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Request for Proposal

Process and System Solution for Human Resource Management – Payroll / Personnel

City of Rochester

Issue Date: August 29 th 2014 Due Date: October 10 th 2014

NO RESPONSE FORM If you choose not to respond to this Request for Proposals, please email this form back to City of Rochester at your earliest convenience, to the attention of:

Gregory Luna, RFP Coordinator City of Rochester, Public Safety Building 185 Exchange Blvd., Suite 530 Rochester, NY 14614-2162 E-Mail: RFPCoordinator@CityofRochester.gov

RFP

Company:

Address:

Process and System Solution for Human Resource Management – Payroll / Personnel for the City of Rochester.

Contact:

Contact Phone:

Email:

Reason for No-Response:

Project capacity.

Cannot quote competitively. Cannot meet delivery requirements. Cannot meet specifications. Do not want to do business with City of Rochester.

*Other:

*Other reasons for not responding might include insufficient time to respond, do not offer product or service, specifications too stringent, scope of work too small or large, unable to meet government insurance requirements / regulations, cannot meet delivery or schedule requirements, etc

TABLE OF CONTENTS

SECTION 1 – Project Background and RFP Process

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1.1 Request For Proposal

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1.2 Community Profile

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1.3 Scope of Project

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1.4 RFP Process and Procedures

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1.5 Questions and Requests for Clarification and RFP Addenda

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1.6 Transmittal Letter

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1.7 Proposal Submission

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SECTION 2 – Schedule of Events

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2.1 Timetable of Events

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2.2 Description of Events

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SECTION 3 – Guidelines for Proposal Content and Structure

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3.1 Executive Summary

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3.2 Company Background Information

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3.3 Detailed RFP Responses

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3.4 Terms and Conditions

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SECTION 4 – Evaluation Criteria

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4.1

Degree of Fit

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4.2

Project Management Methodology and Implementation Plan

29

4.3

Installation/Training Track Record

29

4.4

Scripted Demonstrations and Gap Analysis

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4.5

On-Going Support Capability

29

4.7

Project/Lifecycle Cost

29

4.8

Minority/Women Owned Business (M/WBE)

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SECTION 5 – Infrastructure and Information Systems Environment

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5.1 Network Environment

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5.2 Servers and Database Environment

30

5.3 Desktop Environment

30

5.4 Mainframe Environment

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5.5 Geographic Information Systems (GIS) Environment

30

5.6 Process and System Integration Environment

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SECTION 6 – Process & System Automation Requirements

6.1 Management of Government Resources – Human Resource Management

SECTION 7 – Technical Requirements

34

31

231

7.3 Architecture

231

7.4 Data Requirements

232

7.5 System Administration, Security and Audits

233

7.6 System Interfaces

234

SECTION 8 – City Of Rochester Agreement for Professional Services

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239

SECTION 1 – Project Background and RFP Process

1.1 Request For Proposal

Date of Issue:

August 29 th 2014

Proposal Due Date:

October 10 th 2014

The City of Rochester, New York (the “City”) is seeking proposals from vendors (“Vendor”) specializing in the design and implementation of a Process and System Solution for Human Resource Management – Payroll / Personnel for the City of Rochester. It is the City’s desire to procure a solution that meets its process and system requirements and is as close to a standard off-the-shelf, enterprise oriented, and service- proven system as possible.

City policy provides for additional weighting of proposals for firms that are located within the City of Rochester (additional 10% weighting) and/or that meet the City’s M/WBE goals (additional 10% weighting). Vendors are encouraged to describe in the proposal their ability/intent to meet the City location and M/WBE goals.

This RFP has been prepared to provide general information, background, and proposal requirements. Please verify by email that you have received the RFP document (sent in Adobe Acrobat PDF format) within 2 business days. If the document you have received is incomplete, please contact the City’s RFP Coordinator:

Gregory Luna, RFP Coordinator Information Technology Phone: 585-428-6024 Email: RFPCoordinator@CityofRochester.gov

The identified RFP Coordinator is the sole point of contact regarding this RFP from the date of distribution until the selection of the successful vendor.

In addition to indicating the contents expected in a proposal, this RFP is intended to generally describe the terms and conditions of an agreement to be entered into by a responsible vendor and the City of Rochester and to assist prospective vendors in determining whether or not to participate in this RFP.

As a result of this RFP, the City of Rochester intends to enter into a contract with the selected vendor(s) to conduct both the Design and Implementation of a Process and System Solution for Human Resource Management – Payroll / Personnel. It is the City’s intent to enter into an agreement with the selected vendor for implementation of the project.

However, this does not commit the City to conclude an agreement for these services. The City of Rochester reserves the right, in its sole discretion, to (a) accept or reject in part or in its entirety any proposal received as a result of this RFP if it is in the best interest of the City to do so; (b) enter one or more agreements with one or more qualified vendors if

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necessary to achieve the objectives of this RFP and if it is in the best interest of the City to do so.

The responsibilities of the City are clearly defined in this RFP. The vendors responding to this RFP shall not make any assumptions about participation by the City’s technical personnel in the project.

1.2 Community Profile

1.2.1 City of Rochester:

The City of Rochester, New York covers approximately 37 square miles, has a population base of 210,000 citizens, and is located in Monroe County, New York. The City’s budget can be found by clicking here.

1.2.2 Services for Citizens (SC)

The following services are provided to City Customers and Constituents.

Business & Housing Development

Licensing, Code Enforcement & Compliance

Public Safety

Community and Social Services

Education, Youth Development & Workforce Training

Environmental Services

1.2.3

Support in Delivery of Services (SDSC)

The following services are provided which support the delivery of services to City Customers and Constituents.

Internal Control and Oversight

Investment Planning and Budgeting

Revenue & Taxation

Communications, Public Affairs & The Customer

City Council Relations

Legal Regulatory Compliance

1.2.4

Management of Government Resources (MGR)

The following services are provided which support the Management of City Government Resources.

Administrative Management

Financial Management

Supply Chain & Asset Management

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Human Resource Management

Information and Technology Management

1.2.4.1 Human Resource Management

The following types of services are provided which support the Management of City Government Resources for Human Resource Management.

HR Strategy and Planning

Organization and Position Management

Personnel Management

Benefits Management

Compensation Management

Customer Services

Labor Relations

Employee Development and Performance Management

HR Information Analytics

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1.3

Scope of Project

The City is requesting proposals for the design and implementation of a solution that will improve the efficiency and effectiveness of Human Resource Management – Payroll / Personnel processes, while ensuring the accurate and timely payment to employees, vendors, and tax authorities. The City has two alternating bi-weekly payrolls, one for Fire and Police and one for civilian bi- weekly. The City also has a weekly payroll encompassing all City departments inclusive of part-time and seasonal employees.

Demographics and Statistics

Number

Additional Information

(approximate)

Total Employees

3,600

 

Full Time Employees

2780

 

Part Time Employees

650

 

Seasonal/Temporary

160

 

Bi-weekly Civilian Employees

1380

 

Weekly Employees

940

 

Police Union Employees

710

 

Fire Union Employees

550

 

City Departments

12

 

Unions

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1. AFSCME Local 1635

2. Rochester Police Locust Club, Inc.

3. International Association of Firefighters, Local 1071

4. International Union of Operating Engineers, Local 832-S

5. Civil Service Employees Association, Local 828

Total City Budget

$499,950,200

 

W2s Issued

4226

 

Annual Payroll

$200,000,000

 

Once the final vendor has been selected, the City will work with the vendor to develop the most cost effective procurement and installation strategy. The City may select more than one vendor in the event that a single vendor cannot meet all requirements for the procurement and installation of the solution.

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1.3.1

Project Objectives

The primary objectives for this project are:

Evaluate and select a Vendor for a new Human Resource Management – Payroll/Personnel solution

Align all City Departments under a service delivery Enterprise Architecture model, which enables the development of cross-functional and standardized processes. With this model, the expected outcomes will be the realization of process efficiencies by eliminating redundant processes and systems and improved data transparency and integrity.

