REQUEST FOR QUALIFICATIONS -- THIS IS NOT AN ORDER

CITY OF CARMEL-BY-THE-SEA
ADMINISTRATIVE SERVICES DEPARTMENT
RFP #ERP-001
FINANCE, PAYROLL, HUMAN RESOURCE SYSTEM
JUNE 5, 2014
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page ii
TABLE OF CONTENTS
1. Background ............................................................................................................ 1
1.1 Carmel-by-the-Sea.......................................................................................... 1
1.2 Project Overview............................................................................................. 2
2. Definitions .............................................................................................................. 1
3. Bidding Process ...................................................................................................... 2
3.1 Introduction ................................................................................................... 2
3.2 Rules of Procurement ...................................................................................... 2
3.2.1. Bidding Requirements and Conditions ..................................................... 2
3.2.2. Bidding Steps..................................................................................... 3
3.2.3. Delivery of RFP ERP-001 and Preparation of Response:.............................. 4
3.2.4. Contract Award .................................................................................. 5
3.3 Procurement Official ........................................................................................ 5
3.4 Key Action Dates ............................................................................................ 6
4. Proposal Format and Instructions .............................................................................. 7
4.1 Administrative Volume...................................................................................... 7
4.1.1. Appendix A - General Terms & Conditions ................................................ 7
4.1.2. Appendix B - Solicitation Exceptions........................................................ 7
4.1.3. Appendix C - Non Collusion Affidavit ....................................................... 7
4.1.4. Appendix D – Minimum Insurance Requirements........................................ 7
4.1.5. Appendix E – HIPAA Business Associate Form.......................................... 7
4.1.6. Appendix F - Vendor Contact Information ................................................. 7
4.1.7. Appendix G – Vendor Hosting Form........................................................ 7
4.1.8. Appendix H – Customer References........................................................ 7
4.1.9. Appendix I - Risk Assessment Questionnaire............................................. 7
4.1.10. Appendix J – Proposed Key Personnel .................................................... 7
4.1.11. Appendix N -Summary of Project Deliverables ........................................... 8
4.1.12. Appendix Q - Standard Vendor License, Maintenance and Support Agreements 8
4.2 Requirements Traceability Matrix........................................................................ 8
4.3 Technical Volume ........................................................................................... 8
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page iii
4.3.1. RFP Requirements Compliance Matrix..................................................... 8
4.3.2. Cover Letter ...................................................................................... 9
4.3.3. Executive Summary............................................................................. 9
4.3.4. Overall Solution Approach................................................................... 10
4.3.5. Functional Requirements Response...................................................... 10
4.3.6. Technical Requirements Response....................................................... 10
4.3.7. Management Requirements Response .................................................. 11
4.3.8. Project Management.......................................................................... 11
4.3.9. Knowledge Transfer and Training ......................................................... 11
4.3.10. System Design and Development ......................................................... 11
4.3.11. Data Conversion............................................................................... 11
4.3.12. Testing........................................................................................... 11
4.3.13. Implementation................................................................................. 11
4.3.14. Security .......................................................................................... 11
4.3.15. Risk Management ............................................................................. 12
4.3.16. Quality Management.......................................................................... 12
4.3.17. Production Support............................................................................ 12
4.3.18. Maintenance and Support ................................................................... 12
4.3.19. Deliverable and Acceptance Process Response....................................... 12
4.4 Cost Volume................................................................................................ 12
5. Statement of Work............................................................................................ 13
5.1 Administrative Requirements ........................................................................... 13
5.1.1. Project Schedule .............................................................................. 13
5.1.2. Proposed Key Personnel .................................................................... 13
5.1.2.1. Contractor Project Manager................................................................. 13
5.1.2.2. Senior Architect (Technical Lead) ......................................................... 14
5.1.2.3. System Development Manager ............................................................ 16
5.1.3. Proposed Business Solution................................................................ 17
5.1.4. Proposed Technical Architecture .......................................................... 17
5.1.4.1. Software......................................................................................... 17
5.1.4.2. Hardware........................................................................................ 18
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page iv
5.1.4.3. Support .......................................................................................... 18
5.1.4.4. Recommended Hardware and Software ................................................. 18
5.2 General Requirements ................................................................................... 18
5.2.1. Period of Performance ....................................................................... 18
5.2.2. Payment Terms and Conditions............................................................ 18
5.2.3. Quality Assurance Review Provision...................................................... 18
5.2.4. Executive Committee......................................................................... 18
5.2.5. Liquidated Damages.......................................................................... 18
5.2.6. Final Project Management Plan............................................................ 19
5.2.7. Staffing Approach and Availability......................................................... 19
5.2.8. Contractor Staff Location .................................................................... 19
5.2.9. Subcontractor Changes...................................................................... 19
5.2.10. Staffing Changes .............................................................................. 20
5.2.11. Meetings......................................................................................... 20
5.2.12. Progress Reports.............................................................................. 20
5.2.13. Standards for Acceptance of Deliverables............................................... 20
5.2.14. Knowledge Transfer .......................................................................... 21
5.3 Functional, Technical and Management Requirements .......................................... 21
5.3.1. Functional Requirements Set ............................................................... 21
5.3.2. Technical Requirements Set ................................................................ 22
5.3.3. Management Requirements Set ........................................................... 22
5.4 Summary of Project Deliverables ...................................................................... 23
5.5 Key Milestones............................................................................................. 24
6. Evaluation............................................................................................................. 25
6.1 Cost Tables ................................................................................................. 25
6.2 Evaluation Team........................................................................................... 25
6.3 Receipt of Proposals...................................................................................... 25
6.4 Evaluation of Proposals.................................................................................. 25
6.4.1. Corporate Reference / Experience ........................................................ 26
6.4.2. Project Management Plan................................................................... 26
6.4.3. Business Solution / Technical Architecture / Functional, Technical & Management
Requirements .................................................................................. 26
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page v
6.4.4. Data Conversion Approach ................................................................. 27
6.4.5. Implementation / Training Approach ...................................................... 27
6.4.6. Cost............................................................................................... 28
6.5 Grading Summary......................................................................................... 29
7. Final Acceptance ................................................................................................... 29
TABLE OF TABLES
Table 1: Events/Actions – RFP ERP-001 .............................................................................. 6
Table 2: RFP Requirements Compliance Matrix ..................................................................... 8
Table 3: Contractor Project Manager Qualifications............................................................... 14
Table 4: Senior Architect (Technical Lead) Qualifications........................................................ 15
Table 5: System Development Manager Qualifications........................................................... 16
Table 6: Functional Requirements Categories...................................................................... 21
Table 7: Technical Requirements Set................................................................................. 22
Table 8: Management Requirements Set ............................................................................ 22
Table 9: Summary of Project Deliverables........................................................................... 23
Table 10: Assessment Categories..................................................................................... 25
Table 11: Scoring Criteria................................................................................................ 27
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 1
1. BACKGROUND
1.1 CARMEL-BY-THE-SEA
Located just 120 miles south of San Francisco on the California coast, the City of Carmel-by-the-Sea (pop.
3,684) prides itself on its white sand beach, lush urban forest, natural parklands, and roadside greenbelts,
all within a one-square mile community that has long attracted artists, authors, photographers, art
enthusiasts, and visitors.
Carmel-by-the-Sea offers residents premium quality services and amenities that reflect the community’s
commitment to its residential nature, the environment, and the arts. There are over 80 acres of parklands
located throughout the City. Urban forests of over 13,000 trees also grow on public property. Residents do
not have home mail delivery and instead continue the village custom of daily trips to the Post Office, while
the absence of streetlights and formal sidewalks in the residential district contribute to the City’s treasured
charm and forest-like atmosphere.
Given its beautiful coastal resources, rich cultural heritage, and historical interest, it is no surprise that
Carmel-by-the-Sea attracts an estimated two million visitors annually. In November 2010, Condé Nast
Traveler listed the City as one of its 10 Places to Visit, and Trip Advisor named the community the #1 Small
City in the U.S. In 2014, Travel&Leisure Magazine ranked Carmel-by-the-Sea as one of the world’s best
cities for romance; ranking Carmel in 3rd place ahead of Florence, Italy and just behind Paris and Venice.
They write “storybook cottages, quaint shops, art galleries and inviting eateries in this quaint seaside village
about one of northern California’s most swaths of sand”. In April 2014 Conde’ Nast rated Carmel-by-the-
Sea as one of the “best American Cities for Foodies”.
To learn more about this incomparable community, visit http://ci.carmel.ca.us/carmel/
Carmel-by-the-Sea is a General Law City operating under a City Council/City Administrator form of
government. The City Council is composed of the Mayor and the four Council Members, all of whom are
elected at-large. The Mayor serves a two-year term and Council Members serve staggered, overlapping
four-year terms. Elections are held in April of each even-numbered year.
The City Council appoints the City Administrator, City Attorney, City Treasurer and the City Engineer, while
the Mayor makes appointments to the City’s various advisory boards and commissions, with confirmation
from the City Council.
In addition to the City Council, City Administrator, and City Attorney, the government of Carmel-by-the-Sea
is comprised of the Departments of Public Safety; Administrative Services; Library; Public Services; and
Community Planning & Building. The City is supported by a professional staff of 54 full-time and 20 part-
time employees.
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 2
1.2 PROJECT OVERVIEW
The City of Carmel-by-the-Sea recently adopted an Information Technology Strategic Plan. A key
component of the Plan is the implementation of an Enterprise Resource Management (ERP) system. The
goal is to replace current disparate, outdated systems with integrated systems built upon a shared
database in order to streamline and automate work processes
and more easily share data. Components envisioned include:
• Financial
• Human Capital
• Community
• Work Orders
• Workflow
• Fleet
• Public Safety
Although the City plans to begin with the Financial and Human
Capital components, specifically Payroll, Finance and Human
Resources, there is a strong desire to acquire a solution that will
ultimately offer other modules depicted in the diagram to above.
Currently, the City uses the Multiple Operations Manager (MOM) system by Corbin Willetts for General
Ledger, HR, Payroll, and Business Licenses. The system also tracks Purchase Orders and Revenue. The
system no longer meets the City’s needs.
The first goal of this project is to replace and augment the functions and features provided by the MOM
system with a new Payroll, Finance and HR system, followed by new capabilities such as Permitting, Code
Enforcement and Work Orders. The City anticipates implementing the Payroll module first, followed by
Finance and Human Resources, though the City is open to modifying that sequence depending upon
vendor recommendations.
The first goal of this work effort is to replace current disparate, outdated systems with integrated systems
built upon a shared database in order to streamline and automate work processes and more easily share
data. Desired outcomes include:
• Improve efficiency of daily business operations,
• Improve data accuracy and ease of reporting and
• Enable internal and external customers to find and access the data they need to answer questions
and make informed decisions.
Key Objectives of this procurement include:
• Select and implement a cloud-based ERP software solution proven effective and affordable in
small California cities,
• Implement a new Payroll system by January 1, 2015,
• Develop a detailed and feasible Project Plan in partnership with City stakeholders and
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 3
• Establish a potentially long-term relationship with a vendor partner (or partners) for provision of
software and services, including on-going hosting services.
Thank you for your interest in this procurement process. The City of Carmel-by-the-Sea invites responses,
which offer to provide the services and/or goods identified within this RFP.
When responding to this RFP, if your solution contains any of the additional components shown above
please provide a brief overview and associated product brochures in Appendix R – Additional Information.
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 1
2. DEFINITIONS
Response: The written, signed and sealed complete document submitted according to the proposal
instructions. Response does not include any verbal or documentary interaction apart from submittal of
a formal Response.
Proposal: The completed and released document, including all subsequent addenda, made publicly
available to all prospective proposers.
We/Us/Our: Terms that refer to the City of Carmel-by-the-Sea, a duly organized public entity. They
may also be used as pronouns for various subsets of the City organization, such as the department(s)
for which this Proposal is prepared and which will be the end user(s) of the goods and/or services
sought.
You/Your: Terms that refer to businesses/individuals submitting a response. The term may apply
differently as the context will indicate.
• Supplier - A business entity engaged in the business of providing services.
• Proposer - A business entity submitting a Response to this proposal. Suppliers which may
express interest in this proposal, but who do not submit a Response, have no obligations with
respect to the proposal requirements.
• Contractor - The Proposer(s) whose Response to this proposal is evaluated as meeting the
needs of the City. Contractor(s) will be selected for award, and will enter into a contract(s) for
provision of the services described in this proposal.
• Contractor’s Employee - All persons who can be offered to provide the services described in
the proposal. All employees of the Contractor shall be covered by the insurance programs
normally provided to persons employed by a company (ex: Worker’s Comp, SDI, etc.).
Mandatory: A required element of this request/proposal/bid. Failure to satisfy any element of this
request/proposal/bid defined as “mandatory” will disqualify the particular response.
Default: A failure to act as required by any contract resulting from this request, which may trigger the
right to sue or may excuse the other party's obligation to perform under the contract.
Cancellation/Termination: A unilateral or mutual decision to not complete an exchange or perform an
obligation under any contract resulting from this request.
“Or Equal”: A statement used for reference to indicate the character or quality desired in a requested
product or service. When specified in a proposal document, equal items will be considered, provided
the response clearly describes the article. Offers of equal items must state the brand and number, or
level of quality. When brand, number or level of quality is not stated by proposer, the offer will be
considered exactly as specified. The determination of the Administrative Services Department as to
what items are equal is final and conclusive.
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 2
3. BIDDING PROCESS
3.1 INTRODUCTION
The purpose of this Request for Qualification (RFP) is to solicit proposals from vendors to provide a Finance,
Payroll and Human Resources system as the first components of an Enterprise Resource System for the City of
Carmel-by-the Sea (City). This RFP will be conducted as a solution-based procurement. The solution-based
procurement method focuses requirements on business need (“what must be done”), not on current methods or
constraints (“how it is currently done”). Although the requirements described in Appendix P are written as if this
were a custom development effort, the City expects that the Proposer may offer a Software as a Service (SaaS)
solution that primarily requires configuration. In addition, the City understands that, as a small jurisdiction with a
modest budget, it may not be able to afford a solution satisfying all requirements listed. Please respond
accordingly.
In doing this, the City is prompting vendors to propose solutions to address the underlying business need without
being constrained by the City’s current methods. Receiving these solutions for consideration clearly benefits the
City. The vendors also benefit in that they are afforded the opportunity to propose a solution which they feel meets
the City’s requirements as described in RFP No. ERP-001 while also reflecting industry best practice.
Steps in this process include the City and the vendor engaging in dialogue to strengthen the vendor’s
understanding of the requirements and the procurement process. Several reviews and discussion meetings are
scheduled during the procurement phase of this project. The City values the vendor’s assessment and input
regarding the requirements and this process. Accordingly, it is very important that the vendor have a clear
understanding of the solution-based procurement process, their role in the process, and the City’s requirements so
they can take appropriate action to help ensure success. The City seeks to select and enter into a contract with a
vendor to provide a hosted Finance, Payroll and Human Resource system as the first modules of an integrated
ERP system. The City is not specifying hardware, software, or a proposed solution.
3.2 RULES OF PROCUREMENT
This section describes the bidding process and contract conditions.
3.2.1. BIDDING REQUIREMENTS AND CONDITIONS
General: This RFP, the evaluation of responses and the award of any resultant contract shall be made in
conformance with current competitive bidding procedures as they relate to the procurement of goods and services
by public bodies in the City. A bidder's Final Bid is an irrevocable offer for 240 days following the scheduled date
for contract award specified in Section 3.4 - Key Action Dates. A bidder may extend the offer in the event of a delay
of contract award.
RFP Documents: This RFP includes, in addition to an explanation of the City's needs which must be met,
instructions which prescribe the format and content of proposals to be submitted. It is understood and accepted
that the vendor awarded a contract for Finance, Payroll, Human Resource System will accept City of Carmel-by-
the-Sea executed contract language. If the vendor cannot accept City of Carmel-by-the-Sea contract terms and
condition, the vendor shall submit any changes in Appendix B (Solicitation Exception). If the vendor fails to note
any exception in Appendix B, the vendor proposal may be deemed non-responsive. If a bidder discovers any
ambiguity, conflict, discrepancy, omission, or other error in this RFP, the bidder shall immediately notify the
Procurement Official identified in Section 3.3 of such error in writing and request clarification or modification of the
document. Modifications will be made by addenda issued pursuant to the Addenda section below. Such
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 3
clarifications shall be given by written notice and posted on City’s Website to all parties. If the RFP contains an
error known to the proposer, or an error that reasonably should have been known, the bidder shall bid at its own
risk. If the proposer fails to notify the City of the error prior to the date fixed for submission of bids, and is awarded
the contract, the proposer shall not be entitled to additional compensation or time by reason of the error or its later
correction.
General Format: Respond to all requests for information and completion of forms contained in this document. You
may use additional sheets as necessary. A response should address all items. Brochures and advertisements are
welcome if included separately in a section titled “Brochures and Advertisements”, but a complete reply to this
request for qualifications is desired. Responders are solely responsible for the accuracy and completeness of their
response. Responses considered incomplete may be deemed to be non-responsive.
Alteration of RFP Text: the original text of this RFP document, as well as any attachments, amendments or other
official correspondence related to this RFP document may not be manually, electronically or otherwise altered by
responder or responder’s agent(s). Any response containing altered, deleted, additional or otherwise non-original
text will be disqualified. It is the vendor responsibility to annotate any proposed change in Appendix B.
RFP Availability: The RFP is available to all qualified bidders, by sections, as Adobe Portable Document Format
(PDF) files posted on the City’s website. In addition, as a supplement to the PDF versions, several sections are
available in Microsoft (MS) Word 2010 or Excel 2010 file formats. This is to facilitate and standardize presentation
of bidder responses, which should be entered directly into these documents. It is the City’s intent that the text and
formatting of these MS Word and Excel documents exactly match those of the PDF versions. However, if any
discrepancy arises between them, the most current PDF versions, as provided by the City, will take precedence.
Bidders are not to change the text, formulas or other content provided by the City in any way. They should only
enter their own responses in the fields provided, which may be expanded as necessary to accommodate complete
Proposer responses.
Any change (modification) to initial RFP shall be by Addenda posted on the City’s Website. It is the vendor
responsibility to be knowledgeable of all Addenda posted.
Questions Regarding the RFP: Proposers requiring clarification of the intent or content of this RFP or on
procedural matters regarding the competitive bid process may request clarification by submitting questions via
email to Purchasing@ci.carmel.ca.us. All questions shall reference appropriate RFP section heading/number and
or page number for clarity.
Addenda: The City may modify the RFP prior to the date fixed for submission of Final Bids by issuance of an
addendum, which will be posted on the City’s Website and available to all parties who are participating in the
bidding process at the time the addendum is issued.
3.2.2. BIDDING STEPS
Review of RFP ERP-001 and Demonstrations: Upon receipt of the RFP ERP-001 proposals, the Evaluation
Team will review each proposal for the purpose of evaluating the solution. Once the evaluation is complete, the
City may extend the ability to provide a demonstration for those bidders whose response most closely satisfies the
City’s requirements. The demonstrations will allow the City to determine with whom they will enter into a contract
for the proposed solution that offers the City the best solution. At the City’s option, one or more vendors may be
selected to enter into final negotiations with the intent of award. Vendors may be given an opportunity to provide a
Best and Final Offer.
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 4
3.2.3. DELIVERY OF RFP ERP-001 AND PREPARATION OF RESPONSE:
• All information requested of the Responder must be entered in the appropriate spaces on the specified
form. Failure to do so may result in your response being ignored.
• All responses must be signed by an authorized officer or employee of the responder.
Required Submittals: At a minimum, Responder’s response should include all of the items listed in Section 4, in
the order shown. Failure to include these items and requested information will result in Responder’s response
being deemed non-responsive and will not be considered for RFP. If the vendor is proposing more than one
solution, the vendor shall submit required documents listed below for each proposed solution.
• Proposals shall be submitted to:
City Clerk
PO Box CC
Monte Verde St., between Ocean & 7th Avenues
Carmel by the Sea, CA 93921
Phone: 831-620-2000
• Each original proposal and two (2) numbered copies shall be enclosed in a sealed envelope or box, plainly
marked in the upper left-hand corner with the name and address of the Proposer and bear the words:
“PROPOSAL for Finance, Payroll, Human Resource System”.
• Each of the proposals submitted must include
a. Two (2) numbered printed copies of the proposal non-bound and suitable for being copied by City
team members, and
b. One (1) electronic copy of the proposal on a CD.
• The copies of the “Administrative Volume” and “Technical Volume” shall be enclosed in a separate sealed
package, plainly marked in the upper left-hand corner with the name and address of the Proposer and bear
the words: “Administrative and Technical Volumes for Finance, Payroll, Human Resource System”
• The copies of the “Cost Volume” shall be enclosed in a separate sealed package, plainly marked in the
upper left-hand corner with the name and address of the Proposer and bear the words: “Cost Volume for
Finance, Payroll, Human Resource System”.
• While the two (2) proposals may be placed in the same envelope/box and delivered together, they must be
SEALED SEPARATELY.
Corrections and/or modifications received after the specified closing time will not be accepted.
Proposal Opening Procedure: Sealed proposals with the name and address of the Proposer and the words:
“PROPOSAL for Finance, Payroll, Human Resource System” clearly marked on the exterior of the envelope or
box) shall be submitted to the City Clerk who shall record the date and time received on the exterior of the envelop
or box. Proposals shall be opened in public on July 7, 2014 at 4 pm.
Confidential Information/Public Record: All responses become property of the City. All responses, including the
accepted proposal and any subsequent contract, become public records per the requirements of the California
Government Code, Sections 6250 -6270, “California Public Records Act”. Proprietary material must be clearly
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 5
marked as such. Pricing and service elements of the successful proposal are not considered proprietary
information.
• If any information contained in the response is considered confidential or proprietary by bidder, it must be
clearly labeled as such.
• The City will treat all information submitted in a proposal as available for public inspection once the City has
selected a contractor. If you believe that you have a legally justifiable basis under the California Public
Records Act (Government Section 6250 et. seq.) for protecting the confidentiality of any information
contained within your proposal, you must identify any such information, together with the legal basis of your
claim in your proposal, and present such information separately as part of your response package.
• The final determination as to whether the City will assert your claim of confidentiality on your behalf shall be
at the sole discretion of the City. If the City makes a determination that your information does not meet the
criteria for confidentiality, you will be notified as such. Any information deemed to be non-confidential shall
be considered public record.
3.2.4. CONTRACT AWARD
Award of contract for the Finance, Payroll, Human Resource System shall be made based on the result of scoring
of RFP ERP-001 responses. If made, contract award will be in accordance with RFP Section 6 - Error! Reference
source not found. to a responsible bidder whose Final Bid complies with all the requirements of the RFP
document and any addenda thereto, except for such immaterial defects as may be waived by the City. Award, if
made, will be made within thirty (30) days after City Council approval. The City reserves the right to modify or
cancel in whole or in part its RFP.
A written notification of Intent to Award will be posted on the City’s Website.
