Consultant shall be entitled to compensation for services performed up to the effective date of termination. Such compensation is subject to the conditions of Section 4 of this agreement.
7. Ownership of Documents. All plans, studies, documents and other writings prepared by and for Consultant, its officers, employees, agents and subcontractors in the course of implementing this Agreement, except working notes and internal documents, shall become the property of the City upon payment to Consultant for such work, and the City shall have the sole right to use such materials in its discretion without further compensation to Consultant or to any other party. Consultant shall, at Consultant’s expense, provide such reports, plans, studies, documents and other writings to City upon request.
* Licensing of Intellectual Property. This Agreement creates a nonexclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement (“Documents & Data”). Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regards to Documents & Data which were prepared by design professionals other than Consultant or provided to Consultant by the City. City shall not be limited in any way in its use of the Documents & Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City’s sole risk.
3 Revised 1/28/2008
Confidentiality. All ideas, memoranda, specifications, plans, procedures, drawings, descriptions, computer program data, input record data, written information, and other Documents & Data either created by or provided to Consultant in connection with the performance of this Agreement shall be held confidential by Consultant. Such materials shall not, without the prior written consent of City, be used by Consultant for any purposes other than the performance of the services under this Agreement. Nor shall such materials be disclosed to any person or entity not connected with the performance of the services under this Agreement. Nothing furnished to Consultant, which is otherwise known to Consultant or is generally known, or has become known, to the related industry shall be deemed confidential.
Consultant shall not use City’s name or insignia, photographs relating to project for which Consultant’s services are rendered, or any publicity pertaining to the Consultant’s services under this Agreement in any magazine, trade paper, newspaper, television or radio production or other similar medium without the prior written consent of City.
8. Consultant’s Books and Records:
a. Consultant shall maintain any and all ledgers, books of accounts, invoices, vouchers, canceled checks, and other records or documents evidencing or relating to charges for services, or 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 Consultant to this Agreement.
b. Consultant shall maintain all documents and records which demonstrated performance under this Agreement for a minimum period of three (3) years, or for any longer period required by law, from the date of termination or completion of this Agreement. c. Any records or documents required to be maintained pursuant to this Agreement shall be made available for inspection or audit, at any time during regular business hours, upon written request by the City Administrator, City Attorney, City Auditor or a designated representative of these officers. Copies of such documents shall be provided to the City for inspection at City Hall when it is practical to do so. Otherwise, unless an alternative is mutually agreed upon, the records shall be available at Consultant’s address indicated for receipt of notices in this Agreement.
d. Where City has reason to believe that such records or documents may be lost or discarded due to dissolution, disbandment or termination of Consultant’s business, City may, by written request by any of the above named officers, require that custody of the records be given to the City and that the records and documents be maintained in City Hall. Access to such records and documents shall be granted to any party authorized by Consultant, Consultant’s representatives, or Consultant’s successor-in-interest.
4 Revised 1/28/2008
9. Independent Contractor. It is understood that Consultant, in the performance of the work and services agreed to be performed, shall act as and be an independent contractor and shall not act as an agent or employee of the City.
Consultant shall obtain no rights to retirement benefits or other benefits which accrue to City’s employees, and Consultant hereby expressly waives any claim it may have to any such rights.
Consultant is not a designated employee within the meaning of the Political Reform Act because Consultant:
a. Will conduct research and arrive at conclusions with respect to his/her rendition of information, advice, recommendation or counsel independent of the control and direction of the City or of any City official, other than normal agreement monitoring; and
b. Possesses no authority with respect to any City decision beyond rendition of information, advice, recommendation or counsel. (FPPC Reg. 18700(B)(2).)
10. Interest of Consultant. Consultant (including principals, associates and professional employees) covenants and represents that it does not now have any investment or interest in real property and shall not acquire any interest, direct or indirect, in the area covered by this Agreement or any other source of income, interest in real property or investment which would be affected in any manner or degree by the performance of Consultant’s services hereunder. Consultant further covenants and represents that in the performance of its duties hereunder no person having any such interest shall perform any services under this Agreement.
11. Professional Ability of Consultant. City has relied upon the professional training and ability of Consultant to perform the services hereunder as a material inducement to enter into this Agreement. Consultant shall therefore provide properly skilled professional and technical personnel to perform all services under this Agreement. All work performed by Consultant under this Agreement shall be in accordance with applicable legal requirements and shall meet the standard of quality ordinarily to be expected of competent professionals in Consultant’s field of expertise.
13. Compliance with Laws. Consultant shall use the standard of care in its profession to comply with all applicable federal, state and local laws, codes, ordinances and regulations.
14. Licenses. Consultant represents and warrants to City that it has all licenses, permits, qualifications, insurance and approvals of whatsoever nature, which are legally required of Consultant to practice its profession. Consultant
5 Revised 1/28/2008
represents and warrants to City that Consultant shall, at its sole cost and expense, keep in effect or obtain at all times during the term of this Agreement, any licenses, permits, insurance and approvals which are legally required of Consultant to practice its profession. Consultant shall maintain a City of Yuba City business license.
14. Indemnity. Consultant agrees to defend, indemnify and hold harmless the City, its officers, officials, agents, employees and volunteers from and against any and all claims, demands, actions, losses, damages, injuries, and liability, direct or indirect (including any and all costs, including attorney fees and expenses in connection therein), arising out of the performance of this Agreement in whole or in part by any negligent act or omission of the Consultant, or anyone directly or indirectly employed by the Consultant or anyone for whose acts the Consultant may be liable, or its failure to comply with any of its obligations contained in this Agreement, except for any such claim arising out of the sole negligence or willful misconduct of the City, its officers, agents, employees or volunteers.