1.3.2 Phased Deployment Strategy

The City is seeking automated alternatives to current Human Resource and Payroll

processes. The complete program will procure and install a Process and System Solution for Human Resource Management in the functional areas defined below and in section

5.6.1 Enterprise Process Architecture – Human Resource Management. The process &

system is proposed to be implemented using the following phased deployment strategy:

Phase 1 – Core Processes – Payroll / Personnel

Service

Process Area

Organization and Position Management

Job Classification and Specification

Personnel Management

Hiring

Personnel Management

Personnel Record Updates

Benefits Management

Enrollment

Benefits Management

Benefits Administration

Compensation Management

Regular (On-Cycle) Payroll Processing

Compensation Management

Special (Off-Cycle) Payroll Processing

Compensation Management

Compliance and Reporting

Future Phases - Non-Core Processes

Service

Process Area

Compensation Management

Other Compensation

Organization and Position Management

Organization Evaluation and Administration

Personnel Management

Recruitment

Personnel Management

Separation

Benefits Management

Benefit Claim Administration

Benefits Management

Compliance & Reporting

Customer Service

All Services

Labor Relations

Discipline (non-Union)

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Employee Development and Performance Management

Learning Management

Employee Development and Performance Management

Safety Administration

HR Information Analytics

Organization and Position Management

HR Information Analytics

Personnel Management

HR Information Analytics

Benefits Management

HR Information Analytics

Compensation Management

1.4 RFP Process and Procedures

Throughout the entire RFP process, the following guidelines and procedures will

apply: The City of Rochester must receive all proposals by October 10 th 2014 at

5 PM (EST).

received after this date. All submitted proposals must be valid through one year

past due date. The City of Rochester maintains the right to discontinue the RFP process with any vendor at any point in time.

The City of Rochester reserves the right to reject any proposal

The City of Rochester will notify in writing any vendor discontinued from the RFP process.

Vendors shall promptly respond in writing to the City of Rochester with additional inquiries. Please see Section 1.5 below for specific instructions on submitting questions and requests for clarification.

The City of Rochester is under no obligation to award a contract to any vendor.

No procedure is in place within this process for reconsideration of a vendor after a choice has been made, and the City of Rochester need give no reason for the selection or rejection of any vendor.

If your RFP response is accepted, the City of Rochester requires the parties to enter into a Professional Services Agreement prior to the commencement of any work. The RFP and RFP responses may form part of said agreement but will be subject to the terms and conditions of the agreement between the City of Rochester and the vendor as set out in Section 3.4.

Participation in the RFP process is the vendor’s sole decision. Although the City of Rochester intends to adhere to the process as stated herein, the City of Rochester reserves the right to modify the process, requirements, and/or timetable. The City of Rochester assumes no liability for costs or damages incurred by the vendor during or resulting from this RFP process.

The City of Rochester reserves the right to:

Reject any and all proposals received in response to this RFP.

Investigate the vendor’s qualifications, financial stability, and ability to perform the required services to successfully implement the vendor’s proposed solution within the City of Rochester.

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Request additional information deemed necessary for the proper evaluation of the vendor’s proposal.

Waive or modify any informal or immaterial deficiency in a proposal after prior notification to the vendor.

If you have any questions concerning the above RFP process and procedures, please see Section 1.5 below for specific instructions on submitting questions and requests for clarification regarding the RFP process.

1.5 Questions and Requests for Clarification and RFP Addenda

Questions that arise prior to or during proposal preparation must be submitted in writing or via email to the City’s RFP Coordinator pursuant to instructions in Section 1.1 of this Request for Proposals. Questions and answers will be provided to all Vendors who have received RFPs and must be acknowledged in the RFP response. No contact will be allowed between the Vendor and any other member of the City with regard to this RFP during the RFP process unless specifically authorized in writing by the City’s RFP Coordinator. Prohibited contact may be grounds for Vendor disqualification.

In the event it becomes necessary to revise any part of this RFP, addenda will be provided to all that received the original RFP.

1.6 Transmittal Letter

The vendor must submit a transmittal letter along with the proposal. The letter is an acknowledgement by the vendor that its attached proposal is the vendor’s official response to the City of Rochester RFP. The letter must state that all information contained in the proposal is factually true and accurately meets the response criteria of all RFP sections. An authorized officer of the vendor’s firm must sign the transmittal letter.

1.7 Proposal Submission

1.7.1 Submission of Sealed Proposals

All proposals and accompanying documentation will become the property of the City of Rochester and will not be returned. Each vendor should provide 10 hard copies and one soft copy on DVD for use by the City of Rochester.

Complete responses are to be packaged, sealed and submitted to the City of Rochester and should be addressed to:

Gregory Luna, RFP Coordinator City of Rochester - Information Technology Public Safety Building 185 Exchange Blvd., Suite 530 Rochester, New York 14614

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The due date is October 10 th 2014 at 5 PM (EST).

All proposals must have a label on the outside of the box or package itemizing the following information:

PROPOSAL ENCLOSED Due:

(Preferably bold, large print, all capital letters)

If sending multiple boxes, please mark each one, X of Y where “X” is the box number and “Y” is the total number of boxes.

1.7.2 Liability for Proposal Preparation Expense

The City of Rochester is not liable for any costs incurred by a Vendor in the preparation and production of a proposal.

1.7.3 Proposal Security

The content of each Vendor's proposal will be held in strict confidence during the evaluation process, and no details of any proposal will be discussed outside the evaluation process.

1.7.4 Record Disclosure/Confidentiality of Proprietary Records

Vendor hereby agrees that all documents furnished shall be subject to public disclosure by the City of Rochester in the normal course of business in accordance with the requirements of the Public Officers Law, Article 6, except for proprietary information the disclosure of which would cause substantial injury to the competitive position of Vendor's enterprise. Information relating to Vendor price submissions, including commercial, book or list pricing, applicable discounts or final price and like information, shall not be entitled to confidentiality protection whether or not submitted or designated as proprietary by the Vendor. Vendor may otherwise preserve proprietary rights as to confidential or business process information in accordance with procedures established under Section 89, Public Officers Law, provided that: (i) Vendor shall inform the City prior to submission of its information, in writing, that such records are going to be furnished, are proprietary and are not to be disclosed; (ii) said records shall be sufficiently identified; and (iii) Vendor shall inform City of Rochester the reasons why the information should be exempted from disclosure; and (iv) designation of said records as exempt from disclosure is reasonable and accepted by the City.

1.7.5 Tax Provisions

Purchases made by the City of Rochester are exempt from New York State and local sales tax and federal excise taxes, but the City of Rochester is not exempt from paying unemployment insurance or federal

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Social Security taxes. The official City of Rochester purchase order or voucher for materials, equipment, and supplies is sufficient evidence to qualify the transaction exempt from sales tax.

SECTION 2 – Schedule of Events

2.1 Timetable of Events

The vendor evaluation and selection process has specific timetables and requirements, as noted below:

Date

Activity

September 16 th 2014

Pre-proposal meeting

October 10 th 2014

Proposals due

October 31 st 2014

Evaluate Proposals

November 14 th 2014

Vendors notified

November 21 st 2014

Conduct Vendor Customer Surveys and/or Site Visits

December 19 th 2014

Conduct Scripted Demonstrations/Gap Analysis with Preferred Vendors

January 23 rd 2015

Complete Vendor Selection for Recommendation

The City of Rochester will delay the Vendor Selection process if required to achieve specific City of Rochester objectives.

2.2 Description of Events

2.2.1 RFP Provided to Vendors

The project will be posted on the City’s website (http://www.cityofrochester.gov/bidandrfp/) beginning August 29 th 2014 for a period of six weeks. During that period, and until the proposal due date, in addition, the RFP will be e-mailed to each candidate vendor identified by August 29 th 2014.

2.2.2 Conduct Pre-proposal meeting with Vendors

Representatives of the City of Rochester will discuss the background of the project, outline the goals and objectives, and describe the proposal review and selection process. Vendors are highly recommended to attend the following Pre-Proposal Meeting:

Pre-Proposal Meeting Tuesday, September 16 th ; 2:00 – 4:00 PM Public Safety Building, 1 st Floor Auditorium 185 Exchange Blvd., Rochester, NY 14614

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2.2.3

Evaluate Proposals

Vendor selection will be based on a rating of Vendor proposals and demonstrations. The following criteria will be used for evaluation and selection:

Degree of fit to the City’s process & system requirements and flexibility to meet potential changes in future business requirements

Project management plan including process analysis/consultation, training, experience, qualifications of and references for the project management team

Scripted demonstration and gap analysis of the proposed solution

Installation/training track record for previous project at locations comparable in scale and scope

Capability to provide on-going support of the proposed solution; and

Project and life cycle cost of the proposed solution

After an initial evaluation for Degree of Fit, Project Management Methodology and Implementation Plan, Installation/Training Track Record, On-Going Support Capability and Project/Lifecycle Cost, the top ranking Vendors will be invited to participate in scripted demonstrations of their proposed solution.

2.2.4 Conduct Scripted Demonstrations with Preferred Vendors

Meetings will be scheduled with the top ranking Vendors to evaluate process & system requirements and obtain clarification or supplemental information which will be evaluated according to the above criteria. It is expected that these demonstrations will be in alignment with our process and system requirements and be as close to a “live” system environment and demonstration as possible. These meetings will be held at the City offices in Rochester and will involve sessions with key business people from each functional discipline. Vendors will be asked to demonstrate the functional capabilities of their proposed systems to identify any potential gaps in functionality following a prescribed script. Vendors should ensure that both the sales and technical members of their organization are present for these demonstrations.