3.3 PROCUREMENT OFFICIAL
The City of Carmel-by-the-Sea – Administrative Services Department is the main point of contact for this RFP. The
Contracting Officer for this procurement is:
Paul Wood
PO Box CC
Carmel by the Sea, CA 93921
Phone: 831-620-2000
Email: Purchasing @ci.carmel.ca.us
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 6
3.4 KEY ACTION DATES
Listed below are the important actions and dates and times by which the actions must be taken or completed. If the
City finds it necessary to change any of these dates, it will be accomplished via an addendum to this RFP.
Act
Table 1: Events/Actions – RFP ERP-001
Event/Actions Date(s)
RFP ERP-001 Release Date
06-05-2014
Non-Mandatory Proposer Teleconference
Time: 9:00 AM-11:00 AM
Telephone Conference:
Telephone number is (888) 866-0650
Participant Code is: 79780924
06-12-2014
Deadline for submitting written questions
All questions must be submitted via email to Purchasing @ci.carmel.ca.us
06-13-2014
Addendum issued (if necessary)
06-16-2014
RFP ERP-001 Response due by 3:00 PM Pacific Standard Time
07-07-2014
Proposals Opened by City Clerk
07-07-2014 at 4 pm.
Demonstrations with Selected Bidders
07-16-2014 – 07-18-2014
Clarifying Discussions with Selected Bidders, if necessary
07-22-2014 – 07-24-2014
Notice Intent to Award Contract
07-28-2014
Council Approval
08-05-2014
Work Begins
08-11-2014
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 7
4. PROPOSAL FORMAT AND INSTRUCTIONS
The proposer’s response must contain the following:
4.1 ADMINISTRATIVE VOLUME
4.1.1. APPENDIX A - GENERAL TERMS & CONDITIONS
This is a required appendix, but is informational only. You are required to open and read the
document. Then you will need to indicate on “accept” or “accept with exceptions”. If “accept with
exceptions”, please provide an explanation of each exception.
4.1.2. APPENDIX B - SOLICITATION EXCEPTIONS
This is not a mandatory form. However, if you have exceptions to the RFP, this is where you should list
your exceptions. Enter information in the appropriate fields.
4.1.3. APPENDIX C - NON COLLUSION AFFIDAVIT
This is a required appendix. Select the option that applies to your firm and enter information in all the
fields. When you are finished entering information in all the fields, indicate “accept” or “accept with
exceptions”. If “accept with exceptions”, please provide an explanation of each exception”
4.1.4. APPENDIX D – MINIMUM INSURANCE REQUIREMENTS
This is a required appendix, but is informational only. You are required to open and read the
document. Then you will need to indicate on “accept” or “accept with exceptions”. If “accept with
exceptions”, please provide an explanation of each exception.
4.1.5. APPENDIX E – HIPAA BUSINESS ASSOCIATE FORM
This is a required appendix. Select the option that applies to your firm and enter information in all the
fields. When you are finished entering information in all the fields, indicate “accept” or “accept with
exceptions”. If “accept with exceptions”, please provide an explanation of each exception.
4.1.6. APPENDIX F - VENDOR CONTACT INFORMATION
This is a required form
4.1.7. APPENDIX G – VENDOR HOSTING FORM
The Proposer shall submit a completed Appendix G - Vendor Hosting Form.
4.1.8. APPENDIX H – CUSTOMER REFERENCES
The proposer must provide customer references and subcontractor references. These references must
specify how the work performed was similar to the products and services required in this proposal. The
Reference(s) shall be able to validate the responses submitted. See Appendix H (Customer
References form). The City requires a minimum of three (3) references in the vendor’s response.
4.1.9. APPENDIX I - RISK ASSESSMENT QUESTIONNAIRE
This is a required appendix. Select the option that applies to your firm and enter information in all the
fields. When you are finished entering information in all the fields, indicate “accept” or “accept with
exceptions”. If “accept with exceptions”, please provide an explanation of each exception.
4.1.10. APPENDIX J – PROPOSED KEY PERSONNEL
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 8
The Proposer shall provide, as part of its RFP ERP-001 response, proposed Key Personnel experience
summaries and references. The City anticipates that the Proposer will propose a project team
composed of the best-qualified staff for the Contract.
The City has designated three (3) positions as “Contractor Key Personnel”:
• Contractor Project Manager
• Senior Architect (Technical Lead)
• System Development Manager
The Proposer shall specify the names and provide detailed resumes of all proposed Contractor Key
Personnel, including references for all work performed by each of the staff used to meet the Key
Personnel Desired and Ideal Requirements. In addition, references for the proposed Contractor Key
Personnel must be for projects within the last five (5) years. The Proposer must submit the key
personnel, as defined in Appendix J, including a resume summary, as well as supporting detailed
resumes in a consistent format.
4.1.11. APPENDIX N -SUMMARY OF PROJECT DELIVERABLES
This is a required form
4.1.12. APPENDIX Q - STANDARD VENDOR LICENSE, MAINTENANCE AND SUPPORT AGREEMENTS
The Proposer shall provide a copy of its standard License, Maintenance and Support Agreements.
4.2 REQUIREMENTS TRACEABILITY MATRIX
The Proposer shall submit Appendix P - Requirements Traceability Matrix (RTM) in its entirety.
• Management Requirements Response
• Functional Requirements Response
• Technical Requirements Response
4.3 TECHNICAL VOLUME
4.3.1. RFP REQUIREMENTS COMPLIANCE MATRIX
The RFP Requirements Compliance Matrix (Appendix P) must be completed to provide the City a cross
reference showing how the proposer’s submittal corresponds to the requirements in the RFP and in
what section and page the information can be found.
Table 2: RFP Requirements Compliance Matrix
RFP Requirements Compliance Matrix
RFP Section Identifier Vendor Response Section Title
Vendor Response
Begins on Page
4.3.2 Cover Letter
4.3.3 Executive Summary
4.3.4 Overall Solution Approach (Also 5.1.3
4.3.5 Functional Requirement s Response (Also
5.3.1 and the RTM)
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 9
RFP Requirements Compliance Matrix
RFP Section Identifier Vendor Response Section Title
Vendor Response
Begins on Page
4.3.6 Technical Requirements Response (Also
5.3.2 and the RTM)
4.3.7 Management Requirements Response
(Also 5.5.3 and the RTM)
4.3.8 Project Management
4.3.9 Knowledge Transfer and Training (Also
5.2.14)
4.3.10 System Design and Development
4.3.11 Data Conversion
4.3.12 Testing
4.3.13 Implementation
4.3.14 Security
4.3.15 Risk Management
4.3.16 Quality Management
4.3.17 Production Support
4.3.18 Maintenance and Support
4.3.19 Deliverable and Acceptance Process
Response
4.3.2. COVER LETTER
The Cover Letter must be completed and included as the first page of the response to requirements.
The Cover Letter must be on the proposer’s official business letterhead stationery and be signed by an
individual who is authorized to bind the bidding firm contractually. The signature must indicate the title
or position that the individual holds in the firm. The cover letter must state that the proposer commits to
fulfilling all requirements of the RFP and agrees to the City’s Standard Terms and Conditions
(Appendix A). AN UNSIGNED FINAL PROPOSAL MAY BE REJECTED.
4.3.3. EXECUTIVE SUMMARY
The Executive Summary must describe the salient features of the proposal, provide a broad
understanding of the entire proposal and facilitate the evaluation of the proposal by City. The
Executive Summary should include conclusions and generalized recommendations. Such conclusions
and recommendations presented in this section will not be evaluated and will not be a factor in the
selection of the successful proposal. Pricing information must not be included in the Executive
Summary. This summary shall not exceed ten (10) pages. The Executive Summary must include the
following items:
• The bidder’s company background and qualifications (include all subcontractors) for provision
of proposed software and services in a small city;
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 10
• A discussion that demonstrates that the proposer understands the nature and purpose of this
RFP; City objectives, environment, and business needs;
• A summary discussion and diagram(s), if appropriate, of the proposed solution, documentation
of proposer’s assumptions and a description showing that the solution meets all aspects of the
requirements;
• An overview of the proposed system architecture, operating system, and application software
and a detailed description of the benefits that can be expected by implementing the proposed
solution and how those benefits can be quantified; and;
• The proposer’s description of the City’s precise role and responsibilities in the proposed
project.
4.3.4. OVERALL SOLUTION APPROACH
The Proposer must describe its overall solution approach in response to the requirements set forth in in
Section 5.1. It should include a discussion regarding your approach to working with the City as a
partner to achieve “shared goals” and to mitigate the City’s risks. Discussion points for relative to
Partnering must include:
• Organizational structure – The organizational structure for the project that you would suggest,
including both contractor staff and City staff, and the roles they would play, the effort involved
in those roles, and the skills necessary to satisfy those roles
• Shared Risk – How you propose to work together with the City as a team to minimize risk to
the project, and to absorb an equitable share of the risk.
• Partnering – How you propose to work with other vendors whose solutions the City may
implement as part of the ERP implementation.
4.3.5. FUNCTIONAL REQUIREMENTS RESPONSE
This section must contain the proposer’s response to the requirements identified in Section 5.3.1 -
Functional, Technical and Management Requirements.
4.3.6. TECHNICAL REQUIREMENTS RESPONSE
This section must contain the proposer’s response to the requirements identified in Section 5.3.2 -
Functional, Technical and Management Requirements. As the City desires a hosted solution, please
address the following:
• Please describe your vendor hosted model, including: hosting, integration, help desk,
provisioning and desktop management capabilities, deployment model (dedicated servers,
shared environment, etc.), impact to the City’s network and bandwidth, and any partners that
may be involved in service delivery.
• Please describe your proposed service level agreement, including any tiered levels of service,
response times, and standard metrics.
• Please describe your support model, including: cost structure for support calls.
• Please describe your data center and storage facilities, including: locations, staffing, physical
security, environmental controls (including redundant power), redundancy/load balancing
capabilities, data backups and disaster recovery capabilities.
• Please describe your logical security, including: firewall security, authentication controls, and
data encryption capabilities.
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 11
• Please describe your change management, upgrade, and patch management policies &
practices?
• Describe your systems administration/management capabilities including: monitoring of
performance measures, intrusion detection, and error resolution.
• Describe how you will help the City move to a new operation at the end of the contract term or
if the contract is terminated, including the process for notifying of termination
• Please provide a copy of your most recent SSAE 16 report (also referred to as a Service
Organization Controls (SOC) 1 report.)
• Pease provide a copy of your most recent Security Audit Report.
.
4.3.7. MANAGEMENT REQUIREMENTS RESPONSE
This section must contain the proposer’s response to the requirements identified in Section 5.3.3 -
Functional, Technical and Management Requirements and must include the items identified in the
subsections below.
4.3.8. PROJECT MANAGEMENT
This subsection must include a narrative describing the proposer’s approach to project management
including methodology to be used and a sample Project Management Plan.
4.3.9. KNOWLEDGE TRANSFER AND TRAINING
This subsection must include a narrative describing the proposer’s approach to knowledge transfer and
training and a sample Knowledge Transfer and Training Plan.
4.3.10. SYSTEM DESIGN AND DEVELOPMENT
This subsection must include a narrative describing the proposer’s approach to design and
development and a sample system Design and Development Plan used by the proposer on another
project.
4.3.11. DATA CONVERSION
This subsection must include a narrative describing the proposer’s approach to converting existing
“MOM” data to the new system, including any files that are open at the time of Data Conversion.
4.3.12. TESTING
This subsection must include a narrative describing the proposer’s approach to testing and a sample
Test Plan used by the proposer on another project.
4.3.13. IMPLEMENTATION
This subsection must include a narrative describing the proposer’s approach to implementation,
interface management, and data conversion; and sample Implementation, Interface Management and
Data Conversion Plans used by the proposer on another project or projects.
4.3.14. SECURITY
This subsection must include a narrative describing the proposer’s approach to security management
and must include a sample Security Plan used by the proposer on another project.
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 12
4.3.15. RISK MANAGEMENT
This subsection must include a narrative describing the proposer’s approach to risk management and
must include a sample Risk Management Plan used by the proposer on another project.
4.3.16. QUALITY MANAGEMENT
This subsection must include a narrative describing the proposer’s approach to quality management
and must include a sample Quality Management Plan used by the proposer on another project.
4.3.17. PRODUCTION SUPPORT
This subsection must include a narrative describing the proposer’s approach to production support and
a sample Production Support Plan used by the proposer on another project.
4.3.18. MAINTENANCE AND SUPPORT
This subsection must include a narrative describing the proposer’s approach to maintenance and
support. Please include an explanation of tiers of service, if any, Help Desk hours and policies,
response times and any other information relevant to provide a complete picture of how you would
propose to provide ongoing support for the City under a maintenance/services agreement. As this is
for a hosted solution, please expand this explanation to cover Operations as well.
4.3.19. DELIVERABLE AND ACCEPTANCE PROCESS RESPONSE
This section must contain the proposer’s response to the Deliverable and Acceptance Process. The
proposer’s response must contain and affirmative response to the Deliverable and Acceptance
Process. Proposers must use the exact verbiage from the RFP and insert their responses agreeing to
each Deliverable and Acceptance Process in Appendix N.
4.4 COST VOLUME
Costs are to be presented according to the requirements of Appendix S – Pricing. The City requires a
firm-fixed price for requirements, development and implementation. The winning vendor shall be
reimbursed in accordance with the maximum fixed price rate for all work performed under the resultant
Contract with the exception of any Optional Services, which shall be reimbursed pursuant to an agreed
upon Maximum Fixed Price calculated based on the Fixed Hourly Rate, as shall be specified in the
resultant Contract including the Pricing Schedule.
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 13
5. STATEMENT OF WORK
5.1 ADMINISTRATIVE REQUIREMENTS
5.1.1. PROJECT SCHEDULE
The Contractor must provide a project schedule using Microsoft Project 2010 software. The City
expects that the bidder will include all initiation, requirements, design and deployment activities, in
enough detail that the City can confirm that the Project Schedule meets its needs. The City anticipates
implementing the Payroll module first, with a Go-Live date of January 1, 2015, followed by Finance and
Human Resources, though the City is open to modifying that sequence depending upon vendor
recommendations.
5.1.2. PROPOSED KEY PERSONNEL
The Proposer shall provide, as part of its RFP ERP-001 response, proposed Key Personnel experience
summaries and references. The City anticipates that the Proposer will propose a project team
composed of the best-qualified staff for the Contract.
The City has designated three (3) positions as “Contractor Key Personnel”:
• Contractor Project Manager
• Senior Architect (Technical Lead)
• System Development Manager
The Proposer shall specify the names and provide detailed resumes of all proposed Contractor Key
Personnel, including references for all work performed by each of the staff used to meet the Key
Personnel Desired and Ideal Requirements. In addition, references for the proposed Contractor Key
Personnel must be for projects within the last five (5) years. The Proposer must submit the key
personnel, as defined in Appendix J, including a resume summary, as well as supporting detailed
resumes in a consistent format.
5.1.2.1.CONTRACTOR PROJECT MANAGER
The Contractor Project Manager will be responsible for the day-to-day management of the Contract
services, including overall performance and Contract compliance. The Contractor Project Manager
starts at Contract Award.
The Contractor Project Manager responsibilities shall include the following:
• Act as primary interface with the City Project Manager(s)
• Provide day-to-day management of the Project including overall performance and Contract
compliance
• Provide day-to-day management and direction of Contractor resources assigned to the Project
• Manage the Project to the current work plans and coordinate the availability of scheduled
resources to the Project
• Manage all Project resources and ensure that appropriate resources are available throughout
the life of the Contracts
• Establish and maintain regular communications with the City Project Management
• Provide the City Project Manager(s) with written status reports, and keep them informed of
Project progress versus the work plans
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 14
• Maintain issue reporting, tracking, escalation, and resolution procedures
• Conduct ongoing reviews with City Project Team members and ensure issue escalation
procedures are followed and issues are resolved
• Identify any potential problem areas, recommend solutions, and work closely and cooperatively
with the City Project Manager(s) to resolve issues quickly and fairly
• Inform City Project Management of any issues that might cause Project delays
• Follow City-approved change management procedures
• Prepare budgetary updates
• Monitor and maintain the Project's financial budget
• Ensure the timely development and delivery of quality Project Deliverables
• Monitor and maintain the development and implementation schedules
• Analyze progress and suggest changes as deemed appropriate
• Oversee preparation of all documents, correspondence, and meeting agendas
• Develop and implement a quality assurance process to ensure all objectives are met,
milestones are achieved, and stakeholders are satisfied
• Institute and maintain quality control over all deliverables submitted for review
The Contractor Project Manager shall have at least the Desired Qualifications defined below and as
many Ideal Qualifications as possible.
Table 3: Contractor Project Manager Qualifications
Experience Desired Ideal
Worked as the Contractor Project Manager on comparable projects 5 Years 10 Years
Experience directing and overseeing all phases of Finance, Payroll and Human
Resource systems including, but not limited to, projects involving developing
multiple business views, integration with third party software (i.e. e-mail,
calendaring, document management, etc.), interfacing with other systems and
databases and training, customer service
5 Years 8 Years
Experience managing projects similar or larger in scope to the project identified
in RFP ERP-001
3 Years 5 Years
Experience managing a team greater than five (5) people 3 Years 5 Years
Education: Graduation from an accredited college/university Bachelors Masters
Project experience, in the PM role for city, county or state government systems 3 years 5 Years
Project Management Institute (PMI) Project Management Professional (PMP)
Certification
Yes Yes
5.1.2.2.SENIOR ARCHITECT (TECHNICAL LEAD)
The Senior Architect (or Technical Lead) is responsible for facilitating the system design, configuration,
modification and implementation process and ensuring that appropriate technical resources are
available to the City Project team. The Senior Architect starts at Contract Award.
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 15
The Senior Architect responsibilities shall include the following:
• Interfaces primarily with the City Technical Lead
• Design secure, reliable, scalable, performance-driven solutions for high-throughput, database-
driven software applications
• Design customer-driven, software solutions with re-use, security, extensibility, and scalability in
mind
• Provide accurate estimates for development of features and functionality
• Plan and prioritize software functionality, using an iterative approach, within the realm of
business and customer requirements
• Create design and functionality based on supplied functional and technical specification or
requirements
• Design database structures and high-level algorithms
• Maintain necessary documentation to ensure the consistency of applications and components
with respect to the organization’s architectural direction
• Mentor lower level team members in best practices, troubleshooting source code related
issues
• Ensure modifications meet development standards, functional specifications, and is easily
maintainable
• Manage integration test and verifying functionality when developers deliver code
• Lead the set up and utilization of tools that support the development and deployment
processes
• Assist Infrastructure Teams with the configuration of Development, Test, Preproduction,
Training and Production environments
• Execute software configuration management and deployment processes
• Ensure technology reviews are planned, executed, and delivered on schedule
• Ensure adherence to the processes and procedures documented in the project plans
• Manage technical resources to ensure all technical issue resolutions are expedited
The Senior Architect (Technical Lead) shall have at least the Desired Qualifications defined below and
as many Ideal Qualifications as possible.
Table 4: Senior Architect (Technical Lead) Qualifications
Experience Desired Ideal
Experience in the role of Senior Architect (Technical Lead) as defined above 3 Years 5 Years
Senior Architect experience, defined as performing tasks defined in the Project
Management Body of Knowledge, for projects similar or larger in scope to the
project identified in RFP ERP-001
2 Years 3 Years
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 16
Worked as the Senior Architect in the design and development of comparable
projects deployed to production for end users, which are equal or greater than
listed in the scope to the project identified in RFP ERP-001.
2 Years 3 Years
Configuration design experience with the hardware defined by the Contractor 2 Years 5 Years
Implementation and tuning experience with the solution proposed by the
Contractor
2 Years 5 Years
Database design experience with the solution proposed by the Contractor 2 Years 5 Years
Customization and configuration experience with the solution proposed by the
Contractor
2 Years 5 Years
Experience in implementing the solution proposed by the Contractor across a
Wide Area Network (WAN) to multiple remote locations
2 Years 5 Years
Project experience, in the Senior Technical Architect role for city, county or state
government systems
3 Years 5 Years
5.1.2.3.SYSTEM DEVELOPMENT MANAGER
The System Development Manager is responsible for overseeing the software development,
configuration modification, and testing of the bidder software solution and ensuring that appropriate
technical resources are available to the Project team. The System Development Manager starts at
Contract Award.
The System Development Manager responsibilities shall include the following:
• Interfaces primarily with the City Project Manager and Technical Lead
• Oversee the software development process and ensure timely, iterative deliveries
• Work with the City Security Lead to design a system and deliver a secure software solution
• Manage the software development staff, interacting with the Quality and Testing teams, and
managing the software build and configuration management processes
• Track project plans and leading the development team to meet delivery dates
• Provide accurate estimates for development of features and functionality
The System Development Manager shall have at least the Desired Qualifications defined below and as
many Ideal Qualifications as possible.
Table 5: System Development Manager Qualifications
Experience Desired Ideal
Experience in the role of System Development Manager as defined above 3 Years 5 Years
Worked as the System Development Manager in the design and development
of comparable projects deployed to production for end users, which are equal
or greater than listed in the scope to the project identified in RFP ERP-001.
2 Years 3 Years
Experience leading development teams of a system integration project 2 Years 5 Years
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 17
Implementation and tuning experience with the Solution proposed by the
Contractor
2 Years 5 Years
Customization and configuration experience with the solution proposed by the
Contractor
2 Years 5 Years
Project experience, in the System Development Manager role for city, county
or state government systems
3 Years 5 Years
5.1.3. PROPOSED BUSINESS SOLUTION
The Proposer’s Overall Solution Approach - This subsection of the Technical Volume must contain a
narrative describing the proposer’s overall solution in relation to how the proposed solution will meet
the City’s stated business goals and objectives. Although overall net value plays a large part in
evaluating each bidder’s proposal, the overall approach to the solution is important to City. The City
requests that the proposers “tell the story” of what they will deliver, how they are planning to do it, what
role they expect the City to play and what they expect the City will have upon completion of major
project phases. This should also include an explanation of where the proposer expects work to be
performed; how much time they expect to spend on-site at the City and how much off-site. Finally, it
should include a discussion of the proposed hosting solution. Proposers should provide sufficient
detail, explanation, experience and examples to enable City to evaluate these aspects of the
proposer’s proposal, without including excessive or repetitious information that might obscure the
proposal’s unique and innovative features and characteristics.
Additional materials and exhibits may be attached to support this, but proposers are requested to
provide the core narrative directly in this document, in conjunction with the bidder’s responses to the
functional requirements, technical requirements and management requirements.
Proposers should clearly identify how their overall solution provides additional innovation, and
demonstrates a thorough understanding of the City’s processes and technical environment. The
following topics must be included:
5.1.4. PROPOSED TECHNICAL ARCHITECTURE
The following sections identify the software, hardware and support organization for the legacy MOM
system. The current architecture is presented here to provide qualified proposers the context
necessary to identify the impact of their proposed solution on the City.
5.1.4.1.SOFTWARE
The City has a relatively small number of enterprise applications.