15. Insurance Requirements. Consultant, at Consultant’s own cost and expense, shall procure and maintain, for the duration of the contract, necessary insurance policies as described in Exhibit B.
16. Notices. Any notice required to be given under this Agreement shall be in writing and either served personally or sent prepaid, first class mail. Any such notice shall be addressed to the other party at the address set forth below.
Notice shall be deemed communicated within 48 hours from the time of mailing if mailed as provided in this section.
If to City [Name]
[Department]
City of Yuba City
1201 Civic Center Blvd
Yuba City, CA 95993
[(530) 822-]
If to Consultant: [Name]
[Title]
[Organization, vendor name]
[Address]
[City, Sate, Zip code]
[Phone number]
17. Entire Agreement. This Agreement constitutes the complete and exclusive statement of Agreement between the City and Consultant. All prior written and oral communications, including correspondence, drafts, memoranda, and representations, are superseded in total by this Agreement.
6 Revised 1/28/2008
18. Amendments. This Agreement may be modified or amended only by a written document executed by both Consultant and City and approved as to form by the City Attorney.
19. Assignment and Subcontracting. The parties recognize that a substantial inducement to City for entering into this Agreement is the professional reputation, experience and competence of Consultant. Assignments of any or all rights, duties or obligations of the Consultant under this Agreement will be permitted only with the express consent of the City. Consultant shall not subcontract any portion of the work to be performed under the Agreement without the written authorization of the City. If City consents to such subcontract, Consultant shall be fully responsible to City for all acts or omissions of the subcontractor. Nothing in this Agreement shall create any contractual relationship between City and subcontractor nor shall it create any obligation on the part of the City to pay or to see to the payment of any monies due to any such subcontractor other than as otherwise is required by law.
20. Waiver. Waiver of a breach or default under this Agreement shall not constitute a continuing waiver of a subsequent breach of the same or any other provision under this Agreement.
21. 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.
22. Controlling Law Venue. This Agreement and all matters relating to it shall be governed by the laws of the State of California and any action brought relating to this Agreement shall be held exclusively in a state court in the County of Sutter.
23. Litigation Expenses and Attorneys’ Fees. If either party to this Agreement commences any legal action against the other party arising out of this Agreement, the prevailing party shall be entitled to recover its reasonable litigation expenses, including court costs, expert witness fees, discovery expenses, and attorneys’ fees.
24. Mediation. The parties agree to make a good faith attempt to resolve any disputes arising out of this Agreement through mediation prior to commencing litigation. The parties shall mutually agree upon the mediator and shall divide the costs of mediation equally. If the parties are unable to agree upon a mediator, the dispute shall be submitted to JAMS/ENDISPUTE (“JAMS”) or its successor in interest. JAMS shall provide the parties with the names of five qualified mediators. Each party shall have the option to strike two of the five mediators selected by JAMS and thereafter the mediator remaining shall hear
7 Revised 1/28/2008
the dispute. If the dispute remains unresolved after mediation, either party may commence litigation.
25. Execution. This Agreement may be executed in several counterparts, each of which shall constitute one and the same instrument and shall become binding upon the parties when at least one copy hereof shall have been signed by both parties hereto. In approving this Agreement, it shall not be necessary to produce or account for more than one such counterpart.
26. Authority to Enter Agreement. Consultant has all requisite power and authority to conduct its business and to execute, deliver, and perform the Agreement. Each party warrants that the individuals who have signed this Agreement have the legal power, right, and authority to make this Agreement and to bind each respective party.
27. Prohibited Interest. Consultant maintains and warrants that it has not employed nor retained any company or person, other than a bona fide employee working solely for Consultant, to solicit or secure this Agreement.
Further, Consultant warrants that it has not paid nor has it agreed to pay any company or person, other than a bona fide employee working solely for Consultant, any fee, commission, percentage, brokerage fee, gift or other consideration contingent upon or resulting from the award or making of this Agreement. For breach or violation of this warranty, City shall have the right to rescind this Agreement without liability. For the term of this Agreement, no member, officer or employee of City, during the term of his or her service with City, shall have any direct interest in this Agreement, or obtain any present or anticipated material benefit arising there from.
28. Equal Opportunity Employment. Consultant 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. Such non- discrimination shall include, but not be limited to, all activities related to initial employment, upgrading, demotion, transfer, recruitment or recruitment advertising, layoff or termination. Consultant shall also comply with all relevant provisions of City’s Affirmative Action Plan or other related programs or guidelines currently in effect or hereinafter enacted.
IN WITNESS WHEREOF, the parties have caused this Agreement to be executed on the date first written above.