2.2.5 Complete a Gap Analysis

Meetings may be scheduled with each Vendor following the scripted demos to discuss alternative gap solutions for functionality gaps identified during the scripted demos.

2.2.6 Conduct Vendor Customer Surveys and Visits

The top ranking Vendors will be asked to provide the City of Rochester with contact information for at least five Customers who have fully implemented the proposed systems and are willing to participate in a Customer Survey, phone consultation and/or site visit.

2.2.7 Finalize Pricing and Professional Services Agreement Terms

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The vendor and the City of Rochester will negotiate a beneficial agreement to ensure a productive partnership. The selected vendor’s response to this RFP will form the basis of these negotiations and may be considered part of the final agreement.

The City of Rochester has attached its standard Professional Services Agreement (PSA) which will be the basis for the binding contract between the vendor and City of Rochester. The vendor license agreement and statement of work (defined as “contract”) will be attachments to this PSA. Each vendor(s) contract shall minimally cover the following areas:

License fees for use of any software or associated tools, to be scheduled in accordance with the implementation functionality, and fixed at time of contract, to remain unchanged for a period of three years following the final implementation phase.

Consulting/training/implementation plan with associated costs and with a provision to guarantee meeting plan milestones.

Statement concerning the City of Rochester’s access to Source Code and escrow protection.

Provision for the ability to add additional users at any location and point in time.

Annual product maintenance costs tied to a base expenditure and a controlled percentage increase over the lifetime of use by the City of Rochester.

Payment milestones tied to the successful implementation of the vendor’s proposed solution and distributed over an analysis, development/testing, training, production lifecycle.

No additional license fees will be charged for training, development and business continuity based environments.

Any database or other software licenses required must be clearly identified in proposal.

No binding agreement between the vendor and the City of Rochester will be established or inferred until a final PSA, including all terms and conditions, has been signed. In the event of any conflict between this RFP, the vendor response, and the final PSA, the terms of the final PSA will take precedence.

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2.2.8

Select Preferred Vendor(s) and Notify all Vendors

Upon assessment of vendor solutions and completion of negotiations, the evaluation team will select the vendor(s). The City of Rochester may request a follow-up presentation from any vendor.

Each vendor will need to provide clarity on the following:

Current technological and business functionality enhancements scheduled for the next two years.

Cost estimates to implement the vendor solution and support for a period of five years, including at a minimum: the incremental software expense; annual software maintenance; training, implementation, and consulting costs; and estimated annual hardware costs. Refer to section 3.3.3Project Costs and Pricing Options.

Preferred architecture and deployment methodology for implementation.

2.2.9

Finalization of the Design and Implementation Plan

The selected vendor and the City of Rochester evaluation team will collaborate to finalize the design and implementation plan and costs and define the necessary interfaces to third party-data. If the vendor has a partnership with another vendor which supplies software or hardware to meet specific technical or functional requirements, the City of Rochester may elect to negotiate separately with 3 rd party vendors.

SECTION 3 – Guidelines for Proposal Content and Structure

The following section describes the City of Rochester RFP requirements that must be adhered to by each vendor submitting a response to this RFP. Each proposal must be formatted as noted below and must contain the sections described below along with a Table of Contents.

3.1 Executive Summary

The vendor must provide an executive summary of the proposed solution. Areas to be covered include:

Brief overview of proposed solution and how this will benefit the City of Rochester.

Associated costs and timelines for implementation which comprehend the costs to integrate the proposed solution with other 3 rd party solutions.

Any additional information, which will be beneficial to the City of Rochester in the evaluation process.

3.2 Company Background Information

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3.2.1

Brief Historical Summary

The vendor must provide a brief historical summary of the vendor’s company. Areas to be covered include:

Overall Vision and Mission.

Financial history of the company covering the last three years. Attach the most recent copy of your latest financial statements prepared by an independent certified public accountant in accordance with generally accepted accounting principles. Also include the following information: current balance sheet, statement of revenues and expenses, statement of cash flows, and appropriate notes to these documents. 501.3.c organizations must submit their most recent Form 990.

Three-year history of research and development spending as a percentage of revenue.

Company USA locations and associated staffing/functional organizations represented at each location.

General background and current information about the company and key personnel.

Strategic company direction and how this direction will benefit the City of Rochester by referencing specific sections of the City of Rochester RFP.

Current customers.

Additional information useful for the City of Rochester evaluation process.

3.2.2

Vendor Information

In this section each vendor will provide information on your company. Please respond within the format provided. This will ensure that all information is provided and will facilitate our use of the information.

Question

Vendor Response

Official Name of Company

 

Headquarters’ Address

 

Telephone Number

 

Fax Number

 

Federal Tax ID Number

 

Names under which the business has operated within the last 10 years.

 

Contact Name for questions concerning RFP response.

 

Contact’s Telephone Number

 

Contact’s e-mail address

 

Is company authorized and/or licensed to do business in the State of New York?

YES or NO

Does your company have an office in the City of Rochester or County of Monroe?

YES or NO

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Question

Vendor Response

Company Ownership

Public or Private

If Private, list primary owners and their percentage ownership.

 

If Public, list stock trading symbol and market which it is traded.

 

Has corporate ownership changed in the last 5 years? If so, provide details.

YES or NO

Has the company purchased any other companies or divisions of companies in the last 5 years? If so, provide details.

YES or NO

Has the company or any of its principals defaulted on any municipal contracts in the past 5 years? If so, provide details.

YES or NO

Please provide details on any lawsuits involving the company that are currently pending or occurred in the past 5 years.

 

Has your company ever been declared bankrupt or filed for protection from creditors under state or federal proceedings? If so, state the date, court, jurisdiction, amount of liabilities and amount of assets.

YES or NO

Is your Company currently on the approved NYS Contract list? If yes, identify contract services.

YES or NO

Is your Company a Minority or Women Owned Business Enterprise (M/WBE)?

YES or NO

3.2.3 Vendor Customer References and Financial Condition

All Vendors are required to provide the names of at least five customer references similar in size to the City of Rochester with which you have conducted business for the last three years. At least three of which being government organizations and one customer with more than one bargaining unit (Labor Unions). Also include the name of an appropriate contact person in each organization. These references should be customers for which the Vendor has designed and/or implemented a solution of similar size and scale.

The vendor should describe their installed base of clients including the following:

Total number of clients currently utilizing systems similar to the proposed solution.

Clients that are currently undergoing implementation.

Clients that have been fully implemented and live for minimally 1 year.

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Any Clients that have switched to other vendors/solutions.

Representatives of the City of Rochester expect to contact and possibly visit some

of these reference clients. The vendor should provide the following contact

information for these client references:

Customer Reference Information

Contact Information

Company/organization name

Contact name and position

Address

Telephone

E-mail address

Web site address

Demographic Information:

Company/organization size

Solutions/systems installed, in what timeframe and sequence

Date(s) solutions/systems Installed

Number of people required on implementation team from internal staff vs. external resources

Version currently being used

All Vendors must submit their audited financial statements for the last three years,

as well as any interim statements issued since the date of the last annual audited statement.

A company could be disqualified from the bidding process for one of the

following reasons:

1) Severely adverse auditor opinions. 2) Severely adverse contingency notes. 3) Severely adverse reporting in trade financial references.

All Vendors must provide a copy of their certificate of incorporation.

1)

If the Vendor is a partnership comprised of two or more corporations,

then a copy of each partner’s certificate of incorporation, along with a

copy of the partnership papers, must be provided.

2) If the Vendor’s headquarters are not located within New York State, the bidder must provide a copy of their authority from the New York State Attorney General to business in New York State.

3) If the Vendor is a partnership comprised of non-corporate partners, the bidder must provide a copy of its certificate of partnership.

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3.3

Detailed RFP Responses

3.3.1 Assumptions

The vendor must clearly define any assumptions made in preparation of this RFP proposal.

3.3.2 Advantages of Proposed Solution

The vendor should describe the proposed advantages to the City of Rochester and how these relate to the City’s overall project scope.

3.3.3 Project Costs and Pricing Options

The vendor must detail its pricing and payment terms in line with the project deliverables and milestone dates provided in the recommended implementation plan. The proposal must provide a detailed breakdown of charges for each service, product, and license, whether offered directly or indirectly through a third party. An explanation of how cost overruns will be treated in the event of targets not being met must accompany this quotation. If applicable, the Vendor should provide for multiple pricing options (i.e. enterprise, concurrent users, named users, etc.) and detail each of the options.