• Multiple Operations Manager (MOM) provides Back-office functions (General Ledger, HR,
Payroll, Business License Management, Purchase Order Tracking and Revenue Tracking)
• Microsoft Exchange 2010
• ARCView provides geographical information system (GIS) services
• An Access DB which works with the GIS in order to resolve parcel numbers to owner
addresses
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 18
• PlanIT provides capital improvement planning services
• Trac1 Fuel Management system
Desktop software is primarily Microsoft running on Windows 7 or Windows XP. The City plans a
migration of the remaining XP machines to Windows 7 as part of this project.
5.1.4.2.HARDWARE
The City uses primarily Dell servers.
5.1.4.3.SUPPORT
Support is provided by a small team comprised of a combination of in-house and outsourced staff.
5.1.4.4.RECOMMENDED HARDWARE AND SOFTWARE
The City expects to move to a hosted solution. The Proposer shall specify in Appendix M –
Recommended Hardware and Software, a detailed explanation of the recommended hardware and
software configuration to best meet the performance requirements stated in Section 5.3 - Functional,
Technical and Management Requirements, and Appendix P – Requirements Traceability Matrix. This
is to include product, brand, version and, as appropriate, release number.
5.2 GENERAL REQUIREMENTS
5.2.1. PERIOD OF PERFORMANCE
The contract term for this procurement is estimated to begin 10 days after contract award.
5.2.2. PAYMENT TERMS AND CONDITIONS
The City anticipates that the initial contract will be fixed price and deliverable-based. There will be
deliverables tied to project initiation, project design and project deployment. There will be holdbacks
for all invoices. The payment schedule outlining the specific deliverables and associated holdbacks will
be determined during contract negotiations. The City expects to move into a subscription-based
contract once deployed.
5.2.3. QUALITY ASSURANCE REVIEW PROVISION
The City Project Team will provide Quality Assurance.
5.2.4. EXECUTIVE COMMITTEE
An Executive Committee will be formed who will work with the City and the contractor on issue
resolution. The roles and responsibilities of the Executive Committee will include change management
approval, as well as making decisions on how issues will be resolved.
5.2.5. LIQUIDATED DAMAGES
The City will add contract language stipulating the contractor must provide a product warranty that will
cover any failures, omission, or defects discovered in any of the project deliverables. In addition,
language will be written to incorporate liquidated damage provisions to further protect the City’s
investment.
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 19
5.2.6. FINAL PROJECT MANAGEMENT PLAN
The Contractor must employ, maintain and execute a project management methodology that complies
with the Institute of IEEE Standards for Project Management Plans (IEEE/ISO/IEC 16326-2009).
The Proposer must describe the project management approach and methodology to be used for all
ACS Project lifecycles.
The Contractor shall develop a Project Management Plan (PMP) aligning to industry best practices,
specifically, specifically the Project Management Institute (PMI), Project Management Body of
Knowledge (PMBOK). The scope of the PMP shall also incorporate the following component
processes:
• Project Schedule Management, Communications Management, Risk Management, Quality
Management, Scope Change Management, Requirements Traceability Management, System
Development and Implementation Methodology, System Test Methodology, and Staff Training
Methodology
The Contractor must provide project management documents (e.g., Project Management Plan, Project
Schedule, Work Breakdown Structure, etc.) using Microsoft Office 2010 software products.
5.2.7. STAFFING APPROACH AND AVAILABILITY
The Proposer must describe the staffing approach and methodology used for releasing and adding
staff to the Project, which shall include:
• Estimated number of proposer’s resources needed for each phase of the project
• The number of staff resources within the following categories: Management, Business, and
Technical
• A description of the methodology used to release and add staff to the project, including prior to
contract award and following contract award
• Providing a project organization chart
• Where the proposer expects staff to perform work
5.2.8. CONTRACTOR STAFF LOCATION
City will not require that all Contractor staff be on location in the City. However, all pertinent Contractor
staff must be available to City for necessary meetings and planning.
5.2.9. SUBCONTRACTOR CHANGES
The Proposer must not reassign subcontractor key personnel if such reassignment will conflict with the
work the individual is to perform on this contract. The City recognizes that resignation or other events
may cause a subcontractor team member to no longer be available to the contractor. If this should
occur, the contractor should be aware that the City contract administrator or designee must approve
any changes to contractor proposed key personnel assigned by the contractor to the contract prior to
contractor staff beginning work on the contract. This also includes substitutions made between
submittal of the final proposal and actual start of the contract, as well as staffing changes that may be
made during the course of the contract. Any replacement personnel proposed during the life of the
contract must meet or exceed the skill level that the contractor proposed and was scored on. City will
not compensate the contractor for any of the contractor’s time or effort to educate or otherwise make
the new staff ready to begin work on the contract.
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 20
5.2.10. STAFFING CHANGES
The Contractor must not reassign contractor key personnel if such reassignment will conflict with the
work the individual is to perform on this contract. The City recognizes that resignation or other events
may cause a contractor team member to no longer be available to the contractor. If this should occur,
the contractor should be aware that the City contract administrator or designee must approve any
changes to contractor proposed key personnel assigned by the contractor to the contract prior to
contractor staff beginning work on the contract. This also includes substitutions made between
submittal of the final proposal and actual start of the contract, as well as staffing changes that may be
made during the course of the contract. Any replacement personnel proposed during the life of the
contract must meet or exceed the skill level that the contractor proposed and was scored on. City will
not compensate the contractor for any of the contractor’s time or effort to educate or otherwise make
the new staff ready to begin work on the contract.
5.2.11. MEETINGS
The Proposer shall provide, as part of its response, a list of the required meetings between the
selected proposer and the City and whether the meetings will be at City or off-site. The list must
include the number and frequency of the meetings, the nature of the meetings and where the meetings
should occur.
5.2.12. PROGRESS REPORTS
The Contractor shall advise the City management team of progress in meeting goals and schedules
contained in the work plans. This shall be initiated one week after contract effective date and applied
bi-weekly thereafter, and shall consist of the following:
• Bi-weekly progress meetings attended by the Contractor and the City. These may include
walkthroughs of selected deliverables as requested by the City staff.
• Bi-weekly status meeting agenda, provided by the Contractor to the City one working day
before each weekly meeting, and containing items to be discussed at the meeting, including:
o Progress of each task/activity
o Updated project schedule
o Action items and decisions from the previous meeting
o Problems encountered, proposed resolutions, and projected completion dates for
problem resolution
o Planned activities for the next two reporting periods
o Status of contractually defined deliverables, milestones and walkthroughs scheduled in
the project schedule
o Other information as needed (per Contractor or the City).
5.2.13. STANDARDS FOR ACCEPTANCE OF DELIVERABLES
City review and acceptance of each key Deliverable shall be based upon the following Deliverable
quality standards. Each Deliverable shall:
• Each key deliverable will have an agreed upon Deliverable Expectation Document completed
prior to the development of the deliverable.
• Address all components required by the Contract and the requirements for that Deliverable,
and any areas identified subsequently through meetings and planning sessions.
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 21
• Be in compliance with all format requirements described in the Contract.
• Be comprehensive in level of detail.
• Be organized and professional.
• Be consistent in style and quality. If the document is the composite work of multiple people
within the Contractor's organization, the document must be edited for style and consistency.
The Contractor shall certify in the cover letter that the Contractor utilized the internal
Deliverable review process as prescribed in the Contractor’s Quality Assurance Plan.
• Support the purpose for which the Deliverable was developed.
5.2.14. KNOWLEDGE TRANSFER
The project will introduce new systems, processes and procedures to the City environment. The new
systems may utilize new technologies on platforms substantially different from the legacy environment.
Because of this, knowledge transfer will be a critical component for success. It will be important for
City and the contractor to work collaboratively in developing and implementing the knowledge transfer
program that will satisfy all the project needs, including security management and operations.
Knowledge transfer and training must include:
• Knowledge Transfer and Technical Training for City technical support staff and application
maintenance staff
• Knowledge Transfer to enable City personnel to operate, maintain, and configure the new
systems, including operation of the testing tools, supporting infrastructure, and security in
conjunction with an agreed-to ongoing support agreement with the contractor.
5.3 FUNCTIONAL, TECHNICAL AND MANAGEMENT REQUIREMENTS
5.3.1. FUNCTIONAL REQUIREMENTS SET
The functional requirements have been sorted according to the following categories. The detailed
Functional Requirements set can be found in Appendix P – Requirements Traceability Matrix (RTM).
The Functional Requirements provide a general description of the “What” the system should provide
rather the “How”. The City understands that, as a small jurisdiction with a modest budget, it may not be
able to afford all requirements listed, but is interested in understanding the depth and breadth of the
proposer’s solution.
Table 6: Functional Requirements Categories
Requirement Category Name
Accounts Payable General Ledger
Accounts Receivable HR Reporting
Benefits Payroll
Budget Performance
Capital Asset Position Control
Cash Receipts Purchasing
Compensation Planning Recruitment
Compliance Risk
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 22
Employee Records Time & Attendance
Employee Relations Training & Development
Employee Self-Service Treasury
5.3.2. TECHNICAL REQUIREMENTS SET
This section contains several key technical requirements and constraints. The Technical Requirements
in this section address many of the same topics as the Functional Requirements, but the focus is on
the technologies used rather than the functionality provided.
Table 7: Technical Requirements Set
Requirement Category
Name
Requirement Description
Capacity At the time of deployment, the system must be able to support a minimum number of
transactions, data and users.
Flexibility The system must support changes in financial and administrative processes due to
changes in law or changes to internal business processes.
Integrity The system must ensure completeness of its operational state and its data.
Maintainability The system must be implemented using industry standard constructs.
Performance The system response time must meet the rates provided herein for average and peak
response times. Network latency on the part of the City’s network or network bandwidth
will be excepted from this response time.
Reliability The system must provide the City levels of accuracy, availability and recoverability.
Security The system must protect itself from the effects of malicious and/or accidental access and
usage.
Usability The system must employ industry best practices in the design of the system interfaces,
including consistency in the user interfaces, error handling and help facilities.
The detailed Technical Requirements set can be found in Appendix P – Requirements Traceability
Matrix (RTM).
5.3.3. MANAGEMENT REQUIREMENTS SET
This section of the RFP is dedicated to defining the requirements for management plans, management
activities, and other administrative support used to manage the project. The City requires the
contractor to provide services in the following areas:
Table 8: Management Requirements Set
Requirement Category
Name
Requirement Description
Project Management The contractor’s project management approach, methodology, plans, reporting, issue
resolution, and project closeout.
Knowledge Transfer and
Training
Support staff and end-user training strategy, plans, and materials
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 23
Requirement Category
Name
Requirement Description
System Design, Development
and Customization
The iterative System Development Lifecycle (SDLC) approach the contractor will use,
including plans, naming conventions, security, legacy software modifications, and
interfaces
Data Conversion The data conversion approach and methodology, including planning, tools and results
Testing The testing approach and methodology, including planning, tools, staffing, defect/issue
tracking and resolution, and results reporting
Implementation The implementation approach and plan, capacity planning, disaster / operational recovery
plan, interface management, data conversion, software configuration management,
requirements management, and release management
Security The security approach for the system including a plan for protecting the system and
ensuring the protection of citizens’ data
Risk Management The contractor’s risk/issue management approach, methodology, plans, reporting (included
under Project Management).
Quality Management The quality management approach, including planning, metrics, staffing, problem/issue
tracking and resolution, and results reporting (included under Project Management)
Production Support The production support approach, including planning, managing upgrades and fixes,
planned maintenance, service level and response time requirements and system
acceptance conditions.
Deliverable and Acceptance
Process Response
The proposer will agree to the deliverables listed and the acceptance of those deliverables.
The detailed Management Requirements set can be found in Appendix P – Requirements Traceability
Matrix (RTM).
5.4 SUMMARY OF PROJECT DELIVERABLES
This section of the RFP is dedicated to defining the requirements for deliverables used to manage the
ERP project including the deliverable name and a column for bidders to indicate whether or not they
agree to provide the deliverable. If conflicts exist between the information in this table and the RFP
requirements, the RFP requirements shall take precedence. For each of the three modules (Finance,
Payroll and Human Resources, the following Project Deliverables are required).
Table 9: Summary of Project Deliverables
Deliverable DED Required Proposer Agrees
Project Management Plan and Project Schedule
Project Management Plan (including Quality and Risk Management
approach)
Yes
Project Schedule
Bi-Weekly Progress Reports
Knowledge Transfer and Training
Knowledge Transfer and Training Plan Yes
Training Documentation Yes
Training Delivery
System Design, Development and Configuration
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 24
Deliverable DED Required Proposer Agrees
Design and Development Plan and Associated Design /
Requirement Documents
Yes
Requirements Traceability Matrix
Data Conversion
Data Conversion Plan Yes
Testing
Test Plan Yes
Test Scripts
Test Results
Defect Tracking Tool
Implementation
Implementation Plan (including: Interface Management / Design
Description, Pre-Production Release Documents)
Yes
Disaster / Operational Recovery Plan Yes
Security
System Security Plan
Production Support
Production Support Plan Yes
System Operation Manual Yes
System Acceptance Document
5.5 KEY MILESTONES
The City expects the Key Milestones to include Project Planning, System Requirements, System
Design, Build, Test, Data Conversion, Training and Deployment.
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 25
6. EVALUATION
6.1 COST TABLES
For submission with the RFP ERP-001 Response, the following submittal is required.
The proposer’s cost data shall be annotated in the Cost Volume using the forms from Appendix S, with
other cost attachments if necessary. The proposer must use Appendix S for identifying all costs for the
proposed solution. If the proposer is quoting multiple solutions, please submit an Appendix S for each
proposed solution. This material must contain all completed cost sheets, schedules, contract
attachments with identified costs, exhibits identifying cost, bonds and other security documents as
required in the RFP.
Vendors may provide alternative costing proposals in addition to the standard template.
6.2 EVALUATION TEAM
The City has established an Evaluation Team comprised of individuals selected from the City’s
management, staff and their representatives. The Evaluation Team will be responsible for the review
and evaluation of proposals in accordance with the process described in this section of the RFP. The
team will use consensus to determine pass/fail and to arrive at evaluation scores for each proposer.
The City will engage additional qualified individuals during the process to assist the Evaluation Team in
gaining a better understanding of technical, financial, contractual or program issues. These individuals
will not be part of the consensus process to arrive at an evaluation score.
6.3 RECEIPT OF PROPOSALS
Complete proposals must be delivered as specified in Sections 3.2.3. Delivery of RFP ERP-001 and
Preparation Of Response and 3.4 - Key Action Dates.
6.4 EVALUATION OF PROPOSALS
Proposals received by the date and time specified in Key Events will be opened and reviewed in detail
for compliance with RFP requirements.
The Evaluation Team will review the proposal to identify and document areas in which the proposal
appears to be non-responsive or defective, fails to address requirements, is unclear, demonstrates lack
of responsibility or introduces potential risk. The review will address administrative, functional,
technical and management requirements
The table below illustrates the assessment categories.
Table 10: Assessment Categories
Assessment Category
Corporate Reference/Experience
Project Management Plan
Business Solution / Technical Architecture / Functional, Technical & Management
Requirements
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 26
Data Conversion Approach
Implementation / Training Approach
Demonstrations
Hosting Approach
Cost
6.4.1. CORPORATE REFERENCE / EXPERIENCE
Proposers are required to demonstrate their references and experience of key personnel
through Appendix H – Customer References and Appendix J – Proposed Key Personnel. The
ability to show strong references and key personnel, who bring not only the desired
qualifications, but ideal qualifications as well, is important to City. Additional references may
be submitted with the RFP if you would like those to be considered in addition to previously
submitted references with the RFP.
6.4.2. PROJECT MANAGEMENT PLAN
Proposers must employ, maintain and execute a project management methodology that
complies with industry standards. The ability to draft a plan and to show how it will be
executed is crucial to City.
6.4.3. BUSINESS SOLUTION / TECHNICAL ARCHITECTURE / FUNCTIONAL, TECHNICAL &
MANAGEMENT REQUIREMENTS
Proposers are required to explain their overall solution approach. Although overall net value
plays a large part in evaluating each bidder’s proposal, the overall approach to the solution is
important to City.
Proposers should provide sufficient detail, explanation, experience and examples to enable
City to evaluate these aspects of the proposer’s proposal, without including excessive or
repetitious information that might obscure the proposal’s unique and innovative features and
characteristics.
Proposers should clearly identify how their overall solution provides additional innovation, and
demonstrates a thorough understanding of the City’s processes and technical environment
while meeting City Project Objectives and Goals.
The functional and technical requirements for the proposed solution will be scored. The
proposer should refer to Appendix P – Requirements Traceability Matrix for specific functional
and technical requirements.
The proposer’s score will be determined based on the approach used to meet each of the
functional and technical requirements based on the following criteria:
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 27
Table 11: Scoring Criteria
Ability to Meet the Requirements
Meets the requirement straight out of the box and/or with minor customization such as user defined set-
up parameters
Requires custom development and/or significant amount of source code modification to meet the
requirement
Will meet the requirement in a planned, future release of a new module
Not in current release or planned future releases
Requirements that are met with the “out of the box” approach will receive the highest score and
requirements not in a current or planned future release will receive the lowest score.
6.4.4. DATA CONVERSION APPROACH
The City will evaluate the Proposer’s proposed Data Conversion Approach and scoring will
reflect the Evaluation Team’s assessment of probability that the Proposer’s solution will result
in a successful data conversion of existing legacy system data that is fully compatible with the
City’s requirements.
The following factors will be taken into consideration when awarding points for this category:
• The proposal demonstrates a good understanding of the required data conversion
tasks and deliverables and addresses the work involved, underlying assumptions and
associated risks. Points are subtracted for each instance of task or deliverable not
clearly understood and described. Mere restatement or paraphrasing of RFP
requirements does not demonstrate understanding
• Completeness and thoroughness of the Data Conversion Approach, including but not
limited to:
o Data Conversion tasks and deliverables
o Potential risks of the proposed data conversion approach
• The City’s staff involvement has been clearly defined
6.4.5. IMPLEMENTATION / TRAINING APPROACH
The City will evaluate the Proposer’s Proposed Implementation Approach and scoring will
reflect the Evaluation Team’s assessment of the probability that the Proposer’s solution will
result in a successful implementation of a comprehensive solution that is fully compatible with
the City’s requirements.
The following factors will be taken into consideration when awarding points for this category:
• The proposal demonstrates a good understanding of the required implementation
tasks and deliverables and addresses the work involved, underlying assumptions and
associated risks. Points are subtracted for each instance of task or deliverable not
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 28
clearly understood and described. Mere restatement or paraphrasing of RFP
requirements does not demonstrate understanding.
• Completeness and thoroughness of the Implementation Approach, including but not
limited to:
o System Development
o Configuration Management
o Testing
o Interfaces
o Implementation
o Maintenance and Support
• Potential risks of the proposed implementation approach
• The City’s staff involvement has been clearly defined
The City will evaluate the Proposer’s Training Approach and scoring will reflect the Evaluation
Team’s assessment of probability that the Proposer’s training approach will result in successful
implementation of an integrated solution that meets the City’s requirements.
The following factors will be taken into consideration when awarding points for this category:
• The proposal demonstrates a good understanding of the required training and tasks
and deliverables and addresses the work involved, underlying assumptions and the
interplay of factors. Mere restatement or paraphrasing of RFP requirements does not
demonstrate understanding
• Completeness and thoroughness of the approach, including items such as, but not
necessarily limited to:
o Are training methods included?
o Are training scheduling criteria included?
o Is The City’s staff involvement clearly defined?
o Is a communication plan included?
o Training staff in multiple physical locations?
• Compliance with City’s requirements
6.4.6. COST
Cost information will only be evaluated for responsive bids. If a Bidder’s proposal has
been determined to be non-responsive during the earlier steps, cost information will not be
opened. Costs are to be presented according to the requirements of Appendix S– Pricing.
The evaluation will assess the total cost of the proposed solution, including the sum of
software costs, implementation costs, on-going costs and average labor costs for the
contract.
RFP# ERP-001
Finance, Payroll, Human Resource System
June 5, 2014
Page 29
6.5 GRADING SUMMARY
The Evaluation Team will determine which Bidder proposal has the highest combined
score for evaluation factors, up to a maximum of 1,000 points. This Bidder will be declared
the “potential contractor”, pending final authorization by the City.
The award of a contract may be made to the proposer whose proposal best meets the
City’s requirements and represents the best value. The City will determine which proposal
is the best value and whether it is in the interest of the City to accept the proposal. The
City reserves the right to request additional written or oral information from Proposers in
order to obtain clarification of their responses. The City reserves the right to make the
selection as to the type of proposal to accept, and may decide to accept a proposal, even
though such a selection may result in an overall higher cost than if some alternative
proposal selection had been made. The judgment of the City as to which proposal best
meets the City’s requirements shall be final.
7. FINAL ACCEPTANCE
The City of Carmel-by-the-Sea will agree to final acceptance only after the supplied equipment, product
or service is tested and is found to perform within acceptable standards of operation, is in compliance
with all published and implied performance standards, and is considered by the City to be ready for
practical application.
CITY OF CARMEL-BY-THE-SEA
ADMINISTRATIVE SERVICES DEPARTMENT
RFP #ERP-001
FINANCE, PAYROLL, HUMAN RESOURCE SYSTEM
<PROPOSER NAME>
APPENDIX A – GENERAL TERMS AND CONDITIONS
RFP ERP-001 – Appendix A
General Terms and Conditions
June 2, 2014
Page 2 of 13
APPENDIX A – GENERAL TERMS AND CONDITIONS
1. BID/QUOTE/PROPOSAL/GENERAL CONDITIONS: All of the terms and conditions of the bid, quote, or proposal
against which this purchase document is applied, are hereby incorporated.
2. SALES TAX NOT INCLUDED: Unless otherwise definitely specified, the unit prices do not include California sales and
use tax or Carmel-by-the-Sea City sales and use tax.
3. CASH DISCOUNTS: In connection with any cash discount specified on this quote, time will be computed from the date
of complete delivery of the supplies or equipment as specified, or from date correct invoices are received in the City
Administrative Services’ Office if the latter date is later than the date of delivery. For the purpose of earning the
discount, payment is deemed to be made on the date of mailing of the City warrant or check.
4. AMERICANS WITH DISABILITIES ACT: As a condition of accepting a purchase order from the City of
Carmel-by-the-Sea, the vendor certifies that their business entity is in compliance with the Americans With Disabilities
Act of 1990, as amended. Failure to certify shall prohibit the award of a purchase order to the vendor.
5. HOLD HARMLESS: The vendor shall hold the City of Carmel-by-the-sea, its officers, agents, servants and employees
harmless from liability of any nature or kind because of use of any copyrighted, or uncopyrighted composition, secret
process, patented or unpatented invention, articles or appliances furnished or used under this order, and agrees to
defend, at his own expense, any and all actions brought against the City of Carmel-by-the-Sea or himself because of
the unauthorized use of such articles.
6. DEFAULT BY VENDOR: In case of default by vendor, the City of Carmel-by-the-Sea may procure the articles or
services from other sources and may deduct from any monies due, or that may thereafter become due to the vendor,
the difference between the price named in the contract or purchase order and actual cost thereof to the City of
Carmel-by-the-Sea. Prices paid by the City shall be considered the prevailing market price at the time such purchase is
made. Periods of performance may be extended if the facts as to the cause of delay justify such extension in the
opinion of the Purchasing Agent.