CITY OF YUBA CITY: CONSULTANT:
8 Revised 1/28/2008
By:_____________________________ By _________________________ [Authorized signer for the [Name]
City of Yuba City] [Title]
[Title]
Attachments: Exhibit A – Scope of Services
Exhibit B - Insurance Requirements
Exhibit C - Workers’ Compensation Exemption
Revised 9/2010
Exhibit B
Professional Services Agreement
Insurance Requirements
I. Workers’ Compensation Coverage. Consultant shall maintain Workers’ Compensation Insurance for his/her employees in accordance with the laws of the State of California and Employers Liability Insurance in an amount not less than one million dollars ($1,000,000) per accident for bodily injury and/or disease. In addition, Consultant shall require each subcontractor to similarly maintain Workers’ Compensation Insurance in accordance with the laws of the State of California and Employers Liability Insurance in an amount not less than one million dollars ($1,000,000) per accident for bodily injury and/or disease for all of the subcontractor’s employees. Any notice of cancellation or non-renewal of all Workers’ Compensation policies must be received by the City at least thirty (30) 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 Consultant for City. This provision shall not apply if Consultant has no employees performing work under this Agreement. If the Consultant has no employees for the purposes of this Agreement, Consultant shall sign the “Certificate of Exemption from Workers’ Compensation Insurance” which is attached hereto as Exhibit C.
II. General Liability Coverage. Consultant 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. If a commercial general liability insurance form 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. Consultant shall maintain automobile liability insurance covering bodily injury and property damage for all activities of the Consultant arising out of or in connection with the work to be performed under this Agreement, including coverage for owned, hired and non-owned vehicles, in an amount of not less than one million dollars ($1,000,000) combined single limit for each occurrence.
IV. Professional Liability Coverage. Consultant shall maintain professional errors and omissions liability insurance for protection against claims alleging negligent acts, errors or omissions which may arise from Consultant’s operations under this Agreement, whether such operations are by the Consultant or by its employees, subcontractors, or sub-consultants. The amount of this insurance shall not be less
Revised 9/2010
than one million dollars ($1,000,000) on a claims-made annual aggregate basis, or a combined single-limit per occurrence basis.
V. Endorsements. Each general liability and automobile liability insurance policy shall be with insurers possessing a current A.M. Best’s rating of no less than A:VII and shall be endorsed with the following specific language or equivalent:
A. The City, its elected or appointed officers, officials, employees, agents and volunteers are to be covered as additional insured with respect to liability arising out of work performed by or on behalf of the Consultant, including materials, parts or equipment furnished in connection with such work or operations. Conforms to ISO CG 2009 and CG 2037 10 01. Both are required.
B. This policy shall be considered primary insurance as respects to the City, its elected or appointed officers, officials, employees, agents and volunteers. Any insurance maintained by the City, including any selfinsured retention the City may have, shall be considered excess insurance only and shall not contribute with it.
C. 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.
D. The insurer waives all rights of subrogation against the City, its elected or appointed officers, officials, employees or agents.
E. Any failure to comply with reporting provisions of the policies shall not affect coverage provided to the City, its elected or appointed officers, officials, employees, agents or volunteers.
F. The insurance provided by this policy shall not be suspended, voided, canceled, or reduced in coverage except after thirty (30) days written notice has been received by the City.
VI. Deductibles and Self-Insured Retentions. Any deductibles or self-insured retentions must be declared to and approved by the City. At the City’s option, Consultant shall demonstrate financial capability for payment of such deductibles or self-insured retention’s.
VII. Certificates of Insurance. Consultant shall provide certificates of insurance with original endorsements to City, as evidence of the insurance coverage required herein. Certificates of such insurance shall be filed with the City on or before commencement of performance of this agreement. Current certification of insurance shall be kept on file with the City at all times during the term of this Agreement.
Revised 10/2007
Exhibit C
Certificate of Exemption From
Workers’ Compensation Insurance
I hereby certify that in the performance of the work for which the Agreement is entered into, I shall not employ any person in any manner so as to become subject to the Worker’s Compensation Laws of the State of California.
Executed on this __________day of ___________, 200__, at Yuba City, California.
By:_______________________________ Title:________________________ ]
[Add Consultant’s name and title]
Agenda Item 10
CITY OF YUBA CITY
STAFF REPORT
Date: July 2, 2024
To: Honorable Mayor & Members of the City Council;Honorable Chairperson and Directors of the Successor Agency to the Redevelopment Agency of the City of Yuba City
From: Public Works
Presentation By: Kevin Bradford, Deputy Public Works Director - Engineering Summary
Subject: 442 B Street Environmental Assessment - Contract Award (RFP1334-24) Recommendation: Adopt a Joint Resolution awarding the 442 B Street Environmental Assessment contract to EKI Environment & Water in the amount of $1,575,000 with the finding that it is in the best interest of the City, and authorizing the City Manager to approve optional tasks therein upon concurrence of the appropriate regulatory agency
Fiscal Impact: $1,575,000 from CIP Account No 1334. This project will be funded through the City’s grant with the California Department of Toxic Substances Control (DTSC) Purpose:
To award a contract to EKI Environment & Water for site investigation and cleanup workplan development services for 442 B Street
Council’s Strategic Goal:
This item addresses Council’s strategic goals of Fiscal Responsibility, Public Safety, and Infrastructure by utilizing grant funding to provide an environmental assessment and cleanup workplan for a property planned for redevelopment.
Background:
In June 1994, the former Redevelopment Agency of the City of Yuba City acquired title to the vacant parcel identified as 442 B Street (Site). On January 10, 2012, the City Council elected to become the Successor Agency to the Redevelopment Agency of the City of Yuba City (Successor Agency), and in 2014 the Site was transferred to the Successor Agency. In 2015, a Long Range Property Management Plan was prepared by Fraser & Associates. The plan recommended the Site be sold for private development. In August 2022, the City Council, acting as the Successor Agency, declared the Site to be surplus land and directed the City Manager of the City to follow procedures set forth in the Surplus Land Act for sale of the property.