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On Premise System or ASP (Core Processes)

Estimated Project Costs Implementation Project Costs Costs Post Implementation Costs (5 Years) Describe Hourly or
Estimated Project Costs
Implementation
Project Costs
Costs
Post
Implementation
Costs (5 Years)
Describe
Hourly or Fixed
Cost?
Comment
Licensing Options
License Fees
Implementation Services
- Training
- Project Management
- System Configuration and
Setup
- Travel
- System
Development/Interfaces
- System Data Migration
Total Project Costs
Ongoing Costs
Maintenance and Support Costs
24X7
8:00 AM – 5:00 PM (M-F)
8:00 AM – 5:00 PM (M-S)
Hosting Costs (Optional for ASP)
Other Costs
Hardware and Server Costs
Database Licensing/maintenance
Recommended Time Clocks
Implementations services for
Upgrades

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On Premise System or ASP (Non-Core Processes)

Estimated Project Costs Implementation Post Implementation Costs (5 Years) Describe Hourly or Fixed Cost? Comment
Estimated Project Costs
Implementation
Post
Implementation
Costs (5 Years)
Describe
Hourly or Fixed
Cost?
Comment
Licensing Options
Project Costs
Costs
License Fees
Implementation Services
- Training
- Project Management
- System Configuration and
Setup
- Travel
- System
Development/Interfaces
- System Data Migration
Total Project Costs
Ongoing Costs
Maintenance and Support Costs
Support: 24X7
Support: 8:00 AM – 5:00 PM (M-F)
Support: 8:00 AM – 5:00 PM (M-
Sunday)
Hosting Costs (Optional for ASP)
Other Costs
Hardware and Server Costs
Database Licensing/maintenance
Implementations services for
Upgrades

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SaaS (Core Processes)

Estimated Project Costs Implementation Post Implementation Costs (5 Years) Describe Hourly or Fixed Cost? Comment
Estimated Project Costs
Implementation
Post
Implementation
Costs (5 Years)
Describe
Hourly or Fixed
Cost?
Comment
Licensing Options
Project Costs
Costs
License Fees
Implementation Services
- Training
- Project Management
- System Configuration and
Setup
- Travel
- System
Development/Interfaces
- System Data Migration
Total Project Costs
Ongoing Costs
Maintenance and Support Costs
Support: 24X7
Support: 8:00 AM – 5:00 PM (M-F)
Support: 8:00 AM – 5:00 PM (M-
Sunday)
Hosting Costs
(Include setting up new users,
managing security, configuring
workflows, filing the IRS form 941,
printing W-2’s processing payroll,
and other tasks.)
Other Costs
Hardware and Server Costs
Database Licensing/maintenance
Implementations services for
Upgrades

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SaaS (Non-Core Processes)

Estimated Project Costs Implementation Post Implementation Costs (5 Years) Describe Hourly or Fixed Cost? Comment
Estimated Project Costs
Implementation
Post
Implementation
Costs (5 Years)
Describe
Hourly or Fixed
Cost?
Comment
Licensing Options
Project Costs
Costs
License Fees
Implementation Services
- Training
- Project Management
- System Configuration and
Setup
- Travel
- System
Development/Interfaces
- System Data Migration
Total Project Costs
Ongoing Costs
Maintenance and Support Costs
Support: 24X7
Support: 8:00 AM – 5:00 PM (M-F)
Support: 8:00 AM – 5:00 PM (M-
Sunday)
Hosting Costs
(Include setting up new users;
managing security, configuring
workflows, filing the IRS form 941,
printing W-2’s processing payroll,
and other tasks.)
Other Costs
Hardware and Server Costs
Database Licensing/maintenance
Implementations services for
Upgrades

23

3.3.4

Degree of Fit

The Process & System Automation Requirements (see Section 6 – Process & System Automation Requirements and Section 7 – Technical Requirements) must be completed, with reference comments made to describe what functionality CANNOT be delivered in the current version of the proposed solution and what will be required to address the gap(s). The Process & System Automation requirements are organized based on the City’s Enterprise Process Architecture and grouped by service, process and procedure. The detailed requirements are ordered under each procedure. Presentation order should not be interpreted as the order of importance.

3.3.5 On-Going Support

Training and “Helpline” locations must be identified along with Sales offices. The vendor should describe its various support options and recommend the preferred support option for the City of Rochester based on its proposed solution.

The following values should be used in response to each individual specification.

Place a “Y” in the response column if this is a standard feature / function offered in your base system price to the City. For this response, the City will hold the vendor responsible for delivering that feature or function in its proposed package.

Place a “Z” in the response column if this is not a standard feature / function but the vendor is willing to include this feature at no additional cost.

Place an “M” in the response column if this is not a standard feature / function but the vendor is willing to include this feature at an additional cost.

Place an “N” in the response column if this is not a standard feature / function. Requirements therefore cannot be provided.

Place a “T” in the response column if this feature / function will be provided by a third party.

Xrf – Enter reference code number where a comment has been entered to provide additional clarification to the response

Reference

Requirement

Response

Xrf

#

(Y,Z,N,T)

3.3.5.1

Toll Free Support Phone Number

   

3.3.5.2

24x7 Support

   

3.3.5.3

Software/Application Support

   

3.3.5.4

Remote diagnostic support software

   

3.3.5.5

Remote diagnostic support hardware

   

3.3.5.6

Documented escalation procedures

   

3.3.5.7

Dedicated Tier 2 (Mid-Level expertise) support staff

   

3.3.5.8

Dedicated Tier 3 (Senior-Level expertise) support staff

   

24

Reference

Requirement

Response

Xrf

#

(Y,Z,N,T)

3.3.5.9

Portal to exchange information and support

   

3.3.6 Internal Information Technology Production Environment Support

Identify the various skill sets (e.g. Database Administrator, etc.) required by the City (i.e. IT and/or Operating Department) to properly maintain the system on a day-to-day basis.

3.3.7 Written Documentation

The vendor must describe all technical and user documentation that is provided. In addition the vendor must describe the policy and procedure regarding maintenance and enhancements to the documentation. The vendor must also identify any additional or optional documentation that may be deemed beneficial to the City of Rochester and the associated costs for such documentation.

3.3.8 Product Maintenance

If the vendor proposes any specific products, either directly or through third parties, the vendor must describe the past frequency of new product release updates (not to include Patches), the frequency with which the City of Rochester can expect to receive new product release upgrades (e.g. Yearly, Quarterly), Vendor release support terms (# of previous versions supported) and a comprehensive list of outstanding errors/system deficiencies and the anticipated schedule for their resolution. A description of how the vendor collects customer input on new features that should be implemented in new releases is also required.

For proposed solutions that include software provided by third parties, the vendor should address the following issues:

How does the contracted vendor expect to handle releases of third-party software?

What is the extent of the contracted vendor’s responsibility for software originating with other suppliers?

3.3.9

Project Management Methodology and Implementation Plan

The vendor should describe its project management strategy and methodology as well as provide example deliverables for all major project milestones. This should include but not be limited to the following:

Project Planning Process – include examples of deliverables

Frequency of project meetings

Action Item Tracking

Issue Tracking

Status Reporting

Project Change Management

Problem Resolution

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The vendor is responsible for providing to the City of Rochester a proposed Design and Implementation plan. This plan will adhere to the City of Rochester timelines and will include any and all associated consulting work either by the vendor or a third party. The implementation plan will be reviewed as part of the selection process. The vendor’s proposed implementation plan must include:

Implementation methodology and approach – include examples of deliverables

Project Management, communications, Change Management and reporting

Business process re-engineering and system configuration

Hardware and software training and development of standard procedures

Overall project schedule with detailed timeline

Proposed number of Vendor consultants and resumes for each detailing their qualifications and experience relevant this implementation

Identification of certified M/WBE firms to be included in Vendor’s project team and description of the work they are to perform

Expected deliverables and assumptions

Required skill sets to ensure that the City can perform future maintenance support and release upgrades with minimal to no vendor consulting.

Other areas critical to project success not defined above.

The vendor must describe in detail how it will assist the City of Rochester in accomplishing the above areas. The vendor must provide the proposed number of onsite personnel, and include information on the individuals’ relevant training, experience and qualifications in their resumes. The City of Rochester implementation team, which will be responsible to manage this project the entire engagement, reserves the right to request different people if the selected individuals do not meet or perform to our expectations.

3.3.10 Strategic Direction

The vendor should describe its current technological and business functionality environment as well as any strategic direction determined critical to the vendor’s long term success and viability in the marketplace. This analysis should include a description of how this implementation or project fits into the Vendor’s strategic business plan and must answer the following questions:

What differentiates the vendor from its competitors?

Why should the City of Rochester select and implement the Vendor’s integrated business systems versus that of other vendors?

3.3.11 Annual Reports

Please provide documentation to include recent annual reports or comparable documentation if company is privately held as noted in 3.2.2 and 3.2.3.