7. RIGHT TO AUDIT: The City of Carmel-by-the-Sea reserves the right to verify, by examination of vendor’s records, all
invoiced amounts when firm prices are not set forth in the purchase agreement.
8. ASSIGNMENT: (a) This award is not assignable by contractor either in whole or in part, without the prior written
approval of the Purchasing Agent of the City of Carmel-by-the-Sea. (b) In submitting a quote to a public purchasing
body, the quoter offers and agrees that if the quote is accepted, it will assign to the purchasing body all rights, title, and
interest in and to all causes of action it may have under Section 4 of the Clayton Act (15 U.S.C. Sec. 15) & the
Cartwright Act (Chapter 2 [commencing with Section 16700] of part 2 of Division 7 of the Business and Professions
Code), arising from the purchases of goods, materials, or services by the quoter for sale to the purchasing body
pursuant to the quote. Such assignment shall be made and become effective at the time the purchasing body tenders
final payment to the quoter.
9. APPLICABILITY TO HEIRS: Time is of the essence of each and all the provisions of this agreement, and, subject to
the limitations of Paragraph 8, the provisions of this agreement shall extend to and be binding upon and inure to the
benefits of the heirs, executors, administrators, successors, and assigns of the respective parties hereto.
10. F.E.T. EXEMPTION: Carmel-by-the-Sea City is exempted from payment of Federal Excise Tax. No federal tax shall be
included in price.
11. CHARGES NOT INCLUDED ON FACE NOT ACCEPTABLE: No charge will be accepted for packing, boxing, or
cartage, except as specified in the Notice of Award. Freight collect shipments will not be accepted. Merchandise will
not be accepted if payment is to be made at the time of delivery.
12. TITLE: Except as otherwise expressly provided herein, title to and risk of loss on all items shipped by seller to buyer
shall pass to the buyer upon buyer’s inspection and acceptance of such items at buyer’s building.
RFP ERP-001 – Appendix A
General Terms and Conditions
June 2, 2014
Page 3 of 13
13. CHANGES WITHOUT NOTICE PROHIBITED: No changes in price, quantity or merchandise will be recognized by the
City of Carmel-by-the-Sea without written notice of acceptance thereof prior to shipment.
14. ALL UNDERSTANDINGS IN WRITING: It is mutually understood and agreed that no alteration or variation of terms of
this award shall be valid unless made in writing and signed by the parties hereto, and that no oral understandings or
agreements not incorporated herein, and no alterations or variations of the terms hereof unless made in writing
between the parties hereto shall be binding on any of the parties hereto.
15. FORCE MAJEURE: Neither Contractor nor the City shall be liable or responsible for delays or failures in performance
resulting from events beyond the reasonable control of such party and without fault or negligence of such party. Such
events shall include but not be limited to acts of God, strikes, lockouts, riots, acts of war, epidemics, acts of
government, fire, power failures, nuclear accidents, earthquakes, unusually severe weather, acts of terrorism, or other
disasters, whether or not similar to the foregoing, and acts or omissions or failure to cooperate of the other party or third
parties (except as otherwise specifically provided herein).
16. INVOICING: Upon submission of itemized invoices, in duplicate, payment shall be made of the prices stipulated herein
for supplies delivered and accepted or services rendered and accepted, less deductions, if any, as herein provided.
Payment on partial deliveries may be made whenever amounts due so warrant or when requested by the vendor and
approved by the Purchasing Agent.
17. SPECIAL CONDITIONS: Buyer’s standard terms and conditions shall govern any contract awarded. If, after award of
contract, vendor provides additional terms or conditions, they shall be considered void. To the extent not otherwise
stated in the contract, the California Commercial code shall apply.
18. INFORMATION TECHNOLOGY ASSURANCES: Contractor shall take all reasonable precautions to ensure that any
hardware, software, and/or embedded chip devices used by contractor in the performance of services under this
agreement, other than those owned or provided by City, shall be free from viruses. Nothing in this provision shall be
construed to limit any rights or remedies otherwise available to City under this agreement.
New Contractor shall certify that each of the following statements is true:
A. Contractor has fully complied with all applicable state and federal reporting requirements relating to employment
reporting for its employees;
B. Contractor has fully complied with all lawfully served wage and earnings assignment orders and notices of assignment
and will continue to maintain compliance; and
C. If contractor has a principal owner; contractor shall provide principal owner information to the City upon request.
Principal owner is defined for purposes of this agreement as a person who owns an interest of 25% or more in the
contractor. Information required may include the principal owner’s name, address, and social security number. Failure
to provide requested information about a principal owner within 60 days of request shall be deemed a material breach
of this contract and may be grounds for termination.
NOTE: Failure to comply with state and federal reporting requirements regarding Contractor’s employees or failure to implement
lawfully served wage and earnings assignment orders or notices of assignment constitutes a default under any contract with the
City. Failure to cure such default within 90 days of notice by the City shall be grounds for termination of contract.
RFP ERP-001 – Appendix A
General Terms and Conditions
June 2, 2014
Page 4 of 13
ADDITIONAL TERMS AND CONDITIONS
FINANCE, PAYROLL AND HUMAN RESOURCE SYSTEM
Vendor's Representative Information:
Name
Street
City, State, Zip
Phone:
Email:
This contract _____________ is established for the acquisition for ________ per Request for Qualifications (RFP
ERP-001) and ___________ response to RFP ERP-001 and is hereby incorporated by reference and made a part of
this contract.
Other contractual documents:
1. ________________________________
2. ________________________________
3. ________________________________
This contract is restricted for use by City of Carmel-by-the-Sea only.
City point of contact information:
Paul Wood
PO Box CC
Carmel by the Sea, CA 93921
Phone: 831-620-2000
Email: Purchasing @ci.carmel.ca.us
Contract Term: xx/xx/xxxx through xx/xx/xxxx
Applicable Laws - Vendor, in providing the equipment and services specified herein, shall comply with all applicable
Federal, State and City statutes, patents, copyright laws, ordinances, regulations, directives, and laws. The resultant
contract(s) shall be deemed to be executed within the State of California and construed with and governed by the laws
of the State of California.
Termination: Unless terminated as provided herein, this Agreement will extend for a period of ____ years from the
expiration of the xxx day warranty and will automatically renew from year to year thereafter, unless earlier terminated
as provided herein. Either party may terminate this Agreement without cause upon thirty (30) days written notice. In
the event of termination without cause, Licensee agrees to pay Licensor for all of Licensor's Work performed up to the
date of termination. Either party may terminate this agreement upon written notice for material breach, provided,
however, that the terminating party has given the other party at least thirty (30) days written notice of and the
opportunity to cure the breach. Termination for breach will not alter or affect the terminating party's right to exercise
any other remedies for breach.
Unrestricted Quantities: The City is not limited to purchase all of its requirements from this contract.
RFP ERP-001 – Appendix A
General Terms and Conditions
June 2, 2014
Page 5 of 13
Safety Requirements: All services and merchandise must comply with current California State Division of Industrial
Safety orders and O.S.H.A.
Non-assignment: Contractor shall neither assign nor subcontract any of the services required under this contract
without prior written consent of the City.
SPECIAL PROVISIONS
Timely Delivery: Time is of the essence on the contract. Contractor shall complete all deliveries and/or services as
required.
F.o.b. Point: The f.o.b. point shall be f.o.b. destination, Freight allowed (seller pays freight charges, if any.)
Responsibilities of City and Contractor for Scope:
A. City or designee shall review all documents submitted by Contractor and render decisions pertaining thereto as
promptly as is reasonable under the circumstances at the time in order to avoid unreasonable delay of the
progress of Contractor. City shall furnish information and services as required and shall render approvals and
decisions as expeditiously as is reasonably necessary under the circumstances at the time for the orderly
progress of the Contractor’s services and of the project.
B. Contractor shall be solely responsible for the quality and accuracy of its work and the work of its sub-contractors
performed in connection with this project. Any review, approval, or concurrence therewith by the City shall not be
deemed to constitute acceptance or waiver by the City of any error or omission as to such work. Contractor shall
coordinate the activities or sub-contractors and is responsible to ensure that all plans, drawings, and
specifications are coordinated and interface with the other applicable plans, drawings, and specifications to
produce a unified, workable, and acceptable whole functional product.
Authority of Contractor Performing Scope of Work: Contractor is retained to provide and perform the scope of
services by this agreement. Contractor, including Contractor’s assigned personnel, shall have no authority to
represent City or City staff at any meetings or public or private agencies unless an appropriate City official provides
prior written authorization for such representation, which outlines the purpose, scope and duration of such
representation. Contractor shall possess no authority or right to act on behalf of City in any capacity whatsoever as
agent, nor to bind City to any obligations whatsoever. City is responsible for making all policy and governmental
decisions related to the work covered by this agreement.
Itemized Task and Subtasks: If Contractor’s proposal contains a schedule of tasks or subtasks with identified levels
of effort such as estimated hours and/or estimated costs, or identifiable work products, milestones, or other events,
then compensation for these individual tasks or activities shall not exceed the identified estimate or other limiting
factors without the written approval of City’s Project Manager. Contractor shall promptly notify City’s Project
Manager in writing of any tasks, subtasks, work products, or milestones that need to be reevaluated and indicate the
reason and/or justification for such reevaluation. City’s Project Manager is authorized to negotiate adjustments of
individual tasks so long as the work is within the general scope of the project and the total compensation does not
exceed the Maximum Total Payment Amount under this Agreement.
Work Not In Scope of Services: Contractor shall immediately notify the City’s Project Manager in writing of any work
that the City requests to be performed that Contractor believes is outside of the original scope of work covered by this
Agreement. If it is determined that said request is outside of the scope of work, such work shall not be performed
RFP ERP-001 – Appendix A
General Terms and Conditions
June 2, 2014
Page 6 of 13
unless and until the City approves such request in writing and authorizes the use of any contingency funds for such
work, or an amendment providing for an adjustment in Contractor’s compensation is approved and executed by both
parties.
Notification of 75% Expenditure of Compensation: Contractor shall notify City’s Project Manager in writing upon
expenditure of seventy-five percent (75%) of the authorized Agreement amount. Such notice shall identify the
percentage of funds expended, the percentage of work completed, an explanation of any variation between these two
(2) percentages, and an assessment of the cost of the remaining work to be performed.
Independence of Contractor: It is understood and agreed that Contractor (including Contractor’s employees) is an
independent contractor and that no relationship of employer-employee exists between Carmel-by-the-Sea and the
Contractor. Contractor's assigned personnel shall not be entitled to any benefits payable to employees of
Carmel-by-the-Sea. Carmel-by-the-Sea is not required to make any deductions or withholdings from the
compensation payable to Contractor’s personnel; and as an independent contractor, Contractor agrees to indemnify
and hold Carmel-by-the-Sea harmless from any and all claims that may be made against Carmel-by-the-Sea based
upon any contention by any third party that an employer-employee relationship exists by reason of the contract
between Carmel-by-the-Sea and the Contractor.
If Contractor uses any sub-contractors, such persons shall be entirely and exclusively under the direction,
supervision, and control of the Contractor. All terms of employment, including hours, wages, working conditions,
discipline, hiring, and discharging or any other terms of employment or requirements of law, shall be determined by
the Contractor.
Neither Contractor nor Contractor's assigned personnel shall have any entitlement as a Carmel-by-the-Sea
employee, right to act on behalf of Carmel-by-the-Sea in any capacity whatsoever as agent, nor to bind
Carmel-by-the-Sea to any obligation whatsoever.
Contractor shall issue W-2 Forms for income and employment tax purposes for all of the Contractor’s assigned
personnel.
Benefits Waiver: If Contractor is unincorporated, Contractor acknowledges and agrees that Contractor is not entitled
to receive the following benefits and/or compensation from the City: medical, dental, vision and retirement benefits,
life and disability insurance, sick leave, bereavement leave, jury duty leave, paternal leave, or any other similar
benefits or compensation otherwise provided to permanent City employees. Should any employee or agent of
Contractor seek to obtain such benefits from the City, Contractor agrees to indemnify and hold harmless the City from
any and all claims that may be made against the City for such benefits.
General Liability of Contractor: Except as otherwise noted, Contractor shall do all work and furnish all labor,
supervision, equipment, power, light, tools and materials necessary to properly perform and complete the work in the
time and manner required. The mention of any specific duty or liability of Contractor shall not be construed as
limitation or restriction of any general liability or duty of Contractor and, any reference to any specific duty or liability
shall be construed to be for the purpose of explanation only.
Indemnification: For work or services provided under this Agreement, Contractor shall indemnify, defend, and
hold harmless the Carmel-by-the-Sea, its City Council Members, officers, directors, agents, employees and
volunteers in connection with claims, losses, damages, liabilities and lawsuits, including reasonable attorney fees, to
the extent they arise from, or alleged to arise from, the negligent acts, errors, omissions, recklessness or willful
RFP ERP-001 – Appendix A
General Terms and Conditions
June 2, 2014
Page 7 of 13
misconduct in connection with the Contractor’s performance under this Agreement or the acts or omissions of anyone
else directly or indirectly acting on behalf of the Contractor, or for which the Contractor is legally liable under law, or a
party for whom the Contractor is legally responsible. The indemnity shall include claims by a third-party arising from
the unauthorized use of any copyrighted or uncopyrighted composition, secret process, patented or unpatented
invention, articles, or appliances furnished or used in the performance of this Agreement.
The provisions of this indemnity shall survive the expiration or termination of the Agreement
Criminal Background Check:
A. Since the work may require entry into secured City facilities, the City will be required to conduct a criminal
background check on the Contractor and all employees who may be assigned to perform the services on City
property. Moreover, the City may require a “fingerprint” or “Live Scan” criminal background check that would
include a FBI check. Contractor may be responsible to pay the fees associated with the criminal background
check(s).
B. City reserves the right to review the personal background information and to conduct further security
clearances on the Contractor and Contractor’s assigned personnel. Upon request of the City, Contractor shall
provide the following information with each name to the City: date of birth, Social Security number, California
driver’s license number, current address, and other background information as may be required by the City.
This information must be furnished within twenty-four (24) hours, and shall apply to any new personnel due
employee turnover.
C. Any person or persons not acceptable to the City shall be prohibited from working on the contract.
D. Certain “infractions” in the background investigation may be grounds for disqualification. It will be the
responsibility of the Contractor to meet with the City project manager to discuss such matters.
Felony Prohibition: Contractor shall not permit any employee who has been convicted of a felony to perform on the
contract.
Drug-free Workplace: In submitting a Request for Quotation/Bid/Proposal, Contractor certifies that its place of
business provides a drug-free workplace.
Confidentiality and Security: Any Contractor engaging in any software interfaces for the City which requires them to
come into contact with confidential City information will be required to hold confidential such confidential data made
available to them.
Contractor must assure that all of its employees and agents assigned to work at Carmel-by-the-Sea will learn and
comply with the security policies and procedures in effect at Carmel-by-the-Sea throughout the term of their
assignment to the Cy.
Contractor and Contractor’s assigned personnel shall access or handle restricted or confidential data only as required
for performance of the assigned duties. Contractor and Contractor’s assigned personnel shall disseminate such data
only to personnel specifically authorized in writing by Carmel-by-the-Sea, and in no event shall the Contractor or the
Contractor’s assigned personnel discuss or disseminate any data or information whatsoever, which relates to data
accessed or handled as a result of the Agreement, to any unauthorized person.
Information Technology Assurances: Contractor shall take all reasonable precautions to ensure that any
hardware, software, and/or embedded chip devices used by Contractor in the performance of services under this
RFP ERP-001 – Appendix A
General Terms and Conditions
June 2, 2014
Page 8 of 13
agreement, other than those owned or provided by City, shall be free from viruses. Nothing in this provision shall be
construed to limit any rights or remedies otherwise available to City under this agreement.
Licenses, Permits and Contractual Good Standing:
A. Contractor shall possess and maintain all necessary licenses, permits, certificates and credentials required
by the laws of the United States, the State of California, Carmel-by-the-Sea and all other appropriate
governmental agencies, including any certification and credentials required by City. Failure to maintain the
licenses, permits, certificates, and credentials shall be deemed a breach of this Agreement and constitutes
grounds for the termination of this Agreement by City.
B. Contractor further certifies to City that it and its principals are not debarred, suspended, or otherwise
excluded from or ineligible for, participation in federal, State or Carmel-by-the-Sea government contracts.
Contractor certifies that it shall not contract with a Subcontractor that is so debarred or suspended.
Health and Safety: Contractor shall plan and conduct work in a manner that will safeguard all persons frominjury and
shall take all precautions as required by California Department of Industrial Relations and Cal-OSHA
(California-Occupational Safety and Health Administration).
Correspondence: Contractor or his/her designated officer shall respond to all inquiries and complaints expeditiously
in a professional manner. Correspondence shall be made on the Contractor's official stationary. The Contract
Services Officer (buyer) shall receive a copy of all correspondence.
Toll-free Telephone Number: In the event the successful Contractor’s place of business is located out of the local
telephone dialing area of 831, a toll-free telephone number shall be provided or Contractor shall agree to accept
collect calls from the City.
Performance Standards: Contractor shall perform its services under this Agreement in accordance with the industry
and/or professional standards applicable to Contractor’s services.
Standards of Conduct: Contractor shall be responsible for maintaining satisfactory standards of employee
competency, conduct, appearance, and integrity and shall be responsible for taking such disciplinary action with
respect to his/her employees as may be necessary. Contractor and staff shall always be courteous, cooperative and
professional toward City representatives and the public in the course of their work. All assignments and problems
shall be handled promptly and professionally to the satisfaction of the City.
Dismissal of Unsatisfactory Employee: If any person employed by Contractor or Subcontractor fails or refuses to
carry out the work per City requirements or is, in the opinion of the City representative, incompetent, unfaithful,
intemperate, or disorderly or uses threatening or abusive language to any person on the job or is otherwise
unsatisfactory, he/she shall be removed from the work immediately, and shall not again be employed on the work
except upon consent of the City representative.
Reports: Contractor shall, without additional compensation thereof, make fiscal, program evaluation, progress, and
such other reports as may be reasonably required by the Purchasing Agent concerning Contractor's activities as they
affect the contract duties and purposes herein. City shall explain procedures for reporting the required information.
Modifications/Extensions: The contract between City and the Contractor may be modified or extended only by
written agreement executed by both parties. Modifications/extensions may only be made to uphold the original intent
RFP ERP-001 – Appendix A
General Terms and Conditions
June 2, 2014
Page 9 of 13
of the contract. It includes adding or deleting line items, as well as adjusting unit prices on the contract. Such
modifications/extensions shall not void the contract, but shall be added to or be deducted from the contract, as the
case may be, by a fair and reasonable valuation.
Audit of Contractor’s Records: Contractor shall maintain appropriate financial records, and City for purpose of
audit. Such records shall be completed and available for audit within 90 days after final payment and shall be retained
and available for audit purpose for four years after final payment, and shall only address those transactions related to
this Agreement.
Unrestricted Quantities: The City is not limited to purchase all of its requirements from any agreement resulting from
this RFP/award.
Subcontracts, Assignment:
A. Contractor shall obtain prior written approval fromthe City before subcontracting any of the services delivered
under this Agreement. Contractor remains legally responsible for the performance of all contract terms
including work performed by third parties under subcontracts. Any subcontracting will be subject to all
applicable provisions of this Agreement. Contractor shall be held responsible by City for the performance of
any subcontractor whether approved by City or not.
B. This Agreement is not assignable by Contractor in whole or in part, without the prior written consent from the
City.
Contractor not an Agent: Except as the City may specify in writing, Contractor shall have no authority, express or
implied, to act on behalf of the City in any capacity whatsoever as an agent. Contractor shall have no authority,
express or implied pursuant to this Agreement to bind the City to any obligation whatsoever.
Notice: Any notice, demand, request, consent, or approval that either party hereto may or is required to give the other
pursuant to this Agreement shall be in writing and shall be either personally delivered or sent by mail to other party.
Compliance with Laws: Contractor shall observe and comply with all applicable Federal, State, and local laws,
regulations and ordinances.
Governing Laws and Jurisdiction: This Agreement shall be deemed to have been executed and to be performed
within the State of California and shall be construed and governed by the internal laws of the State of California. Any
legal proceedings arising out of or relating to this Agreement shall be brought in Monterey County, California.
Amendment and Waiver: Except as provided herein, no alteration, amendment, variation, or waiver of the terms of
this Agreement shall be valid unless made in writing and signed by both parties. Waiver by either party of any default,
breach or condition precedent shall not be construed as a waiver of any other default, breach or condition precedent,
or any other right hereunder. No interpretation of any provision of this Agreement shall be binding upon City unless
agreed in writing by the Purchasing Agent and counsel for City.
Successors: This Agreement shall bind the successors of City and Contractor in the same manner as if they were
expressly named.
RFP ERP-001 – Appendix A
General Terms and Conditions
June 2, 2014
Page 10 of 13
Interpretation: This Agreement shall be deemed to have been prepared equally by both of the parties, and the
Agreement and its individual provisions shall not be construed or interpreted more favorably for one party on the basis
that the other party prepared it.
Disputes: In the event of any dispute arising out of or relating to this Agreement, the parties shall attempt, in good
faith, to promptly resolve the dispute mutually between them. Pending resolution of any such dispute, Contractor
shall continue without delay to carry out all its responsibilities under this Agreement unless the Agreement is
otherwise terminated in accordance with the Termination provisions herein. City shall not be required to make
payments for any services that are the subject of this dispute resolution process until such dispute has been mutually
resolved by the parties. If the dispute cannot be resolved within 15 calendar days of initiating such negotiations or
such other time period as may be mutually agreed to by the parties in writing, either party may pursue its available
legal and equitable remedies, pursuant to the laws of the State of California.
Prior Agreements: This Agreement constitutes the entire contract between City and Contractor regarding the subject
matter of this Agreement. Any prior agreements, whether oral or written, between City and Contractor regarding the
subject matter of this Agreement are hereby terminated effective immediately upon full execution of this Agreement.
Severability: If any term or condition of this Agreement or the application thereof to any person(s) or circumstance is
held invalid or unenforceable, such invalidity or unenforceability shall not affect other terms, conditions, or
applications which can be given effect without the invalid term, condition, or application; to this end the terms and
conditions of this Agreement are declared severable.
Force Majeure: Neither Contractor nor City shall be liable or responsible for delays or failures in performance
resulting from events beyond the reasonable control of such party and without fault or negligence of such party. Such
events shall include but not be limited to acts of God, strikes, lockouts, riots, acts of war, epidemics, acts of
government, fire, power failures, nuclear accidents, earthquakes, unusually severe weather, acts of terrorism, or
other disasters, whether or not similar to the foregoing, and acts or omissions or failure to cooperate of the other party
or third parties (except as otherwise specifically provided herein).