In August 2010, a Phase I Environmental Site Assessment (Phase I ESA) was completed at 442 B Street. The purpose of the Phase I ESA was to compile and review available information about the Site
and immediate vicinity to identify recognized environmental conditions (REC) to the extent feasible. The Phase I ESA identified 16 REC’s, of which 12 are considered to be high-priority as they are considered more likely to have resulted in the release of hazardous substances or petroleum products to the Site.
In 2021, the State announced legislation that would expedite the cleanup and beneficial reuse of contaminated properties, with priority given to properties in historically disadvantaged communities. The Department of Toxic Substances Control’s (DTSC) Office of Brownfields Equitable Revitalization Community Grant (ERCG) provides over $250 million to incentivize cleanup and investment in disadvantaged areas.
On October 3, 2023, Council authorized the City Manager to execute all necessary documents to submit an application for Round 2 of the ECRG. This application was for a Site-Specific Investigation to perform a Phase II ESA, supplemental work to evaluate different cleanup methods, and preparation of a cleanup plan. That application was successful and on March 20, 2024, the City signed an award letter totaling $2,086,000 in ECRG funding.
Analysis:
On May 16, 2024, the City issued a Request for Proposals (1334-RFP-24) via the Public Purchase website for site investigation and cleanup workplan development for the 442 B Street Environmental Assessment. The Scope of Services solicited in the RFP included the following tasks:
1. Regulatory Oversight Collaboration
2. Grant Project Management Collaboration
3. Community Engagement
4. Site Investigation and Cleanup Workplan Fieldwork
5. Investigation Report
6. Feasibility/Pilot Study Workplan
7. Cleanup Workplan
Seven (7) qualified consultant firms submitted proposals on or before the June 6, 2024, deadline, which were reviewed and ranked by City staff from the Public Works and Development Services Departments.
Criteria for proposal rankings are listed below:
1. Understanding and Compliance with Request for Proposal
2. Understanding of Project Details
3. Qualifications of Personnel
4. Work Program
5. References
*Rankings are available upon request.
City staff unanimously ranked EKI Environment & Water of Davis, CA (EKI) as the most qualified consultant based on the scoring criteria of the RFP. If approved, EKI, in coordination with Development Services and Engineering staff, will conduct the 442 B Street Environmental Assessment project throughout the 24-25 and 25-26 fiscal years, and complete the project by the ECRG deadline of March 2026.
Since the Successor Agency owns the property, staff is requesting the Successory Agency grant a right of entry to the City and its consultant for the purposes of executing the environmental assessment activities.
Fiscal Impact:
The estimated cost to complete the Environmental Assessment activities is $1,759,000, which includes the proposed consultant contract ($1,575,000), regulatory oversight fees ($57,000), and City Staff time to manage and support the project ($127,000). These costs are fully reimbursable through the ECRG and there is sufficient funding in CIP Account No. 1334 (442 B Street Clean Up) to cover the costs.
The scope of work for environmental assessments and developing workplans to achieve cleanup of sites is variable and dependent upon several factors. Site investigation can uncover unknown contaminants, soil conditions may impact available treatment methods, and regulatory agencies may require additional studies. The consultant contract therefore includes optional tasks that can be approved as the project progresses, if appropriate. The cost of these optional tasks are included in the $1,575,000 contract amount. Staff is requesting authorization for the City Manager to approve these optional tasks upon concurrence from DTSC that the work is appropriate and necessary.
Alternatives:
Direct staff to negotiate a reduced contract cost. A renegotiation will alter the grant timeline and delay project start.
Recommendation:
Adopt a Joint Resolution awarding the 442 B Street Environmental Assessment contract to EKI Environment & Water in the amount of $1,575,000 with the finding that it is in the best interest of the City, and authorizing the City Manager to approve optional tasks therein upon concurrence of the appropriate regulatory agency.