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3.4

Terms and Conditions

3.4.1 Acceptance of the Proposal

The City of Rochester reserves the right to reject any proposal. The RFP should not be construed as a contract to purchase services and the City of Rochester shall not be obligated in any manner until a written agreement relating to an approved proposal has been duly executed.

3.4.2 Proposal Revisions

Proposal revisions must be received prior to the proposal submission/closing date and time.

3.4.3 Financing of Proposals

Respondent is solely responsible for any and all costs associated with preparing and submitting proposals and such costs will not be borne by the City of Rochester.

3.4.4 Acceptance of RFP Conditions

Receipt of proposal by the City of Rochester will be considered acceptance of the RFP terms and conditions by the Respondent, and will be incorporated into the Respondent’s proposal.

3.4.5 Subcontracting

Subcontracting is permitted for some requested services as a condition of the anticipated contract for service. Proposed subcontractors must be listed in the proposal.

City policy provides for additional weighting of proposals for firms that are located within the City of Rochester (additional 10% weighting) and/or that meet the City’s M/WBE goals (additional 10% weighting). Vendors are encouraged to describe in the proposal their ability/intent to meet the City location and M/WBE goals.

3.4.6 Warranty

Respondent represents and warrants that it is available to perform the services outlined in its proposal and furthermore that it is under no conflicting obligations that may interfere with its duties to the City of Rochester because of work it may have undertaken with others if its proposal is accepted.

3.4.7 Negotiation Delay

If an agreement cannot be negotiated within fifteen business days of notification to the designated Respondent, the City of Rochester, may, in its sole discretion, terminate negotiations with that Respondent and either negotiate an agreement with another Respondent of its choice or choose to terminate the RFP process and not enter into an agreement with any of the Respondents.

27

3.4.8

Funding and Vendor Selection

The implementation of the selected proposal is dependent upon funding and vendor selection for the work set forth in the proposal being approved by the Rochester City Council. Approval will be requested in a City Council meeting following conclusion of negotiations for the professional services agreement.

3.4.9 Indemnification

Respondent hereby indemnifies and holds the City of Rochester harmless for and against any and all claims, losses, damages, costs, expenses, and other actions made, sustained, brought, threatened or prosecuted in any manner based upon or arising from any communication or action by Respondent in the proposal or purported performance of the agreement herein, or claims relating to the infringement of copyrights, trademarks, trade secrets, patents, or any other confidential information or intellectual property of another.

3.4.10 Termination

The City of Rochester may terminate this proposal at any time for any reason whatsoever and is not obligated to accept the lowest vendor bid proposal.

3.4.10 Proposal Withdrawal

Prior to the proposal closing date, a submitted proposal may be withdrawn by Respondent by submitting a written request to the City of Rochester contact named in the RFP. All such requests must be signed by a duly authorized representative of the Respondent.

3.4.11 Ownership

All documents submitted by Respondents shall become the property of the City of Rochester.

SECTION 4 – Evaluation Criteria

The City of Rochester will review all proposals, rank each vendor based on the criteria noted below and select the preferred vendors to be considered for further evaluation. Vendors will be notified in writing, on or before November 14 th 2014 if they have been selected for further evaluation.

4.1 Degree of Fit

Each proposal will be reviewed to determine the proposed solution’s degree of fit to the City of Rochester’s functional requirements (see Section 6 – Process & System Automation Requirements and Section 7 – Technical Requirements). Included in this review will be the flexibility of the proposed solution to adapt to potential changes to business process and requirements in the future.

28

4.2

Project Management Methodology and Implementation Plan

The City of Rochester will review the Vendor’s project management strategy and methodology to determine its ability to successfully manage this project (see Section 3.3.9). The training, experience and qualifications of the proposed consultant team will be major criteria in the selection of a Vendor. In addition, a survey of the customer references provided by the vendor will be used to verify the vendor’s capability of successfully managing this project.

4.3 Installation/Training Track Record

The City of Rochester requires each proposal to include references of clients that have implemented solutions similar to the Vendor’s proposed solution over a similar timeframe (see Section 3.2.3- Vendor Customer References and Financial Condition). The City of Rochester will perform a survey with these references to determine the Vendor’s capability to deliver on the proposed solution design and implementation plan.

4.4 Scripted Demonstrations and Gap Analysis

After an initial evaluation for Degree of Fit, Project Management Methodology and Implementation Plan, Installation/Training Track Record and On-Going Support Capability and Project/Lifecycle Cost, the top four ranked Vendors will be invited to participate in scripted demonstrations of their proposed solution. These Vendors will be further evaluated on their ability to demonstrate the solution and how well it meets the stated requirements based on the process and procedures listed in the Process & System/Automation Requirements (see Section 6 – Process & System Automation Requirements) and Technical Requirements (see Section 7 – Technical Requirements). Each of these vendors will also be evaluated on the ability to demonstrate how alternative gap solutions will be used to resolve or mitigate gaps in functionality.

4.5 On-Going Support Capability

The City of Rochester will review the Vendor’s capability to provide on-going product support and services after successful implementation of the proposed solution (see Section 3.3.5 – On-Going

4.6 Project/Lifecycle Cost

Each vendor will be evaluated on the project lifecycle economics (costs and delivery of benefits) based on the one time startup cost, the annual operating cost, the five year total cost and an evaluation of the Vendor’s License Agreement and Maintenance Agreement.

4.7 Minority/Women Owned Business (M/WBE)

City policy provides for additional weighting of proposals for firms that are located within the City of Rochester (additional 10% weighting) and/or that meet the City’s

29

M/WBE goals (additional 10% weighting). Vendors are encouraged to describe in the proposal their ability/intent to meet the City location and M/WBE goals.

Systems

Environment

5.1 Network Environment

The City of Rochester consists of 74 networked locations connected by a Metropolitan Area Network (MAN) for both Primary (3) and Secondary (11) sites. Primary and Secondary sites are connected via Gigabit Fiber. Two of the three Primary sites also serve Tertiary sites with a mixture of Fiber, Broadband, and Wireless Backhaul connectivity. Additional information for the network design is available as needed for the purpose of this RFP.

SECTION

5

Infrastructure

and

Information

5.2 Servers and Database Environment

The City’s Data Center is virtualized on servers running VMware ® on Blades mounted on an IBM Blade Center Chassis with Microsoft Active Directory ® (AD) and Exchange Server ® running on the Windows Server ® operating system and MS SQL Server ® . New applications must be able to run on Windows ® Server 2012 SP1, and SQL 2012 SP1 in VMWare ESXi 5.x environments.

5.3 Desktop Environment

All workstations are Intel ® /Microsoft ® based workstations that operate under the Windows ® 7 platforms running the latest service packs. Microsoft ® Office including Word ® , Power Point ® , Excel ® , and Outlook ® is standard. New applications must be fully compatible and supported on Windows ® 7 and Windows ® 8, and compatible with Office versions 2007 through Office 2013.

5.4 Mainframe Environment

The Mainframe environment consists of an IBM Z10 Processor Model F01 running both z/VM (as Host Version 5 Release 4) and z/VSE (as guest Version 5.1) operating systems. The mainframe has a FICON attached IBM DS6800 disk storage systems and an ESCON attached Virtual Tape Appliance (VTA) from Universal Software.

5.5 Geographic Information Systems (GIS) Environment

The City has an Esri Enterprise GIS with a centralized Geodatabase and GIS Servers.

Desktop: Esri ArcGIS for Desktop 10.2, with a mix of Concurrent Advanced and Concurrent Basic licenses. Limited numbers of 3D Analyst, Spatial Analyst, Data Interoperability, and Publisher extensions are

30

GIS Server: Esri ArcGIS for Server Enterprise Advanced 10.2, with separate production and test environments, running on Windows Server 2012.

Enterprise Geodatabase: Esri ArcSDE 10.2, in SQL Server 2012, using Direct Connect.

Enterprise Geodatabase Schema: Esri LGIM (Local Government Information Model) wherever possible.

Web Applications: Self hosted GIS Web applications are built using HTML/Javascript (not Silverlight or Flex.) Wherever possible, LGIM- compliant web applications are used. An ArcGIS Online for Organizations account is available.

5.6 Process and System Integration Environment

The City of Rochester currently utilizes a combination of Internally Developed & Vendor Purchased COTS solutions to support its Enterprise Process Architecture.

5.6.1 Enterprise Process Architecture – City-wide

The City of Rochester’s Enterprise Process Architecture (referred to hereafter as EA) is a blueprint which at the highest layer represents all of the Services the City provides to its Customers and Constituents. It is utilized to align City Departments around optimized cross-functional processes and ensures data integrity and consistency.

The City of Rochester IT Department seeks to model its Application and Information solution environment around this EA. This environment includes a compliment of both Internally Developed and Purchased solutions.