Survival of Terms: All services performed and deliverables provided pursuant to this Agreement are subject to all of
the terms, conditions, price discounts and rates set forth herein, notwithstanding the expiration of the initial termof this
Agreement or any extension thereof. Further, the terms, conditions and warranties contained in this Agreement that
by their sense and context are intended to survive the completion of the performance, cancellation or termination of
this Agreement shall so survive.
Invoicing:
A. Prepare invoices in duplicate: The City requires an original and a copy for each separate invoicing. For this
agreement/contract, send invoices to:
Paul Wood
PO Box CC
Carmel by the Sea, CA 93921
Phone: 831-620-2000
Email: Purchasing @ci.carmel.ca.us
B. Each invoice shall contain a minimumof the following information: contract number, invoice number and date;
remittance address; "bill to" and "ship to" addresses, deliverable number; deliverable description, unit prices
and extensions; applicable sales/use tax; and an invoice total.
C. Invoices shall be rendered in arrears.
RFP ERP-001 – Appendix A
General Terms and Conditions
June 2, 2014
Page 11 of 13
D. Invoice discrepancies shall be handled in a professional, courteous, and expeditious manner.
E. Pursuant to Government Code Section 926.10, interest or late charges shall not exceed six percent (6%) per
annum. Such charges commence the 61st day from the receipt date of the undisputed invoice.
Additional Contractual Language:
The parties acknowledge that the government programs supported by this Agreement will be subject to continuous
change during the term of this Agreement. Contractor and City shall work together to support such changes.
The Parties also acknowledge that Contractor was selected, in part, because of its expertise, experience and
knowledge concerning applicable Federal, State and/or City laws, regulations, codes, policies, or guidelines that
affect the performance of the Services and System.
Identifying Changes: In keeping with City’s reliance on Contractor’s knowledge, experience and expertise,
Contractor will be responsible for identifying changes in applicable federal or State legislative enactments and
regulations and the impact of such changes on the performance of the Services or Deliverables or City’s use of the
Services or Deliverables. Contractor must timely notify City of such changes and must work with City to identify the
impact of such changes on how City uses the Services or Deliverables.
Noncompliance: Contractor will be responsible for any fines, penalties, or disallowances which are imposed on the
City or Contractor and which arise from any noncompliance with the laws, regulations, codes, policies and guidelines
that affect the Services or Deliverables which are to be provided or which have been provided by Contractor, or their
Subcontractors.
Notice From City: In the ordinary course of business, if City becomes aware of any material changes in applicable
law, regulation, codes, policy, or guidelines affecting the Agreement, City will promptly notify Contractor of the
changes.
Contractor Response to Change Request: Contractor shall respond in writing to a Change Request within 15 days
of receipt, advising City of any cost and Schedule impacts. When there is a cost impact, i.e., increase or decrease in
Charges or Purchase Prices, Contractor shall advise City in writing of the increase or decrease involved, including a
breakdown of the number of Staff hours by level of Contractor and City personnel needed to effect this change.
Agreement on Change Order: The Contractor Project Manager and the City Project Manager shall negotiate in
good faith and in a timely manner as to the price for amounts over the limitations specified in Deliverables and
Payment Schedule and the impact on the Schedule of any Change Request. If the parties reach an agreement on
a Change Order in writing, and the Change Order is executed by authorized representatives of the parties, the terms
of this Agreement shall be modified accordingly. The parties will execute a formal Agreement amendment for any
Change Order that increases or decreases the Maximum Amount. Nonfinancial Change Orders may be approved in
writing by the City Project Manager. However, all other Change Orders must be executed by the City Project
Manager. Contractor will incorporate all Change Orders affecting the Services and Deliverables into applicable
System Documentation as described in RFP ERP-001: Appendix N – Summary of Project Deliverables. In no event
shall the Charges or Purchase Prices be increased nor shall the Schedule be extended in a Change Order to correct
errors or omissions in the System.
Disagreement: If federal, State or City laws, rules, regulations, codes, policies or guidelines are adopted,
promulgated, judicially interpreted or changed, the effect of which is to alter the ability of either party to fulfill its
RFP ERP-001 – Appendix A
General Terms and Conditions
June 2, 2014
Page 12 of 13
obligations under this Agreement, the parties will promptly negotiate in good faith appropriate modifications or
alterations to the Agreement and any appropriate Change Orders for amounts over the limitations specified in
Deliverables and Payment Schedule.
Termination: If Contractor fails or refuses to perform its Services pursuant to a Change Order, Contractor shall be in
material breach of this Agreement, and City shall have the right to terminate the Agreement for such a breach.
Contractor Submission of Change Request: Contractor may also submit a Change Request to City to propose
changes that should be made within the scope of the Agreement. Any such Change Request shall include proposed
costs and Schedule impacts, including a breakdown of the number of Staff hours by level of Contractor and City
personnel needed to effect this change. City will attempt to respond to such Change Requests from Contractor
within 20 days of receipt. If the parties reach an agreement on a Change Order in writing, and the Change Order is
executed by authorized representatives of the Parties, the terms of this Agreement shall be modified accordingly. If
the parties are unable to reach an agreement in writing on a Change Request submitted by Contractor, the City
Project Manager will be deemed to have rejected the requested Change Request.
Confidentiality –
A. Contractor shall immediately report to City any and all unauthorized disclosures or uses of City’s Confidential
Information of which it or its Staff is aware or has knowledge. Contractor acknowledges that any publication
or disclosure of City’s Confidential Information to others may cause immediate and irreparable harm to City.
If Contractor should publish or disclose such Confidential Information to others without authorization, City
shall immediately be entitled to injunctive relief or any other remedies to which it is entitled under law or equity
without requiring a cure period. Contractor shall indemnify, defend, and hold harmless City from all
damages, costs, liabilities and expenses (including without limitation reasonable attorneys’ fees) caused by
or arising from Contractor’s failure to protect City’s Confidential Information. As a condition to the foregoing
indemnity obligations, City will provide Contractor with prompt notice of any claim of which City is aware and
for which indemnification shall be sought hereunder and shall cooperate in all reasonable respects with
Contractor in connection with any such claim.
B. City will immediately report to Contractor any and all unauthorized disclosures or uses of Contractor’s
Confidential Information of which City is aware or has knowledge. City acknowledges that any publication or
disclosure of Contractor’s Confidential Information to others may cause immediate and irreparable harm to
Contractor. If City should publish or disclose such Confidential Information to others without authorization,
Contractor shall immediately be entitled to injunctive relief or any other remedies to which it is entitled under
law or equity without requiring a cure period.
C. Nondisclosure of Other City Information - The use or disclosure by Contractor of any City information not
necessary for, nor directly connected with, the performance of Contractor’s responsibility with respect to
Services is prohibited, except upon the express written consent of City.
i. Exceptions - The following information shall not be considered Confidential Information for the
purposes of this Agreement: information previously known when received from the other party;
information freely available to the general public; information which now is or hereafter becomes
publicly known by other than a breach hereof; information which is developed by one party
independently of any disclosures made by the other party of such information; or information
which is disclosed by a party pursuant to subpoena or other legal process and which as a result
becomes lawfully obtainable by the general public.
ii. Survival - The provisions of this Section shall remain in effect following the termination or
expiration of this Agreement.
RFP ERP-001 – Appendix A
General Terms and Conditions
June 2, 2014
Page 13 of 13
Supplemental Contracts: City may undertake or award supplemental contracts for work related to this
Agreement, or any portion thereof. Contractor shall cooperate with such other contractors and City in all such cases.
Contractor shall ensure that all Subcontractors shall abide by this provision. It is understood and agreed by the
parties hereto that Contractor shall not be responsible for the acts or failures to act of any such other contractors or for
any delays which may be caused by any such other contractors, except that Contractor shall be responsible for delays
of, or acts or failures to act of, such other contractors to the extent such delays, or acts or failures to act are caused by
or due to the fault of Contractor.
Public Agency Participation: It is intended that any other public agency including those identified in the solicitation
(i.e., city, district, public authority, public agency, municipality and other political sub-division or public corporation of
California) located in California shall have the option to participate in any award made as a result of this
solicitation/contract. The Carmel-by-the-Sea shall incur no financial responsibility in connection with orders issued or
delivered by another public agency. Each public agency using this contract shall accept sole and full responsibility for
placing of orders and making payments to the contractor. In addition to the above, the contractor shall provide the
same level of indemnification and insurance protection to each of the participating agencies ordering products and/or
services under any award made as a result of this solicitation.
CITY OF CARMEL-BY-THE-SEA
ADMINISTRATIVE SERVICES DEPARTMENT
RFP #ERP-001
FINANCE, PAYROLL, HUMAN RESOURCE SYSTEM
<PROPOSER NAME>
APPENDIX B – SOLICITATION EXCEPTIONS
RFP ERP-001 – Appendix B
Solicitation Exceptions
June 2, 2014
APPENDIX B SOLICITATION EXCEPTIONS
Please list all exceptions below referring to name of specific section and (where applicable) paragraph,
subsection number, or other identifier. For each exception, please quote the statement(s) to which you are taking
an exception, for reference during bid analysis. Exceptions considered excessive or affecting vital terms,
conditions or specifications may reduce or eliminate your prospects for award.
Page
#
Section# /Title Exception
CITY OF CARMEL-BY-THE-SEA
ADMINISTRATIVE SERVICES DEPARTMENT
RFP #ERP-001
FINANCE, PAYROLL, HUMAN RESOURCE SYSTEM
<PROPOSER NAME>
APPENDIX C – NON-COLLUSION AFFIDAVIT
RFP ERP-001 – Appendix C
Non-Collusion Affidavit
June 2, 2014
APPENDIX C Non-Collusion Affidavit
I state that I am authorized to make this affidavit on behalf of my firm, and its owners, directors, and officers. I am the
person responsible in my firm for the price(s) and the amount of this proposal.
I state that:
1. The price(s) and amount of this proposal have been arrived at independently and without consultation,
communication or agreement with any other contractor, bidder or potential bidder, except as disclosed below
in the exceptions field (accept with exceptions).
2. That neither the price(s) nor the amount of this proposal, and neither the approximate price(s) nor approximate
amount of this proposal, have been disclosed to any other firm or person who is a bidder or potential bidder,
and that they will not be disclosed before proposal opening.
3. No attempt has been made or will be made to induce any firm or person to refrain from submitting a proposal
on this contract, or to submit a proposal higher than this proposal, or to submit any intentionally high or
noncompetitive proposal/bid or other form of complementary proposal.
4. The proposal by my firm is made in good faith and not pursuant to any agreement or discussion with, or
inducement from, any firm or person to submit a complementary or other noncompetitive proposal.
5. My firm, its affiliates, subsidiaries, officer, directors and employees are not currently under investigation by any
governmental agency and have not in the last five years been convicted of or found liable for any act prohibited
by State or Federal law in any jurisdiction, involving conspiracy or collusion with respect to bidding on any
public contract.
6. No current or previous employee of the City of Carmel-by-the-Sea (employed by City of Carmel-by-the-Sea
within the last calendar year) has been involved or is currently involved in any manner, directly or indirectly,
with bidder’s response or considerations in responding to this request.
I understand and my firm understands and acknowledges that the above representations are material and important,
and will be relied upon by the City of Carmel-by-the-Sea in awarding the contract(s) for which this proposal is submitted.
I understand and my firm understands that any misstatement in this affidavit is and shall be treated as fraudulent
concealment from the City of Carmel-by-the-Sea of the true facts relating to the submission of proposals/bids for this
contract. Any violation of this certification shall render bidder’s response invalid. In such a case, bidder’s response will
be immediately disqualified.
Signature: ___________________________________ Date: ____________________________________
Printed Name: _______________________________ Position Title: _____________________________
Company Name: _____________________________________________________________________________
CITY OF CARMEL-BY-THE-SEA
ADMINISTRATIVE SERVICES DEPARTMENT
RFP #ERP-001
FINANCE, PAYROLL, HUMAN RESOURCE SYSTEM
<PROPOSER NAME>
APPENDIX D – MINIMUM INSURANCE REQUIREMENTS
RFP ERP-001 – Appendix D
Minimum Insurance Requirements
June 2, 2014
APPENDIX D – MINIMUM INSIURANCE REQUIREMENTS
Proof of the following insurance is required with five (5) calendar days after successful negotiations:
GENERAL LIABILITY
Commercial General Liability insurance naming the City of Carmel-by-the-Sea, its officers, officials,
employees, volunteers and its Agents as an additional insured by endorsement, with limits of not less than:
• General Aggregate: $2 million
• Products/Completed Operations Aggregate: $2 million
• Personal and Advertising Injury: $1 million
• Each Occurrence: $1 million
AUTOMOBILE LIABILITY
Automobile Liability insurance with limits of not less than $1 million for bodily injury and property damage, in
combined or equivalent split limits, for each single accident. Insurance shall cover liability arising out of
Contractor’s use of autos pursuant to this Contract, including owned, leased, hired, and/or non-owned
autos, as each may be applicable.
WORKERS’ COMPENSATION AND EMPLOYERS’ LIABILITY
Workers Compensation and Employers’ Liability insurance or qualified self-insurance satisfying statutory
requirements, which includes Employers’ Liability coverage with limits of not less than $1 million per
accident. If Contractor will provide leased employees, or, is an employee leasing or temporary staffing firm
or a professional employer organization (PEO), coverage also shall include an Alternate Employer
Endorsement naming the City of Carmel-by-the-Sea as the Alternate Employer, and the endorsement form
shall be modified to provide that City will receive not less than thirty (30) days advance written notice of
cancellation of this coverage provision. If applicable to Contractor’s operations, coverage also shall be
arranged to satisfy the requirements of any federal workers or workmen’s compensation law or any federal
occupational disease law. The policy must include employer’s liability coverage of one hundred thousand
dollars ($100,000.00) per injury, and five hundred thousand dollars ($500,000.00) policy limits.
PROFESSIONAL LIABILITY (ERRORS & OMISSIONS):
Professional Liability insurance with limit no less than $1,000,000 per occurrence or claim and $2,000,000
aggregate.
If the policy is claims made, the retroactive date must be shown and must be before the date of the contract
or the beginning of contract work. Insurance must be maintained for at least 5 years after completion of the
contract of work. If coverage is canceled or non-renewed, and not replaced with another claims made
policy with a Retroactive Date prior to the contract effective date, the contractor must purchase extended
reporting coverage for a minimum of 5 years after completion of work.
Accept: ________________________________________________________
Accept With Exceptions:___________________________________________
CITY OF CARMEL-BY-THE-SEA
ADMINISTRATIVE SERVICES DEPARTMENT
RFP #ERP-001
FINANCE, PAYROLL, HUMAN RESOURCE SYSTEM
<PROPOSER NAME>
APPENDIX E - HIPAA BUSINESS ASSOCIATE EXHIBIT
RFP ERP-001 – Appendix E
HIPAA Business Associate Exhibit
June 2, 2014
Page 2 of 6
APPENDIX E
HIPAA BUSINESS ASSOCIATE EXHIBIT
Whereas, CITY, pursuant to the terms of the Agreement, wishes to disclose to CONTRACTOR and CONTRACTOR
wishes to disclose to CITY, certain information, some of which may constitute Protected Health Information (PHI)
including any in an electronic format (Electronic Protected Health Information or EPHI);
Whereas, in the course of the performance of the Agreement, CONTRACTOR will be provided with access to PHI;
Whereas, CITY and CONTRACTOR desire to protect the privacy and provide for the security of PHI disclosed to
each other in compliance with the Health Insurance Portability and Accountability Act of 1996 (HIPAA) Title 45 Code
of Federal Regulations (CFR), Title 42 CFR Section 1320d, and regulations promulgated thereunder by the U.S.
Department of Health and Human Services (the HIPAA Regulations) and other applicable laws and regulations.
Whereas, it appears that the CONTRACTOR is a Business Associate of CITY as that term is defined in the HIPAA
regulations; and
Whereas, CITY is willing to provide CONTRACTOR and its agents with access to PHI such that CONTRACTOR can
perform under the Agreement, under the terms of this Exhibit;
Whereas, the purpose of this Exhibit is to satisfy certain standards and requirements of HIPAA and the HIPAA
Regulations, including, but not limited to, Title 45, Section 164.504(e) of the Code of Federal Regulations (CFR), as
the same may be amended from time to time.
NOW, THEREFORE, in consideration of the mutual promises made herein, the parties agree as follows:
I. HIPAA REQUIREMENTS
A. Definitions
1. "Protected Health Information" or "PHI" means any information, whether oral or recorded in any
form or medium, including electronic (EPHI) as that term is defined in the Security Rule: 1) that
relates to the past, present, or future physical or mental condition of an individual; the provision of
health care to an individual; or the past, present or future payment for the provision of health care
to an individual, and 2) that identifies the individual or with respect to which there is a reasonable
basis to believe the information can be used to identify the individual, and shall have the meaning
given to such term under HIPAA and the HIPAA Regulations, including, but not limited to, 45 CFR
Section 164.501;
2. "Individual" shall have the same meaning as the term "individual” in 45 CFR Section 164.501 and
shall include a person who qualifies as a personal representative in accordance with 45 CFR
Section 164.502(g);
3. "Privacy Rule" shall mean the “Standards for Privacy of Individually Identifiable Health
Information”, 45 CFR Part 160 and Part 164, subparts A and E, as amended from time to time.
RFP ERP-001 – Appendix E
HIPAA Business Associate Exhibit
June 2, 2014
Page 3 of 6
4. "Security Rule" shall mean the “Security Standards”, 45 CFR Parts 160, 162, and 164.
B. Permitted Uses and Disclosures: CONTRACTOR may use and/or disclose PHI received by it pursuant to
the Agreement and this Exhibit solely for the purpose of performing its obligations under the Agreement and
this Exhibit or as otherwise required by law. CONTRACTOR may disclose PHI to, and permit the use of PHI
by, its employees, contractors, agents, or other representatives only to the extent directly related to and
necessary for the performance of the Agreement and this Exhibit. CONTRACTOR shall not use or disclose
PHI in any manner that would constitute a violation of HIPAA and the HIPAA regulations if so used by
CITY.
C. Use and Disclosure for Contractor's Purposes and Data Aggregation: CONTRACTOR may, if necessary,
use and disclose PHI for the proper management and administration of CONTRACTOR's business or to
carry out CONTRACTOR's legal responsibilities. CONTRACTOR may also use PHI to provide data
aggregation services to CITY as permitted by 45 CFR Section 164.504(e)(2)(i)(B).
D. De--‐Identification: Notwithstanding anything herein to the contrary, CONTRACTOR may store, analyze,
access and use components of PHI that have been "de--‐identified" and that do not contain individually
identifiable health information, provided that any such use is consistent with applicable laws and regulations.
E. Appropriate Safeguards: Prior to receipt of PHI in connection with the Agreement and Exhibit,
CONTRACTOR shall implement and maintain appropriate security safeguards to ensure that PHI is not
used or disclosed by CONTRACTOR in violation of this Exhibit or applicable laws and regulations. Security
measures maintained by CONTRACTOR shall include such appropriate administrative, technical and
physical safeguards as are necessary to protect such PHI. Such safeguards shall be designed to protect the
confidentiality and integrity of such PHI obtained, accessed or created from or on behalf of CITY. Upon
request by CITY, CONTRACTOR shall provide a written description of such safeguards.
F. Reporting Unauthorized Uses and Disclosures: As required by 45 CFR Section 164.308(a)(2), the
designated HIPAA Security Officer of CONTRACTOR shall notify CITY in writing within five (5) working
days of its discovery of any use or disclosure of PHI not permitted by the Agreement or this Exhibit of which
CONTRACTOR or its officers, employees or agents become aware. Such notice shall include the name of
each individual, with address or other identifiers where known, whose unsecured protected health
information (PHI) has been, or is reasonably believed by the CONTRACTOR to have been, accessed,
acquired, or disclosed during such unauthorized use or disclosure.
Any unauthorized use or disclosure shall be treated as discovered by the CONTRACTOR on the first day on
which such access, acquisition or disclosure is known to the CONTRACTOR, including any person, other
than the individual committing the unauthorized use or disclosure, that is an employee, officer or other agent
of the CONTRACTOR, or who should reasonably have known such unauthorized activities had occurred.
CONTRACTOR shall promptly identify, respond to and report to CITY any suspected or known "security
incident" of which it becomes aware. Such term is defined in the HIPAA Security Rule, 45 CFR Section
164.304: “the attempted or successful unauthorized access, use, disclosure, modification, or destruction of
information or interference with system operations in an information system.” CONTRACTOR’s incident
report shall identify the date of the security incident, the scope of the security incident, the CONTRACTOR's
response to the security incident and the identification of the party responsible for causing the security
incident, if known.
RFP ERP-001 – Appendix E
HIPAA Business Associate Exhibit
June 2, 2014
Page 4 of 6
G. Mitigating the Effect of Unauthorized Uses and Disclosures: CONTRACTOR shall take prompt corrective
action to mitigate to the greatest extent possible, any harmful effects arising from any improper use and/or
disclosure of PHI and shall take such other action pertaining to such unauthorized use or disclosure as may
be required by applicable federal and state laws and regulations.
Mitigation shall include CONTRACTOR notification to each individual whose unsecured protected health
information (PHI or EPHI) has been, or is reasonably believed by the CONTRACTOR to have been,
accessed, acquired, or disclosed during such unauthorized use or disclosure. The standard for such
notification shall comply with all notification requirements as specified in 45 CFR Subpart D.
Upon completion of such notification, the designated HIPAA Security Officer of CONTRACTOR shall
provide the CITY Compliance Officer a report including the following: method(s) of communication used, as
specified in 45 CFR Subpart D; date such notification was made; number of individuals notified; and a copy
of the content of the notification.
H. Individual Rights: CONTRACTOR shall comply with the following individual rights requirements as
applicable to PHI obtained, used or maintained by CONTRACTOR:
1. Right of Access. CONTRACTOR shall provide access to PHI, at the request of CITY and in the
time and manner designated by CITY, to CITY or, as directed, to an individual in order to meet the
requirements under 45 CFR Section 164.524.
2. Right of Addendum. CONTRACTOR shall make any Addendum to PHI that CITY directs or agrees
to pursuant to 45 CFR Section 164.526 at the request of CITY or an individual, and in the time and
manner designated by CITY.
3. Documenting of Disclosures. CONTRACTOR shall document such disclosures of PHI as would be
required for CITY to respond to a request by an Individual for an accounting of disclosures of PHI
in accordance with 45 CFR Section 164.528.
4. Right to Accounting of Disclosures. CONTRACTOR agrees to provide CITY or an individual, in the
time and manner designated by CITY, such information collected in order to permit CITY to
respond to a request by an individual for an accounting of disclosures of PHI in accordance with 45
CFR Section 164.528.
I. CITY Obligations:
1. CITY shall notify CONTRACTOR of any limitation in its notice of privacy practices in accordance
with 45 CFR Section 164.520 to the extent that such limitation may affect CONTRACTOR's use or
disclosure of PHI.
2. CITY shall notify CONTRACTOR of any changes in, or revocation of, permission by an individual to
use or disclose PHI, to the extent that such changes may affect CONTRACTOR's use or disclosure
of PHI.