Attachments:
1. Attachment 1 - Joint Resolution - B Street Contract Award
2. Exhibit A: Professional Services Agreement - EKI ECRG Prepared By: Submitted By:
Shannon Sardo
Administrative Analyst
Diana Langley
City Manger
ATTACHMENT 1
RESOLUTION NO. _________
JOINT RESOLUTION OF THE SUCCESSOR AGENCY TO THE REDEVELOPMENT
AGENCY OF THE CITY OF YUBA CITY, AND THE CITY OF YUBA CITY, AWARDING THE 442 B STREET ENVIRONMENTAL ASSESSMENT (REQUEST FOR PROPOSALS NO. 1334-RFP-24) TO EKI ENVIRONMENT AND WATER OF DAVIS, CA IN THE AMOUNT OF $1,575,000 AND AUTHORIZING THE CITY MANAGER TO APPROVE
OPTIONAL TASKS UPON CONCURRENCE OF REGULATORY AGENCIES
WHEREAS, in June 1994, the former Redevelopment Agency of the City of Yuba City acquired title to the vacant parcel located at 442 B Street (APN 52-380-019) (Site); and WHEREAS, in January 2012, the City Council elected to become the Successor Agency to the Redevelopment Agency of the City of Yuba City (Successor Agency); and WHEREAS, in November 2014, ownership of the Site was transferred by grant deed to the Successor Agency; and
WHEREAS, in 2015, a Long Range Property Management Plan was prepared by Fraser & Associates and recommended the Site be sold for private development; and WHEREAS, in August 2022, the Successor Agency declared the Site to be surplus land and directed the City Manager/Executive Director to follow procedures set forth in the Surplus Land Act for the sale of the property; and
WHEREAS, a Phase I Environmental Site Assessment (ESA) identified 16 recognized environmental conditions (REC’s), of which 12 are considered to be high priority as they are considered more likely to have resulted in the release of hazardous substances or petroleum products to the Site; and
WHEREAS, on October 3, 2023, the Successor Agency and City Council authorized the City Manager to execute all necessary documents to submit an application for Round 2 of the ECRG to perform a Phase II ESA, supplemental work to evaluate different cleanup methods, and preparation of a cleanup plan; and
WHEREAS, in March 2024, the California Department of Toxic Substances Control’s Office of Brownfields awarded the City an Equitable Revitalization Community Grant in the amount of $2,0860,000 for a Site-Specific Investigation to perform a Phase II ESA, supplemental work to evaluate different cleanup methods, and preparation of a cleanup plan for the Site; and
WHEREAS, the Public Works Department issued Request for Proposals No. 1334-RFP24 on May 16, 2024 to select a consultant firm to conduct the 442 B Street Environmental Assessment - site investigation and cleanup workplan development, which will fulfill the City’s ERCG project plans and requirements; and
WHEREAS, the City received seven (7) proposals on June 6, 2024 from qualified consultants, which were evaluated by Public Works and Development Services staff and who have recommended EKI Environment and Water of Davis, CA as the most qualified consultant for award based on their completeness of proposal, understanding of project and City needs,
methodology, scope of services and deliverables, project schedule, experience and qualifications, cost, and references; and
WHEREAS, the City desires to award a contract for the 442 B Street Environmental Assessment to EKI Environment and Water of Davis, CA in the amount of $1,575,000.
NOW, THEREFORE, the Board of Directors of the Successor Agency to the Redevelopment Agency of the City of Yuba City, and the City Council of the City of Yuba City, do hereby resolve as follows:
1. The above Recitals are true and correct and incorporated herein as if set forth in full.
2. That EKI Environment and Water of Davis, CA is the most qualified consultant for award based on its demonstrated competence, professional qualifications, availability, fair and reasonable costs, etc. This finding is based on the completeness of the proposal, understanding of project and City needs, methodology, scope of services and deliverables, project schedule, experience and qualifications, cost, and references. An award of the 442 B Street Environmental Assessment contract to EKI Environment and Water of Davis, CA is in the best interests of the City.
3. To award the 442 B Street Environmental Assessment contract to EKI Environment and Water of Davis, CA in the amount of $1,575,000 and authorize the City Manager to enter into an agreement for the same, subject to approval as to legal form by the City Attorney, and to approve optional tasks therein upon concurrence of the appropriate regulatory agency.
4. To grant a right of entry to the property located at 442 B Street (APN 52-380-019) to the City and its consultants for the purposes of executing the environmental assessment activities described herein.
5. This Resolution shall take effect immediately.
The foregoing Resolution was duly and regularly introduced, passed, and adopted by the City Council of the City of Yuba City at a regular meeting thereof held on the 2nd day of July, 2024.
AYES:
NOES:
ABSENT:
Shon Harris,
Chairman of Successor Agency and Mayor
ATTEST:
Ciara Wakefield, Deputy City Clerk and
Deputy Clerk of Successor Agency
APPROVED AS TO FORM
COUNSEL FOR YUBA CITY:
Shannon Chaffin, City Attorney and
General Counsel for Successor Agency
Aleshire & Wynder, LLP
Exhibit:
A. Draft Professional Services Agreement
EXHIBIT A
1 AGREEMENT FOR PROFESSIONAL SERVICES
This Agreement is made and entered into as of July ____, 2024 by and between the City of Yuba City, a municipal corporation (“City”) and EKI Water & Environment (“Consultant”).
RECITALS
A. Consultant is specially trained, experienced and competent to perform the special services which will be required by this Agreement; and B. Consultant possesses the skill, experience, ability, background, certification and knowledge to provide the services described in this Agreement on the terms and conditions described herein; and
C. City desires to retain Consultant to render professional services as set forth in this Agreement.
AGREEMENT
1. Scope of Services. The Consultant shall furnish the following services in a professional manner.
See Attached Project Scope
(Exhibit A)
2. Time of Performance. The services of Consultant are to commence upon execution of this Agreement and shall continue until all authorized work is completed and approved by the City. Finalization shall be completed at the direction of the City of Yuba City.
3. Compensation. Compensation to be paid to Consultant shall be in accordance with the Schedule of Charges set forth in Exhibit A, which is attached hereto and incorporated herein by reference. In no event shall Consultant’s compensation exceed $1,575,000.00 without additional written authorization from the City. Payment by City under this Agreement shall not be deemed a waiver of defects, even if such defects were known to the City at the time of payment.
4. Method of Payment. Consultant shall submit monthly billings to City describing the work performed during the preceding month. Consultant’s invoices shall include a brief description of the services performed, the date the services were performed, the number of hours spent and by whom, and a description of any reimbursable expenses. City shall pay Consultant not later than 30 days after approval of the monthly invoice by City staff. When
2 payments made by the City equal 90% of the maximum fee provided for in this Agreement, no further payments shall be made until the final work under this Agreement has been accepted by City.