31

32

32

5.6.1

Enterprise Process Architecture – Human Resource Management

Process Architecture – Human Resource Management 5.6.2 Internally Developed Solutions The City of Rochester

5.6.2 Internally Developed Solutions

The City of Rochester has several internally developed solutions which support the following major Services under the EA. The majority are mainframe applications developed in CICS using a 4GL tool called UFO and some in MS Access and other rapid application development tools and xBase languages like DataEase or Foxpro.

Some examples include:

Business & Housing Development – Housing Management

Licensing, Code Enforcement & Compliance

Public Safety - RPD

Community and Social Services – Neighborhood Preservation, Parks & Recreation

Environmental Services – Infrastructure Management, Clean Up Services, Utility Services, Work Order Management

Property Valuation & Taxation

Financial Management – Collections and Receivables

Human Resource Management – HRS and Payroll

33

5.6.3

Purchased Solutions

The City of Rochester has several purchased solutions, which are SQL Server based and support the following major Services under the EA.

Some examples include:

Business & Housing Development – Document Management

Public Safety – Records Management

Community and Social Services – Parking Access and Revenue Control

Environmental Services – Route Optimization

Communications, Public Affairs & The Customer – Customer Relationship Management, Call Center/Case Management

Human Resource Management – Employee Portal and City Website, Applicant Tracking and Recruitment, Time and Attendance, Safety Compliance

Financial Management – Procurement, Collections, Financials & Asset Management

SECTION 6 – Process & System/Automation Requirements

The following sections describe the key processes, procedures and system features/functionality that will be required to deliver the City’s new Human Resource Management – Payroll / Personnel Process and System Solution.

The Process & System Automations Requirements section is organized in the following way:

The first level of the section (6.x) identifies the Service Area and Service Type (i.e. MGR – Management of Government Resources – Human Resource Management) per the City’s EA (see section 5.6.1).

The second level (6.x.x) identifies the Service and Process Area, which represents a group of related processes which support delivery of the Service per the City’s EA.

The third layer (6.x.x.x) identifies the Process for this project within the Process Area and is defined.

The fourth layer (6.x.x.x.x) identifies the Procedures executed within the Process.

A

procedure is defined as a step in the process and it describes what is being done

at

that point in the process. It does not say how it is accomplished and it may be a

manual step or it may in some way be automated by a vendor’s software solution.

The fifth and final layer describes the Functional Requirements for that procedure.

34

The following values should be used in response to each individual specification.

Place a “Y” in the response column if this is a standard feature / function of the solution/system offered in your base system price to the City. These features must be currently in use at other client sites, and no user programming or use of a supplied report writer is required. For this response, the City will assume that the specification is met by the package, the requirement can be demonstrated by the Vendor, and will hold the vendor responsible for delivering that feature or function in its proposed package.

Place a “Z” in the response column if this is not a standard feature / function of the current release of the solution/system but the vendor is willing to customize/configure the system/solution to include this feature at no additional cost or the feature / function will be available in the next release of the solution/system.

Place an “M” in the response column if this is not a standard feature / function of the current release of the solution/system but the vendor is willing to customize/configure the system/solution to include this feature at an additional cost.

Place an “N” in the response column if this is not a standard feature / function even with custom modifications and is not in the next release of the solution/system. Requirements therefore cannot be provided.

Place a “T” in the response column if this feature / function will be provided by a third party.

Place a “N/A” in the response column if the requirement does not apply (i.e. certain technical requirements for hosted solutions)

Xrf – Enter reference code number where a comment has been entered to provide additional clarification to the response.

Column Title

Description

Reference #

The reference number is a number that is used for reference purposes only. They are not in sequential order of importance.

Requirement

In this column is where the functionality requirement is located that the vendor must provide a response to in the Response column.

Response

Enter in this column a value listed above for each individual specification.

(Y,Z,M,N,T)

Xrf

Enter in this column a reference code number where a comment has been entered to provide additional clarification to the response.

35

6.1

SERVICE - MGR - Human Resource Management

6.1.1 PROCESS AREA - Organization & Position Management - Job Classification

and Specification

6.1.1.1 PROCESS - Job Specification Administration

The purpose of this process area is to design, develop, and implement organizational and position structure that outline requirements and competencies in a framework that both advances the city's mission and serves city's human capital needs. The Job Specification outlines the duties and qualifications for each position as an input to Position Classification consistent with Civil Service guidelines leading to Position Creation/Abolishment. Ensure job creation, classification and specification processes are completed according to applicable laws, contractual agreements, administrative policies/procedures, and budgeted table of organization.

6.1.1.1.1 PROCEDURE - Review Job Specification

The purpose of this procedure is to conduct an internal review of existing job specifications to ensure accuracy and identify if updates are required.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.1.1.1

The ability to electronically notify defined users once a Job Specification has passed a defined time frame

Procedure

   

Requirement

6.1.1.1.1.2

The ability to generate a report based on Job Specification Review dates

Reporting

   

6.1.1.1.1.3

The ability to electronically track and notify reviewers of Job Specification Review process

Decision

   

Criteria/Business

Rule

6.1.1.1.1.4

The ability to electronically create and edit Job Specifications

Business Form/User Interface

   

6.1.1.1.2 PROCEDURE - Initiate Job Specification Request

The purpose of this procedure is to initiate a Job Specification Request for a new job or update to an existing job specification. Job Specification refers to the specific duties and responsibilities for a particular position.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

36

6.1.1.1.2.1

The ability to create and complete an electronic Job Specification request.

Procedure

Requirement

6.1.1.1.2.2

The ability to electronically capture the job specification request, with the ability to customize the job specification template to capture specific required information.

Business Form/User Interface

6.1.1.1.2.3

The ability to electronically send the Job Specification request to initiate creations/revisions

Decision

Criteria/Business

Rule

6.1.1.1.3 PROCEDURE - Create Draft Job Specification

The purpose of this procedure is to draft proposed job specifications to be reviewed by appropriate business partners, in preparation for an internal review.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.1.3.1

The ability to create comments in the job specification request without changing the documentation

Procedure

Requirement

   
 

The ability to electronically

Business Form/User Interface

   

6.1.1.1.3.2

track and update status of Job Specifications under Review

6.1.1.1.3.3

The ability to generate an audit trail of all changes made to a job specification request (when and by whom they were made by)

Reporting

   

6.1.1.1.4

PROCEDURE - Update Job Spec Status

 

The purpose of this procedure is to update the Job Specification Status

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.1.4.1

The ability to electronically update existing job specification status

Procedure

Requirement

   

37

6.1.1.1.5

PROCEDURE - Suggest Job Specification Revisions

The purpose of this procedure is to review a draft Job Specification and provide comments and feedback for modification.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.1.5.1

The ability to workflow job specification changes to appropriate users

Procedure

Requirement

   

6.1.1.1.6

PROCEDURE - Incorporate Revisions

 

The purpose of this procedure is to update the draft Job Specification based on the reviewers' comments and supply to the Civil Service Admin unit.

 

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.1.6.1

The ability to electronically edit the Job Specification documents and associated forms

Procedure

Requirement

   

6.1.1.1.6.2

The ability to review comments made within the document by other users

Business Form/User Interface

   

6.1.1.1.6.3

The ability to automatically route Job Specifications

Decision

   

Criteria/Business

 

Rule

6.1.1.1.7 PROCEDURE - Prepare for Civil Service Review

The purpose of this procedure is to complete the package of information to be presented to the commission, including the 'abstract' (high level overview of changes).

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.1.7.1

The ability to electronically send final proposed Job Specification to designated user

Procedure

   

Requirement

6.1.1.1.7.2

The ability to print job specification and associated forms

Reporting

   

6.1.1.1.7.3

The ability to create, print and electronically send a Job Specification summary report

Reporting

   

38

6.1.1.1.8

PROCEDURE - Notify Job Spec is Adopted or Denied

The purpose of this activity is to notify the participants of the decision of the Civil Service Commission meeting

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.1.8.1

The ability to store the life of a job specification description

Procedure

   

Requirement

6.1.1.1.8.2

The ability to electronically notify designated users of approval/rejection

Decision

   

Criteria/Business

Rule

6.1.1.1.9 PROCEDURE - Publish Job Specification

The purpose of this procedure is to publish the Job Specification record in the applicant tracking and recruitment (SIGMA) system and upload it to the employee portal.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.1.9.1

The ability to export final Job Specification documents in multiple formats to designated internal and external locations/people (Word, RTF, PDF)

Procedure

   

Requirement

6.1.1.2 PROCESS - Position Classification Administration

The purpose of this process is to classify or reclassify a city position from City department requests. Classification refers to where a position fits within the broader organizational structure. The Job Specification outlines the duties and qualifications for each position as an input to Position Classification consistent with Civil Service guidelines leading to Position Creation/Abolishment.