3. CITY shall notify CONTRACTOR of any restriction to the use or disclosure of PHI that CITY has
agreed to in accordance with 45 CFR Section 164.522, to the extent that such restriction may
affect CONTRACTOR's use or disclosure of PHI.
J. Contractor's Agents: CONTRACTOR shall require that any agent, subcontractor or other representative that
is authorized to receive, use or have access to PHI obtained or created under the Agreement or this Exhibit
shall agree in writing to adhere to the same restrictions, conditions and requirements regarding the use
and/or disclosure of PHI and safeguarding of PHI that apply to CONTRACTOR under this Agreement and
RFP ERP-001 – Appendix E
HIPAA Business Associate Exhibit
June 2, 2014
Page 5 of 6
Exhibit. CONTRACTOR shall implement and maintain sanctions against any agent, subcontractor or other
representative that violates such restrictions, conditions or requirements and shall mitigate the effects of any
such violation. Such agreement shall identify CITY as a third--‐part beneficiary with rights of enforcement in
the event of any violations by CONTRACTOR's agents, subcontractors or other representatives.
Additionally, the agent, subcontractor or other representative shall be required to notify CONTRACTOR of
any instances of which it is aware in which the confidentiality of PHI has been breached.
K. Regulatory Compliance: CONTRACTOR shall make its internal practices, books and records relating to the
use and disclosure of PHI received from CITY, or created or received by CONTRACTOR on behalf of
CITY, available to any state or federal agency, including the U.S. Department of Health and Human
Services, for purposes of determining compliance with the HIPAA Regulations.
L. Inspection of Records: Within ten (10) calendar days of a written request, CONTRACTOR shall make
available to CITY for inspection during normal business hours at CONTRACTOR's place of business all
records, books, agreements, data, systems, policies and procedures relating to the use and/or disclosure of
PHI received from, or created or received by CONTRACTOR on behalf of CITY, for purposes of enabling
CITY to determine CONTRACTOR's compliance with the terms of this Exhibit. In the event that protected
health information (PHI) has been, or is reasonably believed by the CONTRACTOR to have been,
accessed, acquired, or disclosed, pursuant to (G) of this Exhibit, this advance notice by CITY may be
waived.
M. Audit, Inspection and Enforcement By CITY: With reasonable notice, CITY and its authorized agents or
contractors may audit and/or examine CONTRACTOR's facilities, systems, policies and procedures, data
and records as may be necessary to determine compliance with the terms of this Exhibit. CONTRACTOR
shall promptly correct any violation of this Exhibit found by CITY and shall certify in writing that the
correction has been made. CITY's failure to detect any unsatisfactory practice does not constitute
acceptance of the practice or a waiver of CITY's enforcement rights under this Agreement and Exhibit.
N. Compliance With Law: CONTRACTOR shall comply with all applicable federal and state laws and
regulations, including, if applicable under the terms and requirements of the Agreement and this Exhibit, the
HIPAA Standards for Electronic Transactions, 45 CFR Parts 160 and 162.
O. Interpretation: Any ambiguity in this Exhibit shall be resolved in favor of a meaning that permits CITY to
comply with HIPAA and its implementing regulations.
P. Amendment: The parties agree to amend this Exhibit from time to time as necessary for CITY to comply
with the requirements of HIPAA and its implementation.
Q. Term and Termination:
1. The terms of this Exhibit shall remain in effect for the duration of all services provided by
CONTRACTOR and for so long as CONTRACTOR shall remain in possession of any PHI received
from, or created or received by CONTRACTOR on behalf of CITY, unless CITY has agreed in
accordance with this section that it is not feasible to return or destroy all PHI.
2. Upon termination of the Agreement and this Exhibit, CONTRACTOR shall recover any PHI relating
to the Agreement and this Exhibit in the possession of its subcontractors, agents or
representatives. CONTRACTOR shall return to CITY, or destroy with consent of CITY, all such
PHI plus all other PHI relating to the Agreement and this Exhibit in its possession and shall retain
no copies. If CONTRACTOR believes that it is not feasible to return or destroy the PHI as
described above, CONTRACTOR shall so notify CITY in writing. The notification shall include: i) a
statement that CONTRACTOR has determined that it is not feasible to return or destroy the PHI in
RFP ERP-001 – Appendix E
HIPAA Business Associate Exhibit
June 2, 2014
Page 6 of 6
its possession, and ii) the specific reasons for such determination. If CITY agrees in its sole
discretion that CONTRACTOR cannot feasibly return or destroy the PHI, CONTRACTOR shall
ensure that any and all protections, requirements and restrictions contained in this Agreement and
Exhibit shall be extended to any PHI retained after the termination of the Agreement and the
Exhibit, and that any further uses and/or disclosures will be limited to the purposes that make the
return or destruction of the PHI infeasible.
R. Insurance: In addition to any insurance requirements in the Agreement, CONTRACTOR shall maintain
insurance, in such amounts as the CITY Risk Manager may deem necessary, to cover loss of PHI data and
claims based upon alleged violations of privacy rights through improper use or disclosure of PHI. All such
policies shall meet or exceed any minimum insurance requirements of the Agreement.
Accept: _______
Accept With Exceptions:_______
Signature: ___________________________________ Date: ____________________________________
Printed Name: _______________________________
Position Title: _____________________________
CITY OF CARMEL-BY-THE-SEA
ADMINISTRATIVE SERVICES DEPARTMENT
RFP #ERP-001
FINANCE, PAYROLL, HUMAN RESOURCE SYSTEM
<PROPOSER NAME>
APPENDIX F – VENDOR CONTACT INFORMATION
APPENDIX F
VENDOR CONTACT INFORMATION
RFP# ERP-001
Please provide the following contact information:
Company Name and Address:
Contact Person Name:
Contact Person Title
Contact Telephone Number:
Contact Fax Number:
Contact Email Address:
CITY OF CARMEL-BY-THE-SEA
ADMINISTRATIVE SERVICES DEPARTMENT
RFP #ERP-001
FINANCE, PAYROLL, HUMAN RESOURCE SYSTEM
<PROPOSER NAME>
APPENDIX G – VENDOR HOSTING FORM
Vendor Hosting Form
1. Will your company host the solution or will this be managed by a third party?
2. Where are the data center and storage facilities?
3. Please provide the total number of clients and corresponding number of end-users of hosted solutions
currently supported by your proposed solution.
4. Is there any software that needs to be loaded onto local computers.
5. Does the system interface support a browser interface with or without the help of additional components?
6. How are hosted software applications deployed for use by numerous customers (dedicated servers for each
hosted customer, or is a single set of applications utilized for all customers)?
7. For database solutions is data kept in separate tables? How would Carmel’s data be isolated from otjher
clients?
8. What system/application availability and response time will your proposed system meet? What are the
City’s responsibilities to ensure this level of performance?
9. What is your data breach policy? Do you have data breach insurance?
10. How do you track monthly usage for subscription-based services? Are audit trails available and online for
customer review?
11. How much notification will you give the City in advance of any scheduled downtime?
12. Where would local support be located?
13. Are support calls included in annual maintenance fees, or charged on a per call basis? If on a per-call
basis, please specify rates and billing method. Please provide recent audit report information.
14. Please describe the minimum commitment term (in years) for a vendor-hosted option and note the term
assumed for determining the proposed costs.
CITY OF CARMEL-BY-THE-SEA
ADMINISTRATIVE SERVICES DEPARTMENT
RFP #ERP-001
FINANCE, PAYROLL, HUMAN RESOURCE SYSTEM
<PROPOSER NAME>
APPENDIX H – CUSTOMER REFERENCES
RFP ERP-001 – Appendix H
Customer References
June 2, 2014
Appendix H – Customer References
Client Name:
Project Name:
Client Contact: Name and Title
Organization
Address
Phone Number
Email Address
Contract Dates: From - To
Contract Value:
Project Scope and
Tasks:
Hardware,
Software. COTS,
Other Technology
Installed /
Integrated:
Project Outcome:
CITY OF CARMEL-BY-THE-SEA
ADMINISTRATIVE SERVICES DEPARTMENT
RFP #ERP-001
FINANCE, PAYROLL, HUMAN RESOURCE SYSTEM
<PROPOSER NAME>
APPENDIX I – RISK ASSESSMENT QUESTIONNAIRE
RFP ERP-001 – Appendix I
Risk Assessment Questionnaire
June 2, 2014
Page 2 of 4
APPENDIX I - Risk Assessment Questionnaire
1. List the full names of any partners, owners, officers or other persons occupying a position of authority or responsibility
in your organization.
2. Please provide a financial reference from your bank.
3. Please provide complete copies of your most recent independently audited accounts and annual reports for the last
three (3) years. If you are not able to provide this information, please provide details.
4. Please identify any significant changes in the financial position/condition of your business/company/organization
since the last independent audit.
5. Does your business/company/organization have a DUNS Number? If so, please provide that number.
6. Please provide a summary of your business/company/organization’s insurance coverage and any material
exposures.
7. Attach a list of similar projects you/your business/company/organization has in progress showing project name,
location, contract amount, percent complete and contact person.
8. What is the estimated total value of your business/company/organizations’ uncompleted work on all outstanding
contracts?
9. Have any of the people in item #1 been subject to bankruptcy, insolvency or receivership proceedings?
a. Yes ___ No___ If yes, please enclose details.
10. Has your business/company/organization filed for bankruptcy within the last five (5) years?
a. Yes ___ No___ If yes, please enclose details.
11. Has your business/company/organization ever had a contract for the general type of services/product sought by the
City terminated for non‐compliance or inadequate performance?
a. Yes ___ No___ If yes, please enclose details.
12. Has your business/company/organization ever defaulted on a contract for the general type of services/product being
sought by the City?
a. Yes ___ No___ If yes, please enclose details.
13. Has there been, in the last five (5) years, or is there now pending or threatened, any litigation, arbitration,
governmental proceeding or regulatory proceeding involving claims in excess of $100,000 with respect to the
performance of any services or the provision of any product by your business/company/organization?
a. Yes ___ No___ If yes, please enclose details.
RFP ERP-001 – Appendix I
Risk Assessment Questionnaire
June 2, 2014
Page 3 of 4
14. Has any litigation been settled or otherwise resolved involving your business/company/organization’s performance
under a contract for the general type of services/product being sought by the City?
a. Yes ___ No___ If yes, please enclose details.
15. Has your business/company/organization fulfilled all of its obligations relating to the payment of social security
contributions, payment of taxes, etc.
a. Yes ___ No___ If yes, please enclose details.
16. Has the Internal Revenue Service or similar state agency conducted an investigation regarding your
business/company/organization within the last five (5) years?
a. Yes ___ No___ If yes, please enclose details.
17. In the last five (5) years, has your business/company/organization, been or currently involved in any of the following:
a. Any action, audit or investigation brought by any federal government agency or authority or by any state or
local governmental agency?
i. Yes ___ No___ If yes, please enclose details.
b. Any criminal proceeding, excluding traffic violations and other minor offenses?
i. Yes ___ No___ If yes, please enclose details.
18. In the last five (5) years, has your business/company/organization been debarred or suspended for any reason by any
federal, state or local government or has refrained from bidding on a project due to an agreement with such
governmental agency?
a. Yes ___ No___ If yes, please enclose details.
19. In the past five (5) years, has your business/company/organization had its surety called upon to complete any
contract, whether government or private sector?
a. Yes ___ No___ If yes, please enclose details.
20. In the past five (5) years, has your business/company/organization had a revocation, suspension or disbarment of any
business or professional permit and/or license?
a. Yes ___ No___ If yes, please enclose details.
21. Within the past five (5) years, has your business/company/organization been subject to a denial or revocation of a
government prequalification?
a. Yes ___ No___ If yes, please enclose details.
22. Within the past five (5) years, has your business/company/organization received an unsatisfactory performance
assessment(s) from a government entity on a contract?
RFP ERP-001 – Appendix I
Risk Assessment Questionnaire
June 2, 2014
Page 4 of 4
a. Yes ___ No___ If yes, please enclose details.
23. Have you/your business/company/organization ever failed to complete any work awarded?
a. Yes ___ No___ If yes, please enclose details.
24. Has your firm or any of its owners, officers or partners ever been convicted of a federal or state crime of fraud, theft, or
any other act of dishonesty?
a. Yes ___ No___ If yes, please identify on a separate signed page the person or persons
convicted, the court (the county if a state court, the district or location of the federal court), the year and the
criminal conduct.
Signature
THE UNDERSIGNED HEREBY CERTIFIES THAT THE RESPONSES PROVIDED ARE CORRECT AND TRUTHFUL TO
THE BEST OF MY KNOWLEDGE AND FOR THOSE RESPONSES GIVEN WHICH ARE BASED ON INFORMATION
AND BELIEF, THOSE RESPONSES ARE TRUE AND CORRECT BASED ON MY PRESENT BELIEF AND
INFORMATION.
Dated this ______ day of ____ _________ of the year _____
Name of organization: ___ _______________________
Signature: _____ _____________________________________
Printed Name and title: ___ ________
CITY OF CARMEL-BY-THE-SEA
ADMINISTRATIVE SERVICES DEPARTMENT
RFP #ERP-001
FINANCE, PAYROLL, HUMAN RESOURCE SYSTEM
<PROPOSER NAME>
APPENDIX J – PROPOSED KEY PERSONNEL
RFP ERP-001 – Appendix J
Proposed Key Personnel
June 2, 2014
Page 2 of 4
The Proposer shall specify the names and provide detailed resumes of all proposed Contractor Key
Personnel, including references for all work performed by each of the staff used to meet the Key
Personnel Desired and Ideal Requirements. In addition, experience referenced for the proposed
Contractor Key Personnel must be for projects within the last five (5) years. The Proposer must fill out the
tables below and insert detailed resumes, in a consistent format, in this Appendix.
Table 1: Proposed Contractor Personnel
Name Position Title
Key Position as
Specified in RFP
Table 2: Contractor Project Manager Qualifications
Contractor Project Manager Experience Desired Ideal
Proposed Candidate
Years
Actual Relevant Experience –
scope of the project and role
Worked as the Contractor Project Manager on
comparable projects
5 Years 10
Years
Experience directing and overseeing all phases of
Finance, Payroll and Human Resource systems
including, but not limited to, projects involving
developing multiple business views, integration with
third party software (i.e. e-mail, calendaring,
document management, etc.), interfacing with other
systems and databases and training, customer
service
5 Years 8 Years
Experience managing projects similar or larger in
scope to the project identified in RFP ERP-001
3 Years 5 Years
Experience managing a team greater than five (5)
people
3 Years 5 Years
Education: Graduation from an accredited
college/university
Bachelors Masters
Project experience, in the PM role for city, county or
state government systems
3 years 5 Years
Project Management Institute (PMI) Project
Management Professional (PMP) Certification
Yes Yes
RFP ERP-001 – Appendix J
Proposed Key Personnel
June 2, 2014
Page 3 of 4
Table 3: Senior Architect (Technical Lead) Qualifications
Senior Architect (Technical Lead) Experience Desired Ideal
Proposed Candidate
Years
Actual Relevant Experience –
scope of the project and role
Experience in the role of Senior Architect (Technical
Lead) as defined above
3 Years 5 Years
Senior Architect experience, defined as performing
tasks defined in the Project Management Body of
Knowledge, for projects similar or larger in scope to
the project identified in RFP ERP-001
2 Years 3 Years
Worked as the Senior Architect in the design and
development of comparable projects deployed to
production for end users, which are equal or greater
than listed in the scope to the project identified in RFP
ERP-001.
2 Years 3 Years
Configuration design experience with the hardware
defined by the Contractor
2 Years 5 Years
Implementation and tuning experience with the
solution proposed by the Contractor
2 Years 5 Years
Database design experience with the solution
proposed by the Contractor
2 Years 5 Years
Customization and configuration experience with the
solution proposed by the Contractor
2 Years 5 Years
Experience in implementing the solution proposed by
the Contractor across a Wide Area Network (WAN) to
multiple remote locations
2 Years 5 Years
Project experience, in the Senior Technical Architect
role for city, county or state government systems
3 Years 5 Years
Table 4: System Development Manager Qualifications
System Development Manager Experience Minimum Desired
Proposed Candidate
Years
Actual Relevant Experience –
scope of the project and role
Experience in the role of System Development
Manager as defined above
3 Years 5 Years
Worked as the System Development Manager in the
design and development of comparable projects
deployed to production for end users, which are equal
or greater than listed in the scope to the project
identified in RFP ERP-001.
2 Years 3 Years
RFP ERP-001 – Appendix J
Proposed Key Personnel
June 2, 2014
Page 4 of 4
System Development Manager Experience Minimum Desired
Proposed Candidate
Years
Actual Relevant Experience –
scope of the project and role
Experience leading development teams of a system
integration project
2 Years 5 Years
Implementation and tuning experience with the
Solution proposed by the Contractor
2 Years 5 Years
Customization and configuration experience with the
solution proposed by the Contractor
2 Years 5 Years
Project experience, in the System Development
Manager role for city, county or state government
systems
3 Years 5 Years
Insert Detailed Resumes Here
CITY OF CARMEL-BY-THE-SEA
ADMINISTRATIVE SERVICES DEPARTMENT
RFP #ERP-001
FINANCE, PAYROLL, HUMAN RESOURCE SYSTEM
<PROPOSER NAME>
APPENDIX K – RESPONSE TO RFP# ERP-001
The vendor shall include all required RFP submittals as outlined in Section 4
CITY OF CARMEL-BY-THE-SEA
ADMINISTRATIVE SERVICES DEPARTMENT
FINANCE, PAYROLL, HUMAN RESOURCE SYSTEM
<PROPOSER NAME>
RFP# ERP-001
APPENDIX L – RFP REQUIREMENTS COMPLIANCE MATRIX
RFP ERP-0016 – Appendix L
RFP Requirements Compliance Matrix
June 2, 2014
APPENDIX L – RFP REQUIREMENTS COMPLIANCE MATRIX
The RFP Requirements Compliance Matrix (Appendix U) must be completed to provide
the City a cross reference showing how the proposer’s submittal corresponds to the
requirements in the RFP and in what section and page the information can be found.
RFP Requirements Compliance Matrix
RFP Section Identifier Vendor Response Section Title
Vendor Response
Begins on Page
4.3.2 Cover Letter
4.3.3 Executive Summary
4.3.4 Overall Solution Approach (Also 5.1.3
4.3.5 Functional Requirement s Response (Also
5.3.1 and the RTM)
4.3.6 Technical Requirements Response (Also
5.3.2 and the RTM)
4.3.7 Management Requirements Response
(Also 5.5.3 and the RTM)
4.3.8 Project Management
4.3.9 Knowledge Transfer and Training (Also
5.2.14)
4.3.10 System Design and Development
4.3.11 Data Conversion
4.3.12 Testing
4.3.13 Implementation
4.3.14 Security
4.3.15 Risk Management
4.3.16 Quality Management
4.3.17 Production Support
4.3.18 Maintenance and Support
4.3.19 Deliverable and Acceptance Process
Response
CITY OF CARMEL-BY-THE-SEA
ADMINISTRATIVE SERVICES DEPARTMENT
RFP #ERP-001
FINANCE, PAYROLL, HUMAN RESOURCE SYSTEM
<PROPOSER NAME>
APPENDIX M – RECOMMENDED HARDWARE AND SOFTWARE
RFP ERP-001 – Appendix M
Recommended Hardware and Software
J une 2, 2014
Page 2 of 2
APPENDIX V – RECOMMENDED HARDWARE AND SOFTWARE
Please provide a detailed explanation of the recommended hardware and software configuration to best
meet the performance requirements set forth Section 5.3 - Functional, Technical and Management
Requirements, and Appendix P – Requirements Traceability Matrix. This is to include product, brand,
version and, as appropriate, release number.
The tables below are a guide. Please provide any diagrams and additional information you believe will help
the City understand your recommendations.
Hardware
Table 1: Hardware
Element Element Description
Details (include Make, Model,
Configuration)
Software
Table 2: Software
Element Element Description
Details (Include Product, Version,
Release, etc.)
CITY OF CARMEL-BY-THE-SEA
ADMINISTRATIVE SERVICES DEPARTMENT
RFP #ERP-001
FINANCE, PAYROLL, HUMAN RESOURCE SYSTEM
<PROPOSER NAME>
APPENDIX N – SUMMARY OF PROJECT DELIVERABLES
RFP ERP-001 – Appendix N
Summary of Project Deliverables
June 2, 2014
APPENDIX R - SUMMARY OF PROJECT DELIVERABLES
This section of the RFP is dedicated to defining the requirements for deliverables used to manage the
project including: the deliverable name, and a column for bidders to indicate whether or not they agree to
provide the deliverable. If conflicts exist between the information in this table and the RFP requirements,
the RFP requirements shall take precedence.
Deliverable DED Required Proposer Agrees
Project Management Plan and Project Schedule
Project Management Plan (including Quality and Risk Management
approach)
Yes
Project Schedule
Bi-Weekly Progress Reports
Knowledge Transfer and Training
Knowledge Transfer and Training Plan Yes
Training Documentation Yes
Training Delivery
System Design, Development and Configuration
Design and Development Plan and Associated Design /
Requirement Documents
Yes
Requirements Traceability Matrix
Data Conversion
Data Conversion Plan Yes
Testing
Test Plan Yes
Test Scripts
Test Results
Defect Tracking Tool
Implementation
Implementation Plan (including: Interface Management / Design
Description, Pre-Production Release Documents)
Yes
Disaster / Operational Recovery Plan Yes
Security
System Security Plan
Production Support
Production Support Plan Yes
System Operation Manual Yes
System Acceptance Document
Req ID Category Sub Category Requirement Description
Yes No Proposer Note
Project Management
PR-1 Project
Management
The Contractor shall develop a Project Management Plan (PMP) aligning to industry best practices,
specifically, specifically the Project Management Institute (PMI), Project Management Body of Knowledge
(PMBOK). The scope of the PMP shall also incorporate the following component processes:
• Project Schedule Management, Communications Management, Risk Management, Quality Management,
Scope Change Management, System Development and Implementation methodology, Requirements
Traceability Management, Test Methodology, Training Methodology, and Configuration Management
The City acknowledges that some portions of the PMP may require a standalone plan.
The proposer must submit a draft PMP with their proposal response
PR-2 Project
Management
The Contractor shall describe the requirements management approach in the Project Management Plan (PMP).
The Requirements Management approach will be used by the project to assure that requirements are met. The
Requirements Management approach shall, at a minimum, address the following areas:
• Establishment of a baseline for existing requirements.
PR-3 Project
Management
The Contractor shall descrbie a Risk Management approach in the Project Management Plan (PMP) to describe
the approach they will use to ensure that risks/issues are reported, tracked and resolved, to the following
items:
• The practices and procedures that will be followed for reporting, tracking, and resolving problems or issues
identified in software development, system transition, and system maintenance.
The proposer must submit a sample Risk Management Plan with their proposal response
PR-4 Project
Management
The Contractor shall ensure the quality of the work as it pertains, at a minimum, to the following items:
• The city’s management of the requirements. This includes the identification of inconsistencies between the
requirements, and the project's plans and work products.
• The city’s requirements traceability matrix that will be used for requirements management, and will map
where in the software a given requirement is implemented.