5. Extra Work. At any time during the term of this Agreement, City may request that Consultant perform Extra Work. As used herein, “Extra Work” means any work which is determined by City to be necessary for the proper completion of the Project, but which the parties did not reasonably anticipate would be necessary at the execution of this Agreement. Consultant shall not perform, nor be compensated for, Extra Work without written authorization from City.
6. Termination. This Agreement may be terminated by the City immediately for cause or by either party without cause upon fifteen days written notice of termination. Upon termination, Consultant shall be entitled to compensation for services performed up to the effective date of termination. Such compensation is subject to the conditions of Section 4 of this agreement.
7. Ownership of Documents. All plans, studies, documents and other writings prepared by and for Consultant, its officers, employees, agents and subcontractors in the course of implementing this Agreement, except working notes and internal documents, shall become the property of the City upon payment to Consultant for such work, and the City shall have the sole right to use such materials in its discretion without further compensation to Consultant or to any other party. Consultant shall, at Consultant’s expense, provide such reports, plans, studies, documents and other writings to City upon request.
8. Licensing of Intellectual Property. This Agreement creates a nonexclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement (“Documents & Data”). Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regards to Documents & Data which were prepared by design professionals other than Consultant or provided to Consultant by the City. City shall not be limited in any way in its use of the Documents & Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City’s sole risk.
9. Confidentiality. All ideas, memoranda, specifications, plans, procedures, drawings, descriptions, computer program data, input record data, written
3 information, and other Documents & Data either created by or provided to Consultant in connection with the performance of this Agreement shall be held confidential by Consultant. Such materials shall not, without the prior written consent of City, be used by Consultant for any purposes other than the performance of the services under this Agreement. Nor shall such materials be disclosed to any person or entity not connected with the performance of the services under this Agreement. Nothing furnished to Consultant, which is otherwise known to Consultant or is generally known, or has become known, to the related industry shall be deemed confidential.
Consultant shall not use City’s name or insignia, photographs relating to project for which Consultant’s services are rendered, or any publicity pertaining to the Consultant’s services under this Agreement in any magazine, trade paper, newspaper, television or radio production or other similar medium without the prior written consent of City.
10. Consultant’s Books and Records:
a. Consultant shall maintain any and all ledgers, books of accounts, invoices, vouchers, canceled checks, and other records or documents evidencing or relating to charges for services, or 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 Consultant to this Agreement.
b. Consultant shall maintain all documents and records which demonstrated performance under this Agreement for a minimum period of three (3) years, or for any longer period required by law, from the date of termination or completion of this Agreement. c. Any records or documents required to be maintained pursuant to this Agreement shall be made available for inspection or audit, at any time during regular business hours, upon written request by the City Administrator, City Attorney, City Auditor or a designated representative of these officers. Copies of such documents shall be provided to the City for inspection at City Hall when it is practical to do so. Otherwise, unless an alternative is mutually agreed upon, the records shall be available at Consultant’s address indicated for receipt of notices in this Agreement.
d. Where City has reason to believe that such records or documents may be lost or discarded due to dissolution, disbandment or termination of Consultant’s business, City may, by written request by any of the above-named officers, require that custody of the records be given to the City and that the records and documents be maintained in City Hall. Access to such records and documents shall be granted to any party authorized by Consultant, Consultant’s representatives, or Consultant’s successor-in-interest.
4 11. Independent Contractor. It is understood that Consultant, in the performance of the work and services agreed to be performed, shall act as and be an independent contractor and shall not act as an agent or employee of the City.
Consultant shall obtain no rights to retirement benefits or other benefits which accrue to City’s employees, and Consultant hereby expressly waives any claim it may have to any such rights.
Consultant is not a designated employee within the meaning of the Political Reform Act because Consultant:
a. Will conduct research and arrive at conclusions with respect to his/her rendition of information, advice, recommendation or counsel independent of the control and direction of the City or of any City official, other than normal agreement monitoring; and
b. Possesses no authority with respect to any City decision beyond rendition of information, advice, recommendation or counsel. (FPPC Reg. 18700(B)(2).)
12. Interest of Consultant. Consultant (including principals, associates and professional employees) covenants and represents that it does not now have any investment or interest in real property and shall not acquire any interest, direct or indirect, in the area covered by this Agreement or any other source of income, interest in real property or investment which would be affected in any manner or degree by the performance of Consultant’s services hereunder. Consultant further covenants and represents that in the performance of its duties hereunder no person having any such interest shall perform any services under this Agreement.
13. Professional Ability of Consultant. City has relied upon the professional training and ability of Consultant to perform the services hereunder as a material inducement to enter into this Agreement. Consultant shall therefore provide properly skilled professional and technical personnel to perform all services under this Agreement. All work performed by Consultant under this Agreement shall be in accordance with applicable legal requirements and shall meet the standard of quality ordinarily to be expected of competent professionals in Consultant’s field of expertise.
14. Compliance with Laws. Consultant shall use the standard of care in its profession to comply with all applicable federal, state and local laws, codes, ordinances and regulations.
15. Licenses. Consultant represents and warrants to City that it has all licenses, permits, qualifications, insurance and approvals of whatsoever nature, which are legally required of Consultant to practice its profession. Consultant represents and warrants to City that Consultant shall, at its sole cost and
5 expense, keep in effect or obtain at all times during the term of this Agreement, any licenses, permits, insurance and approvals which are legally required of Consultant to practice its profession. Consultant shall maintain a City of Yuba City business license.