6.1.1.2.1 PROCEDURE - Initiate Classification Request

The purpose of this procedure is to initiate a request for Classification / Reclassification of a City Position. Classification refers to where a position fits within the broader organizational structure.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.2.1.1

The ability to allow designated users to request a change to an existing classified position (position classification include

Procedure

   

Requirement

39

 

job title, job description, wage rate, department, bureau and appropriate budget associations (organization/object and fund).

 

6.1.1.2.1.2

The ability to allow designated users to attach documents to the classification request.

Security (User Permissions/Access, Compliance)

6.1.1.2.1.3

The ability to allow designated users to request an existing classified position be abolished.

Security (User Permissions/Access, Compliance)

6.1.1.2.1.4

The ability to allow designated users to request the creation of a newly classified position information includes job title, job description, wage rate, department, bureau, MUNIS organization code, sub-bureau and appropriate budget associations (org/obj).

Security (User Permissions/Access, Compliance)

6.1.1.2.2 PROCEDURE - Make Classification Request Decision

The purpose of this procedure is to approve/deny a Less Than Full Time/Permanent classification request; or make recommendations to the Budget Director about the Full Time/Permanent classification request.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.2.2.1

The ability to provide electronic workflow to route and approve personnel requests to the designated users.

Procedure

Requirement

   

6.1.1.2.2.2

The ability to automatically assign unique identifying codes to each submitted personnel action request based on business rules (e.g. alpha- numeric tied to budget year)

Business Form/User Interface

   

6.1.1.2.3

PROCEDURE - Update Status

 

The purpose of this procedure is to capture the Budget decision of a position classification request.

 

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

40

6.1.1.2.3.1

The ability to provide electronic workflow to route and approve position classifications requests.

Procedure

Requirement

6.1.1.2.3.2

The ability to provide a text field for users to enter comments and notes.

Business Form/User Interface

6.1.1.2.3.3

The ability to flag position classifications requests that are on hold, incomplete.

Business Form/User Interface

6.1.1.2.3.4

The ability to override position classification requests and make edits

Business Form/User Interface

6.1.1.2.4 PROCEDURE - Inform Department of Decision

The purpose of this procedure is to inform City departments that their classification request has been put on-hold or denied. Possible types of reasons: out-sourcing service agreements, pending funding, budgetary, or timing. Department’s next steps depend on the type.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.2.4.1

The ability to electronically workflow position classification decision to appropriate users

Procedure

   

Requirement

6.1.1.2.5 PROCEDURE - Route Position Classification for Approval

The purpose of this procedure is to route full time permanent classification/requisition requests to Hiring Freeze Committee (Budget Director, Director of Human Resources, Staffing Manager, Mayor)

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.2.5.1

The ability to electronically view the Civil Service Eligible list, Preferred list, transfer list

Procedure

   

Requirement

6.1.1.2.5.2

The ability to integrate with external systems holding different lists and information

System

   

Interface/Data

Integration

6.1.1.2.5.3

The ability to provide electronic workflow to route position classification requests

Decision

   

Criteria/Business

Rule

6.1.1.2.5.4

The ability to generate report

Reporting

   

41

of recommendations and non recommendations

of recommendations and non recommendations

of recommendations and non recommendations
of recommendations and non recommendations
of recommendations and non recommendations

6.1.1.2.6 PROCEDURE - Recommend Classification Request

The purpose of this procedure is for approved authorities to review the draft Classification change request for comments, questions, and approval.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.2.6.1

The ability to electronically workflow position classification recommendations to next approvers

Procedure

   

Requirement

6.1.1.2.6.2

The ability to electronically approve or deny classification requests and deactivate those that have been denied.

Business Form/User Interface

   

6.1.1.2.7 PROCEDURE - Approve/ Deny Request

The purpose of this procedure is to approve or deny the proposed position classification request and provide departments with mayoral approval to move forward with creating the new position, filling budgeted vacancy.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.2.7.1

The ability to provide electronic notification to designated users (e.g. staffing, department heads, and budget)

Procedure

   

Requirement

6.1.1.2.8 PROCEDURE - Notify Departments of Mayor's Determination

The purpose of this procedure is to communicate the Mayors determination to the appropriate department(s), ensuring they are aware and can take the appropriate next steps.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.2.8.1

The ability to electronically notify all required parties

Procedure

   

Requirement

6.1.1.2.8.2

The ability to electronically workflow PARFS

Decision

   

Criteria/Business

 

Rule

42

6.1.1.2.9

PROCEDURE - Summarize Classification Package

The purpose of this procedure is to incorporate additional documentation into the classification/reclassification request package to be sent to the Civil Service Committee for review.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.2.9.1

The ability to automatically generate classification/reclassification Class Log for Civil Service meeting

Procedure

   

Requirement

6.1.1.2.9.2

The ability to electronically workflow position classification requests (including attached supporting documents to Civil Service Admin unit)

Decision

   

Criteria/Business

Rule

6.1.1.2.9.3

The ability to electronically populate position classification requests based on business rules (required fields to be defined by users)

Business Form/User Interface

   

6.1.1.2.10 PROCEDURE - Prepare for Civil Service Review

The purpose of this procedure is to compile documentation for approved Classification change requests to be reviewed by the Civil Service Commission.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.2.10.1

The ability to generate letters notifying employees of pending reclassifications.

Procedure

   

Requirement

6.1.1.2.10.2

The ability to attach electronic documents to position classifications.

Business Form/User Interface

   

6.1.1.2.11 PROCEDURE - Document Approved/ Rejected Classification

The purpose of this procedure is to document the results of the Civil Service Commission review of a proposed Classification change request.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.2.11.1

The ability to provide a text

Procedure

   

43

 

field for entering notes and comments

Requirement

6.1.1.2.11.2

The ability to electronically notify designated users

Decision

Criteria/Business

 

Rule

6.1.1.2.11.3

The ability to electronically workflow the classification decision and automatically update

Decision

Criteria/Business

Rule

6.1.1.2.11.4

The ability to restrict access on comments – such as denoting them as private/internal vs. general

Decision

Criteria/Business

Rule

6.1.1.2.12 PROCEDURE - Notify Request is Approved/On-Hold

The purpose of this activity is to notify City Departments of decisions made regarding approved and rejected Position Classification requests.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.2.12.1

The ability to electronically notify designated users of position classification status

Procedure

   

Requirement

6.1.1.2.12.2

The ability to electronically workflow updates to all related data capturing position classification information (e.g. Cert list, postings, position action requests)

Decision

   

Criteria/Business

Rule

6.1.1.2.13 PROCEDURE - Submit Position Classification Change to Local Civil

Service Commission The purpose of this procedure is to request of the local Civil Service Commission the approval to change jurisdictional class associated with the position.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.2.13.1

The ability to pre populate classification information (e.g. position name/title, department, number of positions, salary) to be defined

Procedure

   

Requirement

6.1.1.2.13.2

The ability to provide a text field for entering notes and

Business Form/User Interface

   

44

 

comments

 

6.1.1.2.13.3

The ability to electronically attach documents to requests

Business Form/User Interface

6.1.1.2.13.4

The ability to electronically track status of requests

Reporting

6.1.1.2.14 PROCEDURE - Submit Position Classification Change to New York

State Civil Service The purpose of this procedure is to request of the New York State Civil Service Commission the approval to change jurisdictional class associated with the position.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.2.14.1

The ability to electronically submit appendices to New York State Civil Service Commission.

Procedure

   

Requirement

6.1.1.2.14.2

The ability to pre populate classification information (e.g. position name/title, department, number of positions, salary) to be defined

Business Form/User Interface

   

6.1.1.2.14.3

The ability to provide a text field for entering notes and comments

Business Form/User Interface

   

6.1.1.2.14.4

The ability to electronically attach documents to requests

Business Form/User Interface

   

6.1.1.2.15 PROCEDURE - Notify of New York State Civil Service Commission

Determination The purpose of this procedure is to share the New York State Civil Service Commission decision regarding the position classification request with key stakeholders as necessary.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.2.15.1

The ability to electronically notify designated users/groups

Procedure

   

Requirement

6.1.1.2.15.2

The ability to electronically workflow decisions and update the job class code

Decision

   

Criteria/Business

Rule

6.1.1.2.15.3

The ability to electronically update any active employee with approved job class code

Business Form/User Interface

   

45

 

based on business rules.

 

6.1.1.2.15.4

The ability to electronically flag specified job class for future updates

Business Form/User Interface

6.1.1.2.16 PROCEDURE - Update Position Classification

The purpose of this procedure is to utilize the determination of the New York State civil service commission to make the appropriate system updates to the impacted position.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.2.16.1

The ability to apply electronic workflow for updating position classification

Procedure

   

Requirement

6.1.1.2.16.2

The ability to automatically update the position availability report when a new position has been created/classified.