• The city’s configuration management activities that include: baseline control, and monitoring the software
library. Approved changes to baseline software and/or documentation should be made properly and
consistently in all products, and no unauthorized changes are to be made.
• The quality of work products developed and delivered by Contractor’s sub-contractors/partners, if applicable.
PR-5 Project
Management
The Contractor shall develop a Project Schedule that conforms with PMBOK®. The Project Scheudle shall be
established for the entire project and as the project progresses, the plan shall be refined and updated.
PR-6 Project
Management
The Contractor must provide project management documents (e.g., Project Management Plan, Project
Schedule, Work Breakdown Structure, etc.) using Microsoft 2010 software products.
Response Definitions:
YES - Meets the requirement
NO - Does not meet the requirement
This document lists each MANAGEMENT requirement in the form of a short statement. A response must be selected for each requirement. A Proposer Note is required for any item
checked "No". Please include as much information as possible for these items and any others you believe merit an explanation. Be certain to expand the Description cell to ensure
you understand the full requirement.
PR-7 Project
Management
The Contractor shall advise the City and Contractor management of progress in meeting goals and schedules
contained in the work plans. This shall be initiated one week after contract effective date and applied Bi-
weekly thereafter, and shall consist of the following:
• Bi-Weekly progress meetings attended by the Contractor and the city. These may include walkthroughs of
selected deliverables as requested by the city staff.
• Bi- Weekly written progress reports, provided by the Contractor to the City one working day before each
weekly meeting, and containing items to be discussed at the meeting, including:
o Progress of each task/activity.
o Updated project schedule.
o Action items and decisions from the previous meeting.
o Risks/issues identified, problems encountered, proposed resolutions, and projected completion dates for
problem resolution
o Planned activities for the next two reporting periods.
o Status of contractually defined deliverables, milestones, and walkthroughs scheduled in the project schedule.
o Other information as needed (per Contractor or the City).
PR-8 Project
Management
The Contractor must provide contract close-out plans and manage project close-out activities in accordance
with the plan.
Knowledge Transfer & Training
KT-1 Knowledge
Transfer &
Training
The Contractor shall develop (in cooperation with the City) a Knowledge Transfer and Training Plan to describe
the approach for bringing managers, end users, and technical personnel to a familiar level of understanding
with how the solution works and how it differs from the system being replaced. The Plan shall address the
following topics:
• Training will be provided as early as possible in the project to allow the training goals to be implemented
throughout the project life cycle.
• The Contractor shall provide the resources necessary to complete the training effort along with the tools and
documentation that will be necessary to support proposed effort.
• The Contractor will create specific courses and provide course materials, and conduct course for both
technical personnel and end users.
• The Contractor will provide a Knowledge Transfer to enable City personnel to operate, maintain, configure
the new systems, including operation of the testing tools, supporting infrastructure, and security.
• The Contractor will provide a report about the progress of training activities.
The proposer must submit a sample knowledge transfer and training plan with their proposal response.
KT-2 Knowledge
Transfer &
Training
The Contractor shall provide the City a training course outline for review and acceptance at least fourteen (14)
calendar days prior to the scheduled training.
KT-3 Knowledge
Transfer &
Training
The Contractor shall submit all training packages to the city for review and acceptance at least ten (10)
calendar days prior to the scheduled training.
KT-4 Knowledge
Transfer &
Training
The Contractor shall provide training manuals for all classroom training they provide.
KT-5 Knowledge
Transfer &
Training
The Contractor shall provide all training materials developed for the solution to the City. Those materials shall
become the property of the City and may be modified and duplicated by the City.
KT-6 Knowledge
Transfer &
Training
The Contractor shall identify the number of staff necessary for maintenance and operations (M&O) activities of
the solution as well as the skill sets necessary.
KT-7 Knowledge
Transfer &
Training
The Contractor shall develop and provide training for City Technical Team to include, as a minimum, the
following types of staff (number to be identified by the Contractor):
• City Help Desk team that will assist internal end users with technical support for the solution.
• City technical team on the support and administration of the business rules technology.
The training shall include, at minimum, the following topics:
• System Interfaces.
• Database design and maintenance. A Data Dictionary must be provided.
• System procedures.
• Report generation.
• System administration and maintenance.
• The setup, configuration, and administration of all computing environments developed by the Contractor.
KT-8 Knowledge
Transfer &
Training
For the duration of the contract, the Contractor shall continue to provide documentation and support if
necessary to the City technical team if system upgrades have been installed and there is a change in system
functionality.
System Design, Development and Customization
SD-1 System Design,
Development
and
Customization
The Contractor must use a structured SDLC process, including an iterative software development methodology
and incremental deployment of functionality to the production environment. This approach allows both the
Contractor and the City more frequent feedback as to the progress of the Project with more opportunities to
make corrections in interpretation and will result in a better understanding of the challenges of the Project at
an earlier date.
SD-2 System Design,
Development
and
Customization
The Contractor shall describe the design and development approach and methodology used for the solution.
The proposer must submit a narrative describing the design and development approach and methodology with
their proposal response
SD-3 System Design,
Development
and
Customization
The Contractor shall incorporate the design and development approach into a comprehensive Design and
Development Plan.
The proposer must submit a sample Design and Development Plan with their proposal response
SD-4 System Design,
Development
and
Customization
The Contractor shall follow industry standards for all development work, including database naming and usage.
SD-5 System Design,
Development
and
Customization
The Contractor shall provide the City access to the software components and documentation.
SD-6 System Design,
Development
and
Customization
The Contractor shall deliver to the City, a Requirements Traceability Matrix for all delivered functionality,
showing all testing activities tracing to delivered functionality, and all delivered functionality tracing to
requirements in the requirements repository.
Admin Data Conversion
AD-1 Admin Data
Conversion
The Contractor shall provide a comprehensive Data Conversion Plan that will describe how the Contractor will
manage the process of converting (as required) data from the legacy systems for use in the system. The Data
Conversion Plan shall address, at a minimum:
• A description of all data sources and data targets.
• A description of field mappings, tools, data validation and cleansing methods/algorithms, and any other
software programs that will be used or will need to be written to support data conversion. A description of how
converted data will be validated to be correct before use.
• A description of the approach to converting legacy data to required formats.
• A description of how data anomalies and errors will be handled.
• A schedule of deliverables and resources needed to complete the conversion effort.
• How converted data will be delivered as required to support each phase of the solution delivered to the test
and production environments.
• Description of how the data reconciliation process will work.
The proposer must submit a sample Data Conversion Plan with their proposal response
AD-2 Admin Data
Conversion
The Contractor shall configure any required data conversion tools, software and hardware.
AD-3 Admin Data
Conversion
The Contractor will be responsible for converting all data required from the legacy environment to the new
solution. While the Contractor will provide the tools and methodology for converting the legacy data, the City
will provide resources to assist the Contractor in understanding the legacy data, assistance in data extracts and
data loads, and assisting the Contractor in resolving problems related to the data conversion efforts.
Admin Testing
AT-1 Admin Testing The Contractor shall provide a comprehensive Test Plan complying with IEEE Std. 829-1998 Standard for
Software Test Documentation. The Test Plan shall include the procedures for documenting the completion of
each test phase, test scripts, test conditions, test cases, and test reports.
The proposer must submit a sample Test Plan with their proposal response
AT-2 Admin Testing Testing and Development shall have their own environments, separate from Production. Testing or
development shall not be performed in the production environment.
AT-3 Admin Testing The Contractor shall deliver Test Scripts and Test Results for all testing completed for the solution.
AT-4 Admin Testing The Contractor shall use a single Defect Tracking tool that the Contractor and the City shall use collaboratively
for the tracking of system defects. The Defect Tracking tool must, at a minimum, include:
• All defects in the solution identified during any testing phase or in production must be recorded, prioritized,
tracked, and resolved in a timely manner. Each must be assigned a “Defect Level” based on the following
definitions:
1: Critical - Results in a complete system outage and/or is detrimental to the majority of the development
and/or testing efforts. There is no workaround.
2:Serious - System functionality is degraded with severe adverse impact to the user and there is not an
effective workaround.
3: Moderate -System functionality is degraded with a moderate adverse impact to the user but there is an
effective workaround.
4: Minor - No immediate adverse impact to the user.
• The Contractor shall allow the City full access to the Defect Tracking tool.
• The processes and management of the Defect Tracking tool shall be addressed as part of the Contractor
Quality Management Plan in the PMP.
• The Contractor shall comply with the “Defect Level” approach as described above, including the requirement
that City Project Management shall designate the level of severity to all defects.
Implementation
IP-1 Implementation The Contractor shall provide a comprehensive Implementation Plan. The Implementation Plan shall:
• Expose technically challenging areas of the project as soon as possible. New external interfaces and data
conversion should, where possible, be deployed early in the Project.
• Include a deployment schedule developed in cooperation with the City that ensures continuous,
uninterrupted support throughout the project.
The proposer must submit a sample Implementation Plan with their proposal response
IP-2 Implementation The Contractor shall provide a Disaster/Operational Recovery Plan that describes how the contractor plans to
prevent and mitigate the risk of IT disasters including:
- Reduce the risk of partial failures
- Minimize risk of complete system failures
- Prevent and mitigate the risk of non-IT disasters on IT resources
IP-3 Implementation The Contractor shall incorporate the interface management approach into the Implementation Plan. The
Interface Management approach will be used by the City to document the plan for integrating the solution with
all systems internal and external to the City. The Interface Management approach shall, at a minimum, address
the following areas:
• The approach to developing and managing internal and external system interfaces.
• Technical tools that will be used for data transformation, transport and error recovery.
• Tasks, deliverables and resources necessary to complete interface development and implementation.
• Description of how the City development and test systems will work with the external interfaces.
• References to applicable sections in the relevant design documents that describe how the solution will be
synchronized with the specific internal and external interfaces.
• References to applicable sections in the detailed design that describe the mappings between internal and
external system data and the solution data.
• Descriptions of the process for managing changes to the interfaces, both in the production and test
environments
The proposer must submit a sample Interface Management Plan with their proposal response
IP-4 Implementation When functionality is ready to be delivered to the City for User Acceptance Testing (UAT), it shall be delivered
in the form of a Pre-Production Release. Since the City will perform UAT and approve all releases into
production, a pre-production release is equivalent to a production release and requires the rigor associated
with a production release. Upon successful completion of UAT, the City will schedule a release to be moved to
the Production environment. Each Pre-Production Release shall include the following:
• Release-specific Hardware and Software solution components.
• An updated Data Conversion Release document.
• Release Description including Architecture or Design updates, new functionality introduced, defects fixed,
modifications to interfaces with other systems, other changes to existing code, and any software and hardware
configuration changes.
• Release Contents including a description of the release structure and contents and instructions for
assembling and/or configuring the components of the release.
• Test Plan and test execution results.
• Detailed hardware and software configuration information including any software and hardware
dependencies and instructions at a level of detail that will enable system administration staff to rebuild and
configure the hardware environment without outside assistance, if necessary.
• Database documentation conforming to industry standards.
• Detailed configuration information for any 3rd party hardware and software.
The Contractor shall provide updated documentation when system upgrades to software or equipment occurs
through the life of the contract.
IP-5 Implementation The Contractor shall validate that each interface to an external system is working correctly. The Contractor will
repair all interface-related problems caused by contractor-developed interfaces.
IP-6 Implementation The Contractor shall assist the City with testing and release preparation in the pre-production environment.
IP-7 Implementation Upon successful completion of the Pre-Production testing, the Contractor shall, in coordination with the city,
create Pre-Production Release Documents that shall consist of an updated Pre-Production Release notification
to assist the city in successfully releasing and maintaining the system in the Production environment. It must
include, but not be limited to, the following components:
• Updated Configuration Information required satisfying the city production configuration management
requirements.
• Updated System Architecture.
• Updated Detailed Design, including detailed system, technical, and user documentation.
• An updated Data Conversion Release document.
• Deployment schedule.
Security
AS-1 Security The Contractor shall provide a System Security Plan that describes the security approach for the system. In
addition, because of the expected interactivity with other entities (i.e., Courts, etc.), a comprehensive plan
must explain how the city will respect and coordinate when necessary with the security constraints of other
entities. The System Security Plan shall address, at a minimum, the following areas:
• General Information about System Environment, Interconnections/Information Sharing, Applicable Laws or
Regulations, Information Sensitivity, Responsible Parties, General System Description
• Security Controls pertaining to Risk Assessment and Management, User Rules or Behavior, Implementation
Phase, Operation and Maintenance Phase
• Operational Controls pertaining to Personnel Security, Physical and Environmental Protection, Input/Output
Controls, Contingency Plans, Maintenance, Integrity, Documentation, Training, Incident Response
• Technical Controls pertaining to User Identification and Authentication, Logical Access Controls, Audit Trails
Production Support
PS-1 Production
Support
The Contractor shall provide a comprehensive Production Support Plan , that will describe how the Contractor
intends to support the System. The Production Support plan shall include a list of personnel, contact
information, and their area of expertise of who shall be performing system production support.
The proposer must submit a sample Production Support plan with their proposal response
PS-2 Production
Support
The Contractor shall, at a minimum, provide routine system upgrades and fixes to Contractor software at no
additional cost. (e.g. State and Federal mandated requirements for processing and reporting)
PS-3 Production
Support
With concurrence from the city, the routine planned maintenance activities shall be scheduled with minimal
disruption of regular operational hours. Contractor shall provide the city with a copy of the schedule at least
fourteen (14) days in advance of the scheduled maintenance date for approval.
PS-4 Production
Support
The Contractor shall develop an automated process for purging production system files when necessary. The
criteria for purging files must be configurable by the City based on the status of the file and the date the status
change occurred.
PS-5 Production
Support
The Contractor must produce a System Operation Manual, which includes comprehensive documentation -
detailed user manuals and online information (e.g. knowledge base, FAQ's, etc.).
PS-6 Production
Support
The Contractor shall abide by the following Severity Level Definitions:
Level 5 - Emergency - The System no longer functions.
• Performance Standard for responding to Deficiency call is 30 minutes.
• Performance Standard for reporting recommended resolution and fix date/time for all System components is
2 hours.
• Performance Standard for correction of Deficiency associated with System component is 24 hours.
Level 4 - Disabled, no Workaround – A business function or System component does not work as required, and
no acceptable workaround is available.
• Performance Standard for responding to Deficiency call is 30 minutes.
• Performance Standard for reporting recommended resolution and fix date/time for all System components is
2 hours.
• Performance Standard for correction of Deficiency associated with System component is 48 hours.
Level 3 - Disabled, Workaround – A business function or System component does not work as required, but a
workaround that is acceptable to County is available.
• Performance Standard for responding to Deficiency call is 30 minutes.
• Performance Standard for reporting recommended resolution and fix date/time for all System components is
2 hours.
• Performance Standard for correction of Deficiency associated with System component is 3 business days.
Level 2 - Minor - Non-critical, but having a negative effect on one or more business functions or System
components.
• Performance Standard for responding to problem call is 30 minutes.
• Performance Standard for reporting recommended resolution and fix date/time for all System components is
4 hours.
• Performance Standard for correction of problem associated with System component is 5 business days.
Level 1 - Cosmetic - Non-critical and non-impacting to one or more business functions or System components.
PS-7 Production
Support
The Contractor will work with the city technical and program staff to fix problems, optimize the system, and
implement changes to the solution. This will include making changes, testing changes, and providing
documentation for changes and test results.
PS-8 Production
Support
There shall be one System Acceptance event for each module within the solution including Human Resources,
Payroll, and Finance. Successful conclusion of system acceptance will mark the beginning of Maintenance and
Operations for that module.
PS-9 Production
Support
Conditions for System Acceptance shall include:
• The resolution of all documented Contractor-responsible deficiencies as stipulated through the approved
defect and issue tracking process.
• The solution successfully performs in the production environment for a period of thirty (30) consecutive
business days without any level 1, 2 or 3 deficiencies.
• Knowledge transfer and training for end users has been provided.
• The successful completion of all other work breakdown structure elements, tasks, and deliverables as
specified in the Contractor project schedule as approved by the city.
PS-10 Production
Support
Once all System Acceptance conditions have been met, the Contractor shall provide to the city for approval, a
System Acceptance document that shall include a final Requirements Traceability Matrix identifying all solution
requirements allocated to current, in-production system components. Sign-off of this document by the city will
constitute System Acceptance and trigger the beginning of Maintenance and Operations.
PS-11 Production
Support
The Contractor must include a System warranty of six (6) months. The Contractor must describe, in response to
this paragraph, the provisions of their warranty(s) including responsibilities for invocation, response,
equipment and software failures, etc.
PS-12 Production
Support
Upon System Acceptance, the solution will enter Maintenance and Operations (M&O). The Contractor shall
provide an M&O Plan and sample contract language for their standard and premium M&O services. The M&O
Plan should address the following areas:
• Support Model.
• Triage Procedures.
• Tools.
• Identification of Roles and Responsibilities of support personnel.
• Release Management.
• Upgrades.
• Maintenance.
• On-going Operations.
• Deliverables.
• System Security.
Deliverable and Acceptance Process Response
DA-1 Deliverable and
Acceptance
Process
Response
The Contractor must include their response agreeing to each Deliverable listed in Appendix R - Summary of
Project Deliverables
Carmel: ERP Functional Requirements
NM - New Module. In planned future release. Proposer Note Required. Please indicate anticipated release date.
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
AP 0
Accounts Payable
AP 1 AP-1 Accounts
Payable
Accounting Provide single invoices to be distributed to multiple accounts,
programs, projects and funds.
AP 2 AP-2 Accounts
Payable
Accounting Provide the ability to project cash requirements to meet future
obligations based upon encumbrances and open purchase orders and
invoices.
AP 3 AP-3 Accounts
Payable
Accounting Reconcile credit card transactions against the bank generated
statement.
AP 4 AP-4 Accounts
Payable
Accounting Provide the ability to print separate checks to single vendor for
multiple invoices.
AP 5 AP-5 Accounts
Payable
Accounting Provide an on-demand Check Register displaying (at a minimum):
Check Number, Check Date, Payee, Account Number Distribution,
P.O. Number, Description, Invoice Amount, Check Amount,
Encumbrances and/or any user-defined fields.
AP 6 AP-6 Accounts
Payable
Administration Provide controls to prevent duplicate invoices numbers to be used by
vendor during data entry.
AP 8 AP-8 Accounts
Payable
Administration Provide controls to prevent entry of invoices that exceed approved
appropriations and encumbrances (budget).
AP 9 AP-9 Accounts
Payable
Administration Automatically release associated encumbrances as invoices are
processed.
AP 10 AP-10 Accounts
Payable
Administration Provide for the ability to enter credit memos or chargebacks against
specific invoices.
AP 11 AP-11 Accounts
Payable
Administration Allocate invoice amount across multiple accounts based on pre-
determined criteria (i.e.) percentages.
AP 12 AP-12 Accounts
Payable
Administration Allow an invoice to be matched against multiple purchase orders.
AP 13 AP-13 Accounts
Payable
Administration Allow the override of an account number at time of invoice data
entry if a different account number was used at time of purchase
order issuance.
AP 14 AP-14 Accounts
Payable
Administration Provide check reconciliation (including void checks and checks not
used).
AP 15 AP-15 Accounts
Payable
Administration Provide vendor history up to at least five fiscal years - reflecting
invoices, pending payments, payments, and balances due. This
vendor inquiry capability must also be available within all modules of
the system including the requisition/purchase order module.
AP 16 AP-16 Accounts
Payable
Administration Provide the ability to void checks, including automatic reversing of
original entry with option to reinstate an invoice and re-issue check.
Provide generation of journal entry to general ledger, update vendor
master file and provide audit trail.
AP 17 AP-17 Accounts
Payable
Administration Provide the ability to allow either detail (line item) or summary
(batch total) posting of A/P transactions to the G/L as defined by
user.
Response Definitions:
This document lists each FUNCTIONAL requirement in the form of a short statement. A response must be selected for each requirement. Be certain to expand the Description cell to ensure you understand the
full requirement. The City understands that not all requirements may be met by the proposed system but responses will provide the City a means by which to compare the relative strengths of vendor
responses.
CD - Will require custom development and/or significant amount of source code modification. Proposer Note Required.
OTS - Off the Shelf. In current release and meets the requirement straight out of the box and/or with minor customization such as user defined set-up parameters.
NI - Not Included. Not in current release or planned future releases. Proposer Note Required.
Updated: 4/7/14 Page 19 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
AP 18 AP-18 Accounts
Payable
Administration Provide automatic updates to the General Ledger, Accounts Payable
subsidiary ledger, Vendor Master history files, etc. for all invoices
processed or voiced and any payments processed or voided.
AP 19 AP-19 Accounts
Payable
Administration System must generate exception report to reconcile differences
between bank statements and general ledger.
AP 20 AP-20 Accounts
Payable
Administration Relieve an account receivable balance at point of entry in the
accounts payable module (i.e. refunding a deposit or bond).
AP 21 AP-21 Accounts
Payable
Administration Provide for manual check entry.
AP 22 AP-22 Accounts
Payable
Administration Allow the ability to automatically process recurring payments.
AP 23 AP-23 Accounts
Payable
Administration Allow partial payment of an invoice.
AP 24 AP-24 Accounts
Payable
Administration Provide the ability to make payments against an invoice to multiple
payees.
AP 25 AP-25 Accounts
Payable
Administration Ability to sort check registers by vendor, by dollar amount, or provide
quarter-to-date, or year-to-date vendor information.
AP 26 AP-26 Accounts
Payable
Administration Provide the ability to identify and redirect payments from vendors
due to garnishments and backup withholding.
AP 27 AP-27 Accounts
Payable
Administration Provide support for printing laser checks with MICR encoding.
AP 28 AP-28 Accounts
Payable
Administration Produce a check stub/remittance advice for each check (payment)
processed that meets the citys requirements.
AP 29 AP-29 Accounts
Payable
Administration Provide full integration with Purchasing module vendor master file.
AP 30 AP-30 Accounts
Payable
Administration Provide search by partial name and/or wildcards.
AP 31 AP-31 Accounts
Payable
Administration Provide search capability within all related modules, including
requisition/purchase order module. (including on-line)
AP 32 AP-32 Accounts
Payable
Administration Provide for the upload of electronic invoices (utility bills, etc.) from a
third party (i.e. EDI).
AP 33 AP-33 Accounts
Payable
Administration Accept cleared check information electronically from bank and
update check reconciliation information accordingly.
AP 34 AP-34 Accounts
Payable
Administration Allow for electronic payments to be made to vendors via ACH, wire
transfers, or EDI.
AP 35 AP-35 Accounts
Payable
Administration Provide for the processing of single check "on demand" processing.
AP 36 AP-36 Accounts
Payable
Administration Allow checks to be processed on multiple checking accounts.
AP 40 AP-40 Accounts
Payable
Data Collection Provide for online concurrent data entry of invoices at multiple
locations.
AP 41 AP-41 Accounts
Payable
Data Collection Provide integration with the Purchasing system to allow for the use of
a single Vendor Master file.