16. Indemnity. Consultant agrees to defend, indemnify and hold harmless the City, its officers, officials, agents, employees and volunteers from and against any and all claims, demands, actions, losses, damages, injuries, and liability, direct or indirect (including any and all costs, including attorney fees and expenses in connection therein), arising out of the performance of this Agreement in whole or in part by any negligent act or omission of the Consultant, or anyone directly or indirectly employed by the Consultant or anyone for whose acts the Consultant may be liable, or its failure to comply with any of its obligations contained in this Agreement, except for any such claim arising out of the sole negligence or willful misconduct of the City, its officers, agents, employees or volunteers.
17. Insurance Requirements. Consultant, at Consultant’s own cost and expense, shall procure and maintain, for the duration of the contract, necessary insurance policies as described in Exhibit B.
18. Notices. Any notice required to be given under this Agreement shall be in writing and either served personally or sent prepaid, first class mail. Any such notice shall be addressed to the other party at the address set forth below.
Notice shall be deemed communicated within 48 hours from the time of mailing if mailed as provided in this section.
If to City Kevin Bradford
Deputy Public Works Director - Engineering
City of Yuba City
1201 Civic Center Blvd
Yuba City, CA 95993
(530) 822-4786
[email protected]
If to Consultant: Deepa Gandhi
Principal Engineer
EKI Environment & Water
2001 Junipero Serra Blvd, Suite 300
Daly City, CA 94014
(650) 292-9100
[email protected]
19. Entire Agreement. This Agreement constitutes the complete and exclusive statement of Agreement between the City and Consultant. All prior written
6 and oral communications, including correspondence, drafts, memoranda, and representations, are superseded in total by this Agreement.
20. Amendments. This Agreement may be modified or amended only by a written document executed by both Consultant and City and approved as to form by the City Attorney.
21. Assignment and Subcontracting. The parties recognize that a substantial inducement to City for entering into this Agreement is the professional reputation, experience and competence of Consultant. Assignments of any or all rights, duties or obligations of the Consultant under this Agreement will be permitted only with the express consent of the City. Consultant shall not subcontract any portion of the work to be performed under the Agreement without the written authorization of the City. If City consents to such subcontract, Consultant shall be fully responsible to City for all acts or omissions of the subcontractor. Nothing in this Agreement shall create any contractual relationship between City and subcontractor nor shall it create any obligation on the part of the City to pay or to see to the payment of any monies due to any such subcontractor other than as otherwise is required by law.
22. Waiver. Waiver of a breach or default under this Agreement shall not constitute a continuing waiver of a subsequent breach of the same or any other provision under this Agreement.
23. 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.
24. Controlling Law Venue. This Agreement and all matters relating to it shall be governed by the laws of the State of California and any action brought relating to this Agreement shall be held exclusively in a state court in the County of Sutter.
25. Litigation Expenses and Attorneys’ Fees. If either party to this Agreement commences any legal action against the other party arising out of this Agreement, the prevailing party shall be entitled to recover its reasonable litigation expenses, including court costs, expert witness fees, discovery expenses, and attorneys’ fees.
26. Mediation. The parties agree to make a good faith attempt to resolve any disputes arising out of this Agreement through mediation prior to commencing litigation. The parties shall mutually agree upon the mediator and shall divide the costs of mediation equally. If the parties are unable to agree upon a mediator, the dispute shall be submitted to JAMS/ENDISPUTE (“JAMS”) or its successor in interest. JAMS shall provide the parties with the names of five
7 qualified mediators. Each party shall have the option to strike two of the five mediators selected by JAMS and thereafter the mediator remaining shall hear the dispute. If the dispute remains unresolved after mediation, either party may commence litigation.
27. Execution. This Agreement may be executed in several counterparts, each of which shall constitute one and the same instrument and shall become binding upon the parties when at least one copy hereof shall have been signed by both parties hereto. In approving this Agreement, it shall not be necessary to produce or account for more than one such counterpart.
28. Authority to Enter Agreement. Consultant has all requisite power and authority to conduct its business and to execute, deliver, and perform the Agreement. Each party warrants that the individuals who have signed this Agreement have the legal power, right, and authority to make this Agreement and to bind each respective party.
29. Prohibited Interest. Consultant maintains and warrants that it has not employed nor retained any company or person, other than a bona fide employee working solely for Consultant, to solicit or secure this Agreement.
Further, Consultant warrants that it has not paid nor has it agreed to pay any company or person, other than a bona fide employee working solely for Consultant, any fee, commission, percentage, brokerage fee, gift or other consideration contingent upon or resulting from the award or making of this Agreement. For breach or violation of this warranty, City shall have the right to rescind this Agreement without liability. For the term of this Agreement, no member, officer or employee of City, during the term of his or her service with City, shall have any direct interest in this Agreement, or obtain any present or anticipated material benefit arising there from.
30. Equal Opportunity Employment. Consultant 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. Such non- discrimination shall include, but not be limited to, all activities related to initial employment, upgrading, demotion, transfer, recruitment or recruitment advertising, layoff or termination. Consultant shall also comply with all relevant provisions of City’s Affirmative Action Plan or other related programs or guidelines currently in effect or hereinafter enacted.
IN WITNESS WHEREOF, the parties have caused this Agreement to be executed on the date first written above.