Reporting

   

6.1.1.2.16.3

The ability to electronically view in real time the position availability report.

Reporting

   

6.1.1.2.16.4

The ability to apply user access restriction.

Security (User Permissions/Access, Compliance)

   

6.1.1.2.16.5

The ability to electronically pre populate the job class code.

Business Form/User Interface

   

6.1.1.2.16.6

The ability to automatically generate new position number.

Business Form/User Interface

   

6.1.1.2.16.7

The ability to enter start and end date of a position

Business Form/User Interface

   

6.1.1.3 PROCESS - Position Action Administration (Position Create / Abolish)

The purpose of this process is to add or remove City positions from the operating budget and the corresponding table of organization detailing all city positions, titles and their status. Note that this process differs based on whether it is being completed during the annual budget process or during the fiscal year.

6.1.1.3.1 PROCEDURE - Submit Abolish Only Request

The purpose of this activity is to submit a request to initiate the process of abolishing a city position.

46

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.3.1.1

The ability to electronically submit request to abolish position

Procedure

   

Requirement

6.1.1.3.2 PROCEDURE - Submit Position "Early" Creation Request

The purpose of this activity is to submit the required information in order to initiate the process of early create for a city temp or seasonal position.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.3.2.1

The ability to electronically submit the request for creating or abolishing a position

Procedure

Requirement

   

6.1.1.3.2.2

The ability to provide workflow approvals for position creation request.

Decision

   

Criteria/Business

Rule

6.1.1.3.2.3

The ability to pre-populate the job classification log (to be defined)

System

   

Interface/Data

Integration

6.1.1.3.3

PROCEDURE - Submit Create / Abolish Enactment

 

The purpose of this procedure is to initiate a Create / Abolish Enactments for a City position.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.3.3.1

The ability to allow designated users to electronically enter changes proposed in a classification request.

Procedure

Requirement

   

6.1.1.3.3.2

The ability to workflow changes to designated users for approval.

Decision

   

Criteria/Business

Rule

6.1.1.3.3.3

The ability to electronically view position availability in real time based on budgetary table of organization.

Business Form/User Interface

   

6.1.1.3.3.4

The ability to electronically track positions whether budgeted or not budgeted.

Business Form/User Interface

   

6.1.1.3.3.5

The ability to allow existing

Business Form/User

   

47

 

titles to be abolished. Retain all information and history associated with job title but mark as abolished and prevent any employee from occupying job title.

Interface

6.1.1.3.3.6

The ability to allow new titles to be created with an associated job description, job class, wage rate, union association, bureau, sub-bureau and appropriate budget associations (organization/object and fund).

Business Form/User Interface

6.1.1.3.3.7

The ability to associate budgeted funds for a position.

Decision

Criteria/Business

 

Rule

6.1.1.3.3.8

The ability to electronically workflow position create or abolish appropriate approver

Business Form/User Interface

6.1.1.3.4 PROCEDURE - Approve Create / Abolish Enactment

The purpose of this activity is to obtain approval from the Budget Director for a Position Create / Abolish Enactment.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.3.4.1

The ability to allow designated individuals to reject or approve classification changes

Procedure

Requirement

   

6.1.1.3.4.2

The ability to electronically capture create/abolish form to be defined.

Business Form/User Interface

   

6.1.1.3.5

PROCEDURE - Update Status

 

The purpose of this activity is to update the status of Budget approval for a Position Create / Abolish Enactment.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.3.5.1

The ability to electronically workflow the approval process for position create/abolish requests to appropriate designated individuals.

Procedure

Requirement

   

48

6.1.1.3.5.2

The ability to generate create/abolish form in Tagged Image File format.

Reporting

6.1.1.3.5.2 The ability to generate create/abolish form in Tagged Image File format. Reporting
6.1.1.3.5.2 The ability to generate create/abolish form in Tagged Image File format. Reporting

6.1.1.3.6 PROCEDURE - Approve Create / Abolish Enactment

The purpose of this activity is to obtain approval from the DHRM Director for a Position Create / Abolish Enactment.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.3.6.1

The ability to electronically workflow position create or abolish to appropriate approver

Procedure

   

Requirement

6.1.1.3.7 PROCEDURE - Approve Request - Abolish Only

The purpose of this activity is to obtain approval from the Director of Human Resources, Budget Director and Mayor and for an abolish only request.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.3.7.1

The ability to electronically workflow position create or abolish appropriate approver

Procedure

Requirement

   

6.1.1.3.8

PROCEDURE - Approve Early Create Request

 

The purpose of this procedure is to approve a Position Early Create request.

 

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.3.8.1

The ability to provide capability for electronic signature

Procedure

Requirement

   

6.1.1.3.8.2

The ability to electronically populate early create request

Business Form/User Interface

   

6.1.1.3.8.3

The ability to electronically workflow for approval

Decision

   

Criteria/Business

 

Rule

6.1.1.3.9 PROCEDURE - Distribute Create / Abolish Enactment

The purpose of this activity is to distribute the completely signed Create / Abolish Position Enactment of newly created / abolished positions.

49

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.3.9.1

The ability to electronically view all approvals

Procedure

Requirement

   

6.1.1.3.9.2

The ability to electronically notify designated users

Decision

   

Criteria/Business

 

Rule

6.1.1.3.9.3

The ability to automatically update position availability based on defined procedure rules

Business Form/User Interface

   

6.1.1.3.9.4

The ability to electronically view enactments by designated users.

Security (User Permissions/Access, Compliance)

   

6.1.1.3.9.5

The ability to prompt the Requisition process/request to fill.

Business Form/User Interface

   

6.1.1.3.10

PROCEDURE - Create/ Abolish City Position

 

The purpose of this activity is to create or abolish a City position in the HRS system.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.1.1.3.10.1

The ability to electronically update/view position availability based on the budgeted table of organization.

Procedure

Requirement

   

6.1.1.3.10.2

The ability to disallow abolish of occupied positions.

Business Form/User Interface

   

6.2 SERVICE - MGR - Human Resource Management

6.2.2 PROCESS AREA - Organization & Position Management - Organization

Evaluation & Administration

6.2.2.1 PROCESS - Organization Evaluation & Administration

The purpose of this process is to assess, develop, implement and control the City's organization and position structure, which is governed by the City's Budget, position requirements and competencies, in a framework that both advances the City's mission and

50

serves city's human capital needs.

6.2.2.1.2 PROCEDURE - Assess Organizational Impact

The purpose of this process is to assess the impact that the proposed personnel budget will have on the organization and to aid in the development of the organization and position management program. This program establishes the Organizational structure (i.e. Departments, Bureaus, Sub-bureaus), the positions within the organization and the salary schedules for all positions.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.2.2.1.2.1

The ability to assess the impact that the proposed personnel budget will have on the organization and to aid in the development of the organization and position management program.

Procedure

   

Requirement

6.2.2.1.2.2

The ability to electronically post initial recommended organizational improvements

Business Form/User Interface

   

6.2.2.1.2.3

The ability to electronically scan and store grant documents

Business Form/User Interface

   

6.2.2.1.3 PROCEDURE - Develop Organization and Position Management

Program The purpose of this procedure is to create and update organizational tables and positions based on projections or other pre-defined criteria (i.e. contract changes, wage increases, etc.)

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.2.2.1.3.1

The ability to automatically create and update organizational tables and positions based on projections or other pre-defined criteria (i.e. contract changes, wage increases, etc.)

Procedure

Requirement

   

6.2.2.1.3.2

The ability to associate a budget code to all positions defined in the organization and position management program

Business Form/User Interface

   

6.2.2.1.3.3

The ability to provide complete integration between budgeting and human resources

System

   

Interface/Data

Integration

51

processes, position and budget control

processes, position and budget control

processes, position and budget control
processes, position and budget control
processes, position and budget control

6.2.2.1.4 PROCEDURE - Propose Organization and Position Management

Program The purpose of this procedure is to propose and seek approval of the Organization and Position Management program. This program establishes the Organizational structure (i.e. Departments, Bureaus, Sub-bureaus), the positions within the organization and the salary schedules for all positions.

Reference #

Requirement

Requirement Type

Response

Xrf

     

(Y,Z,T,N)

 

6.2.2.1.4.1

The ability to propose and seek approval of the Organization and Position Management program

Procedure

Requirement

   

6.2.2.1.4.2

The ability to automate workflow approvals and notifications to pre-defined stakeholders

Decision

   

Criteria/Business

Rule

6.2.2.1.4.3

The ability to electronically attach support document to the proposal

Business Form/User Interface

   

6.2.2.1.5 PROCEDURE - Approve/Reject Organization and Position Management

Program The purpose of this procedure is to approve or reject the Organization and Position Management program.

Reference #

Requirement

Requirement Type

Response