8 CITY OF YUBA CITY: CONSULTANT:
By:___________________________ By:_________________________ Diana Langley [NAME]
City Manager [TITLE]
Attachments: Exhibit A – Scope of Services
Exhibit B – EKI Additional Terms and Conditions
9 EXHIBIT A
Scope of Services for ECRG for 442 B Street, Yuba City
This scope of services provides a description of the EKI proposed tasks (Tasks 1 through 7) and additional optional tasks (Tasks 8 and 9), for the California Department of Toxic Substances Control (DTSC) Equitable Community Revitalization Grant (ECRG) for the 3.85-acre property located at 442 B Street, Yuba City, California (the Site).
Each of the tasks described below includes coordination with Central Valley Regional Water Quality Control Board (Water Board) staff throughout the project to coordinate regulatory oversight of the project.
Each of the tasks described below also include project management services. EKI will coordinate with the City staff throughout implementation of the project, including regular status updates on tasks and schedules, providing invoices and budget updates monthly, and responding to requests for information as they are received. EKI’s invoices will be consistent with the DTSC’s ECRG requirements. More specifically, for each quarterly ECRG reporting period and as required in DTSC’s Fluxx system, EKI will provide the City with a listing of tasks in progress or completed, number of meetings with the Water Board, any difficulty with Water Board timeliness, community outreach performed by Craig Communications, and photographs of investigation and outreach activities, when available. EKI has assumed that the City will be performing the invoice uploads and quarterly reporting into DTSC’s Fluxx system.
Task 1. Conceptual Site Model and Remedial Investigation Work Plan Task 1a – Prepare Conceptual Site Model and Remedial Investigation Work Plan
EKI will prepare a written combined Conceptual Site Model and Remedial Investigation Work Plan (CSM/RIWP) for submittal to Central Valley Regional Water Quality Control Board (Water Board) that will describe the current Site conditions and planned subsurface investigation at the Site.
The CSM/RIWP will contain: (1) a description of the Site, the setting, and what is known about the proposed redevelopment concept; (2) a summary of known environmental conditions at the Site (based on the prior Phase I/II ESAs and other available information) and review of the historical data in context with current screening criteria;
1 (3) a preliminary evaluation of potential exposure and migration pathways for chemicals of concern at the Site sufficient to provide context for the investigation design; (4) a description of the identified data gaps and overview of the investigation design and approach; (5) pre-field planning activities, including acquisition of a drilling permit from Sutter County Development Services Department of Environmental Health (the County); and (6) a description of the proposed sampling activities and methods, including numbers of boreholes, soil 1 EKI will work with the Water Board to select appropriate screening criteria for the Site, which may include San Francisco Bay Regional Water Quality Control Board ESLs, DTSC Human and Ecological Risk Office (HERO) Note 3 screening levels, and/or the United States Environmental Protection Agency (U.S. EPA) Regional Screening Levels (RSLs).
vapor probes, as well as numbers of soil, soil vapor, and groundwater samples collected and proposed laboratory analyses, with rationale provided.
The CSM/RIWP will contain figures showing the locations of the previous sample locations, as well as the proposed sample locations. A schedule for completion of the field work, laboratory analysis, and reporting will be included in the CSM/RIWP. The CSM/RIWP appendices will contain supporting information, including EKI’s Standard Operating Procedures (SOPs) for the various field sample collection techniques. If required by the Water Board, a Site-specific Health & Safety Plan (HSP) will be included as an appendix to the CSM/RIWP.
2 A Draft of the CSM/RIWP will be provided to the City for review and comment. Following receipt of comments from the City on the Draft CSM/RIWP, a Final signed CSM/RIWP, stamped by a California Registered Professional geologist or engineer, will be submitted to the Water Board via GeoTracker upload. EKI will be available to discuss the CSM/RIWP with the Water Board and will respond to Water Board comments on the CSM/RIWP, if any. The proposed budget for this task assumes that EKI will participate in one virtual meeting with Water Board staff and submit one revised Final CSM/RIWP to the Water Board, based on comments received. If the level of effort to respond to Water Board comments exceeds EKI’s assumption for this activity, EKI will discuss with the City.
This task includes agency communications and project management as described above.
Optional Task 1b – Phase I ESA
If requested by the City or recommended by the Water Board or DTSC, EKI will perform a Phase I ESA of the Site in conformance with the scope and limitations of ASTM E1527-21 and the requirements issued by the USEPA in 40 CFR Part 312, Standards and Practices for All Appropriate Inquiries, Final Rule, dated 1 November 2005 (Final EPA AAI Rule). If completed as part of the project kickoff, the Phase I ESA will allow for EKI to observe the Site as well as provide additional information to assist with preparation of the subsurface investigation Work Plan (Task 1a). The ASTM E1527-21 standard and the Final EPA AAI Rule similarly prescribe accepted reasonable efforts to identify conditions indicative of releases and threatened releases of hazardous substances on, at, in, or to the Site, e.g., RECs. ASTM E1527-21 also prescribes measures to identify historical RECs, controlled RECs, Business Environmental Risks, and de minimis conditions at a property. Tasks associated with the performance of a Phase I ESA are listed below.
• Obtain and review readily available historical land use information for the Site and vicinity (e.g., historical aerials and topographic maps, Sanborn maps, and historical City Directory reports typically obtained through Environmental Data Resources, Inc. (EDR), as well as other available online sources of historical information).
• Obtain and review an environmental regulatory database search report, e.g., EDR Radius Map Report, for the Site and vicinity.
• Obtain and review the results of a search for Environmental Liens and Activity and Use Limitations for the Site.
2 If not required by the Water Board, EKI will prepare a HSP as part of Task 3a – Preparation for Field Investigation.