AP 42 AP-42 Accounts
Payable
Data Collection Provide the integration with the Payroll system to allow for automatic
creation of Accounts Payable transactions for various payments (e.g.,
benefit providers, garnishments, and retirement system).
AP 43 AP-43 Accounts
Payable
Data Collection Provide the ability to interface with financial institutions for
transmitting positive pay transactions.
AP 44 AP-44 Accounts
Payable
Maintenance Provide a Payment Selection Register displaying (at a minimum):
Invoice Number, Vendor Name, Invoice Date, and Invoice Total with
primary and secondary sorts definable by the user.
AP 45 AP-45 Accounts
Payable
Maintenance Provide the ability to retain a percentage or flat amount from
payments pending completion of work.
AP 46 AP-46 Accounts
Payable
Maintenance Provide the ability to void checks, including automatic reversing of
original entry with option to reinstate an invoice and re-issue check.
Updated: 4/7/14 Page 20 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
AP 47 AP-47 Accounts
Payable
Maintenance Provide the ability to restrict modification of invoice data entry by
specified users.
AP 48 AP-48 Accounts
Payable
Maintenance Ability to maintain a history by contractor and project.
AP 49 AP-49 Accounts
Payable
Notices Provide controls to prevent entry of invoices (cumulative) to exceed
purchase order (contract) value.
AP 50 AP-50 Accounts
Payable
Reporting Provide the ability to query the vendor master file by multiple
attributes, including Vendor Name, Number, d.b.a., phone number,
tin, or location.
AP 51 AP-51 Accounts
Payable
Reporting Provide for the ability to order/sort queries by date (ascending or
descending), document numbers (ascending or descending), vendor
name, or other attribute categories.
AP 52 AP-52 Accounts
Payable
Reporting Provide the ability to produce a list of all invoices in order of entry
date and batch number for the specified accounting period indicating
the current status of each batch (i.e. posted, pending, suspended,
etc.).
AP 53 AP-53 Accounts
Payable
Reporting Produce an Invoice Entry Proof List displaying (at a minimum):
Vendor Name, Address, Invoice Number, Invoice Date, Due Date,
Invoice Total, Invoice Item Description, Account Distribution with
primary and secondary sorts definable by the user.
AP 54 AP-54 Accounts
Payable
Reporting Provide Aging Report of open invoices displaying (at a minimum):
Vendor Name, Invoice Number, Invoice Date, Due Date, Dollar
Amount, Terms with primary due date and secondary sort definable
by the user.
AP 55 AP-55 Accounts
Payable
Reporting Provide a list of all unpaid invoices entered in the system in order of
due date for a specified (user-defined) period of time. Report must
be able to sort using any attribute category.
AP 56 AP-56 Accounts
Payable
Reporting Provide the ability to create EDD reports as required by the State of
California.
AP 57 AP-57 Accounts
Payable
Reporting Provide the capability to create the Out-of-State Service Vendor
report required by the State of California.
AP 58 AP-58 Accounts
Payable
Reporting Provide the ability to create a Sales Tax Report for out-of-state
merchandise vendors and on-line purchases.
AP 59 AP-59 Accounts
Payable
Reporting Provide a Monthly Activity List showing: Invoices Paid, New Invoices,
Unpaid Invoices, Vendor totals with primary and secondary sort
definable by the user.
AP 60 AP-60 Accounts
Payable
Reporting Produce an electronic transmission (listing of checks) to be forwarded
to the related financial institution.
AP 61 AP-61 Accounts
Payable
Tracking Provide the ability to track a payment trail from any point in the
process, tracking backwards to the requisition/purchase order,
forward to payments, fixed asset records and viewing the status of all
items in the purchasing process “pipeline”
AP 62 AP-62 Accounts
Payable
Tracking Provide a record of all transactions paid by date selection, by Fund,
Sub-Fund and/or Department, accumulated by vendor
name/number, and by check number. Report must be sortable using
any attribute category.
AP 63 AP-63 Accounts
Payable
Tracking Verify that a vendor has no outstanding account receivable within the
City.
AP 64 AP-64 Accounts
Payable
Tracking System must allow for the ability to track and display changes to data
entry throughout the workflow process.
AP 65 AP-65 Accounts
Payable
Accounting Allow for tracking travel advances and actual travel expenses,
showing an overall trip cost along with a detail breakdown by
employee, category or purchase method.
AP 66 AP-66 Accounts
Payable
Administration Provide the ability to process invoices without requiring a Purchase
Order.
Updated: 4/7/14 Page 21 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
AP 67 AP-67 Accounts
Payable
Administration Provide for the use of template invoice data entry (i.e. monthly
maintenance contract).
AP 68 AP-68 Accounts
Payable
Notices Provide for multiple invoices to be processed against a single
purchase order (contract).
AP 69 AP-69 Accounts
Payable
Reporting Provide reporting of discounts based on payment terms.
AP 70 AP-70 Accounts
Payable
Accounting Automatically calculate payment due date and provide the ability to
override, if necessary.
AP 71 AP-71 Accounts
Payable
Administration Provide access to inquiry screen without leaving the data entry mode.
AP 72 AP-72 Accounts
Payable
Administration Provide the ability to edit held invoices when the hold is resolved
with further information.
AP 73 AP-73 Accounts
Payable
Administration Allow templates to be saved globally for multiple users or for an
individual user.
AP 74 AP-74 Accounts
Payable
Administration Schedule daily electronic payments and wire transfers based on
specific invoices.
AP 76 AP-76 Accounts
Payable
Administration Provide both centralized and decentralized invoice entry.
AP 77 AP-77 Accounts
Payable
Administration Provide the ability to restrict modification of invoice data entry at
specified stages of the workflow process.
AP 78 AP-78 Accounts
Payable
Reporting Allow invoices to be coded to allow withholding of payment.
AR 0
Accounts Receivable
AR 1 AR-1 Accounts
Receivable
Administration Allow input of invoice information that includes invoice type,
amount, G/L account number with functional department
designation, description and penalty type.
AR 2 AR-2 Accounts
Receivable
Accounting Allow input of multiple general ledger account numbers for each
invoice.
AR 3 AR-3 Accounts
Receivable
Administration Allow invoices / billings to be reversed.
AR 4 AR-4 Accounts
Receivable
Data Collection Allow input of customer information including Contact Name,
Address, Phone Number, Federal Tax ID and Customer Type.
AR 5 AR-5 Accounts
Receivable
Administration Allow for review of data entry before posting.
AR 6 AR-6 Accounts
Receivable
Reporting Provide the capability to select and print invoices or statements by
customer, invoice type, and/or customer type.
AR 7 AR-7 Accounts
Receivable
Reporting Allow for printing of multiple page invoices.
AR 8 AR-8 Accounts
Receivable
Administration Provide the ability to invoice selected accounts on a schedule defined
by the user.
AR 9 AR-9 Accounts
Receivable
Accounting Allow carry forward balances to be reflected on face of invoices.
AR 10 AR-10 Accounts
Receivable
Administration Allow auto-assignment of customer number for new accounts.
AR 11 AR-11 Accounts
Receivable
Notices Provide the capability to generate delinquency listings and
delinquency notices (Multiple user defined narratives. Opt out
option.) on laser printer at specified intervals.
AR 12 AR-12 Accounts
Receivable
Notices Provide the capability to generate second and third notices as well as
notifications of account being forwarded to a collection agency.
AR 13 AR-13 Accounts
Receivable
Reporting Ability to correct and reprint invoices and statements.
AR 14 AR-14 Accounts
Receivable
Notices Ability to produce invoices or statements on a batch basis or
individually (e.g. by customer name).
AR 15 AR-15 Accounts
Receivable
Administration Provide ability for city to format invoices/statements to their
specifications.
AR 16 AR-16 Accounts
Receivable
Administration Provide ability to add colored text or highlights to items placed on
invoice, such as past due notice or notes.
AR 17 AR-17 Accounts
Receivable
Administration Ability to define multiple addresses, including the ability to
determine which address prints on invoices and statements.
Updated: 4/7/14 Page 22 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
AR 18 AR-18 Accounts
Receivable
Administration Allow the use of both alpha and numeric characters in customer
account numbers.
AR 19 AR-19 Accounts
Receivable
Ability to apply multiple payments against a single invoice.
AR 20 AR-20 Accounts
Receivable
Administration Ability to apply a single payment against multiple invoices.
AR 21 AR-21 Accounts
Receivable
Administration Ability to accommodate payments in excess of or less than the bill
rendered.
AR 22 AR-22 Accounts
Receivable
Accounting Ability to write-off small discrepancies between the amount due and
the amount received (within security constraints).
AR 23 AR-23 Accounts
Receivable
Tracking Ability to track payments throughout their processing cycle.
AR 24 AR-24 Accounts
Receivable
Accounting Ability to track billed and collected amounts for each Accounts
Receivable subsidiary account and its related source.
AR 25 AR-25 Accounts
Receivable
Maintenance Provide for adjustments to customer accounts (within security
constraints).
AR 26 AR-26 Accounts
Receivable
Administration Provide controls to prevent duplication of customer accounts.
AR 27 AR-27 Accounts
Receivable
Reporting Provide for inquiry / reporting by customer name, account number,
invoice number, invoice type or location showing customer
transaction history (both open and paid invoices) including related
payment history, adjustments, and date of statement(s). Report
should be capable of sorting by any attribute field.
AR 28 AR-28 Accounts
Receivable
Reporting Ability to produce detail and summary aging reports by invoice type
and/or selection by invoice type.
For both aging reports - user to define primary, secondary, tertiary
sorts from name, address, fund, G/L account number, account
balance, balance age fields.
AR 29 AR-29 Accounts
Receivable
Reporting Provide a report by fund, account number, customer account
number, customer name and receivable totals to be used to reconcile
Accounts Receivable with the General Ledger.
AR 30 AR-30 Accounts
Receivable
Administration Provide journal entries in the general ledger module for each
generated invoice and for receipts, refunds, overpayments,
adjustments and other credits.
AR 31 AR-31 Accounts
Receivable
Administration Provide the ability to utilize additional user defined fields to capture
miscellaneous data (i.e. bank/routing numbers).
AR 32 AR-32 Accounts
Receivable
Reporting Provide the capability to report and selectively release accounts
receivable credit balances to accounts payable for refund.
AR 33 AR-33 Accounts
Receivable
Administration Allow multiple addresses for a single customer.
AR 34 AR-34 Accounts
Receivable
Maintenance Maintain customer history even after the account has been closed.
AR 35 AR-35 Accounts
Receivable
Accounting Provide the ability to assess late charges and penalties & interest.
AR 36 AR-36 Accounts
Receivable
Accounting Allocate invoice amount across multiple accounts based on pre-
determined criteria (i.e.) percentages.
AR 37 AR-37 Accounts
Receivable
Accounting Provide the capability to define the type of billing (i.e. property
damage claim, grant claim, project reimbursement, etc.).
AR 38 AR-38 Accounts
Receivable
Maintenance Ability to maintain a history by contractor and project.
AR 39 AR-39 Accounts
Receivable
Tracking Ability to track write-off history by customer.
AR 40 AR-40 Accounts
Receivable
Administration Ability to identify accounts sent to collection agencies.
AR 41 AR-41 Accounts
Receivable
Alerts Provide the capability to flag a customer account with payment
restrictions (i.e. cash only).
Updated: 4/7/14 Page 23 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
AR 42 AR-42 Accounts
Receivable
Accounting Provide the ability, at user option, for the calculation of penalties
based on type of invoice and due date.
AR 43 AR-43 Accounts
Receivable
Accounting Ability to add penalties to past-due invoices and generate late
payment fees by either a percentage or flat amount.
AR 44 AR-44 Accounts
Receivable
Administration Provide the capability to flag a customer account with payment
restrictions (i.e. cash only). Restrictions should appear on invoice or
at time of collection.
AR 45 AR-45 Accounts
Receivable
Administration Provide for data entry of collections received for those accounts sent
to the collection agency.
AR 47 AR-47 Accounts
Receivable
Administration Provide free-from notes field to document customer contact history.
AR 48 AR-48 Accounts
Receivable
Notices Provide the ability to include comments or other relevant
information to be communicated to the customer on invoices and
statements.
AR 49 AR-49 Accounts
Receivable
Reporting Provide ability to print messages or other comments on face of
invoice.
AR 50 AR-50 Accounts
Receivable
Administration Ability to send duplicate invoice to a second address.
BN 0
Benefits
BN 1 BN-1 Benefits Administration Record and track retiree coverage.
BN 2 BN-2 Benefits Administration Record and track enrolled retirement plan.
BN 3 BN-3 Benefits Allow web and IVR-enabled employee self-service for enrollment
BN 4 BN-4 Benefits Allow Summary Plan Descriptions and Legal Plan Documents to be
posted online
BN 5 BN-5 Benefits Produce enrollment forms to vendors
BN 6 BN-6 Benefits Workflow for verification of benefits enrollment by benefits
department
BN 7 BN-7 Benefits Produce enrollment confirmation statements including copay and
deduction amount
BN 8 BN-8 Benefits Tailored communication to specific populations (employee group,
location, department) via the use of pop-up windows or some other
effective method
BN 9 BN-9 Benefits Establish payroll deductions based on plan enrollment
BN 10 BN-10 Benefits Restrict enrollment or changes in enrollment due to: Enrollment
period
BN 11 BN-11 Benefits Restrict enrollment or changes in enrollment due to Date of last
enrollment change
BN 12 BN-12 Benefits Restrict enrollment or changes in enrollment due to Length of service
BN 13 BN-13 Benefits Restrict enrollment or changes in enrollment due to Dependent age
BN 14 BN-14 Benefits Ability to provide online consumer decision support tools
BN 15 BN-15 Benefits Ability to offer custom benefit options based on Bargaining Unit
BN 19 BN-19 Benefits Ability to provide e-mail notifications and alerts to employees based
on employee benefit election changes
BN 20 BN-20 Benefits Support default enrollment for multiple benefit programs
BN 22 BN-22 Benefits Previous enrollees default to current coverage for the following year
unless they make an active election to discontinue coverage
BN 23 BN-23 Benefits Track benefit eligibility based on age, date of hire, and bargaining
unit representation
Updated: 4/7/14 Page 24 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
BN 26 BN-26 Benefits Different coverage level for different bargaining units
BN 27 BN-27 Benefits Ability to identify enrollment options based on life events
BN 28 BN-28 Benefits Permit disabled dependents beyond the age of 26
BN 29 BN-29 Benefits Permit court-ordered coverage for dependents
BN 30 BN-30 Benefits Ability to make mass changes
BN 31 BN-31 Benefits Notification workflow for non-disabled dependents when they reach
the age of 26
BN 32 BN-32 Benefits Produce automatic notification for cancellation of coverage due to
age attainment
BN 33 BN-33 Benefits Ability to record waived coverage
BN 34 BN-34 Benefits Ability to enter employee future dated enrollment data
BN 35 BN-35 Benefits Ability to make retroactive changes to employee benefit records, and
have billing system reflect those changes
BN 36 BN-36 Benefits Produce benefit statements (individual or group)
BN 37 BN-37 Benefits Maintain plan election changes
BN 38 BN-38 Benefits Maintain history of all plan elections
BN 39 BN-39 Benefits Maintain information regarding waiver of coverage including date
waived
BN 40 BN-40 Benefits Maintain employee data impacting: Marital status
BN 41 BN-41 Benefits Maintain employee data impacting: Dependent changes
BN 42 BN-42 Benefits Maintain employee data impacting: Salary changes
BN 44 BN-44 Benefits Maintain employee data impacting Seniority/creditable service
BN 45 BN-45 Benefits Provide for change in dependent status
BN 46 BN-46 Benefits Identify newly eligible employees - track by hours worked (e.g. for
FMLA tracking)
BN 47 BN-47 Benefits Identify newly eligible employees by length of service and age
BN 48 BN-48 Benefits Maintain dependent beneficiary information, including name, SSN,
relationship, age, address (including ability to maintin multiple
beneficiaries)
BN 49 BN-49 Benefits Maintain beneficiary data by plan
BN 50 BN-50 Benefits Set up unlimited number of plan types, plans, and coverage codes
BN 51 BN-51 Benefits Maintain benefit plan for closed groups
BN 57 BN-57 Benefits Define costs of various benefits
BN 59 BN-59 Benefits Calculate plan maximums and minimums
BN 60 BN-60 Benefits Calculate employee/employer contributions each pay cycle – pre- and
post‑tax
BN 61 BN-61 Benefits Record pre-tax and after-tax elections
Updated: 4/7/14 Page 25 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
BN 62 BN-62 Benefits Report by plan and/or division the employer costs, employee costs,
premium costs, total costs and accruals
BN 63 BN-63 Benefits Provide updated employee eligibility data to outside vendors
BN 64 BN-64 Benefits Provide biweekly interface for health and welfare
BN 65 BN-65 Benefits Update insurance coverage on salary change and bargaining unit
change
BN 66 BN-66 Benefits Terminate coverage based on plan rules
BN 67 BN-67 Benefits Maintain and report on benefits history
BN 68 BN-68 Benefits Maintain benefits deductions in arrears
BN 69 BN-69 Benefits Accumulate residual in arrears
BN 70 BN-70 Benefits Ability to generate benefits billing statements
BN 71 BN-71 Benefits Automatically create letters for biweekly billing (varying letters based
on time-related criteria (i.e., 3 payments in arrears))
BN 72 BN-72 Benefits Process partial deductions
BN 73 BN-73 Benefits Ability to suspend deductions without coverage termination
BN 74 BN-74 Benefits Provide notification process to outside vendor using separation key
or other qualifying event (i.e., COBRA)
BN 75 BN-75 Benefits Provide self-generated bills by plan with census and premium
payments for employees at work and on leave
BN 76 BN-76 Benefits Provide ability to make retroactive changes to billed amounts
BN 77 BN-77 Benefits Manage eligibility and enrollment with variable benefit rate
structures
BN 78 BN-78 Benefits Provide secure transmission of eligibility data to carrier
BN 79 BN-79 Benefits Provide ability to track and reconcile benefits to carrier data including
eligibility, rates, coverage levels, and status changes at different
points in time
BN 80 BN-80 Benefits Collect and maintain employee leave data: Actual start and end
dates, Leave type (paid, unpaid, partially paid), Reason(s) for leave
BN 81 BN-81 Benefits Track and support FMLA
BN 82 BN-82 Benefits Track unlimited leave history
BN 84 BN-84 Benefits Support online calculations of leave accrual rules
BN 85 BN-85 Benefits Perform automatic calculation/update of employee’s accruals
according to defined policies
BN 86 BN-86 HRIS/Payroll Track probation date
BN 87 BN-87 HRIS Payroll Track anniversary month (for merit purposes)
Updated: 4/7/14 Page 26 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
BN 88 BN-88 Benefits Generate the appropriate forms automatically to advise carrier,
managers, etc. Of leave end dates/events
BN 89 BN-89 Benefits Provide a year-end rollover calculation and process for leave plans
BN 90 BN-90 Benefits Record leave balances by employee
BN 91 BN-91 Benefits System advises user when employees are due to progress to the next
type of leave
BN 92 BN-92 Benefits System advises user when employees are due to return from leave
BN 93 BN-93 Benefits Generate analytics for leaves by department, job, supervisor, etc.
BN 94 BN-94 Benefits Track payments for those on leave
BN 95 BN-95 Benefits Ability to flag when benefits not paid
BN 96 BN-96 Benefits Ability to flag at 6 months and 12 months
BN 97 BN-97 Benefits Ability to flag at return date
BN 98 BN-98 Benefits Ability to flag if no return to work date
BN 99 BN-99 Benefits Ability to flag at moving review date
BN 100 BN-100 Benefits Ability to flag when FMLA hours are used
BN 101 BN-101 Benefits Ability to flag if medical cert not entered
BN 102 BN-102 Benefits Track eligibility for FMLA based on hours worked
BN 103 BN-103 Benefits Automatic update of review dates
BN 104 BN-104 Benefits Automatic generation of forms and LOA report
BN 105 BN-105 Benefits Fields to store custom information
BU 0
Budget
BU 1 BU-1 Budget Reporting Provide flexibility to do forecasts based on models and calculation of
budget as defined by user.
BU 2 BU-2 Budget Accounting Provide for negative budget accounts.
Updated: 4/7/14 Page 27 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
BU 3 BU-3 Budget Reporting Capable of providing "what if" analysis for labor negotiation and
budget projection purposes (e.g., Impact of 5% pay increase) as well
as worksheets by Department containing: Position name, employee
name, employee number, employee group, pay range, pay step, next
scheduled increase, rate of pay after increase, date of hire, number of
months in position, hourly rate, monthly salary, annual salary, fringe
benefits, and totals.
BU 4 BU-4 Budget Accounting Ability to compare budget (spending plan) to actual obligations and
expenditures, including a variance and percentage variance.
BU 5 BU-5 Budget Notices Ability to add notes to show the rationale for specific line-item
amounts.
BU 6 BU-6 Budget Administration Ability to add attachments. (Native and Scanned)
BU 7 BU-7 Budget Administration Identify the differences between different versions of a budget, such
as between the recommended and the adopted budgets.
BU 8 BU-8 Budget Administration Provide the ability to create hypothetical budgets without submitting
a change to an adopted or proposed budget.
BU 9 BU-9 Budget Reporting Ability to accommodate, track, and report on budget variances.
BU 11 BU-11 Budget Accounting Ability to encumber on-line against available appropriation balance
to reduce the corresponding spending allocation.
BU 12 BU-12 Budget Reporting Ability to generate encumbrance transactions via purchase orders /
contracts.
BU 13 BU-13 Budget Accounting Ability to provide liquidation of encumbrance when final payment is
made against an account when specified by project manager.
BU 14 BU-14 Budget Tracking Ability to track the original amount, current amount, payments made,
and remaining balance for an encumbrance.
BU 16 BU-16 Budget Reporting Provide forecast of future five (5) fiscal years.
BU 17 BU-17 Budget Administration Ability to identify budgets from the originally adopted budget to the
current budget.
BU 18 BU-18 Budget Tracking Ability to track expenses by categories and allocate cost to project
cost accounts as required.
BU 19 BU-19 Budget Reporting Produce budget to actual reports online.
BU 20 BU-20 Budget Reporting Provide centralized monitoring of spending, budget preparation
process, and available balances.
BU 21 BU-21 Budget Reporting Ability to view prior history for actual spending and budgets available
on-line for multiple years.
BU 22 BU-22 Budget Administration Must be able to export to Microsoft Excel.
BU 23 BU-23 Budget Administration Provide online budget preparation to all departments.
BU 24 BU-24 Budget Administration Provide capability to add, change, delete and project positions and
benefit costs.
BU 25 BU-25 Budget Reporting Ability to draw from the payroll and HR systems to pre-populate
payroll projection data for the budget process (e.g., salaries and
wages, benefits, City contributions, and allowances).
BU 26 BU-26 Budget Reporting Provide data modeling scenario capability for budget projections at
different organization levels (Fund, Sub-Fund, Department, and
Division).
BU 27 BU-27 Budget Reporting Provide budget data summarized by account category (e.g.
Personnel, Material & Supplies, Contractual Services, etc.)
BU 28 BU-28 Budget Administration Ability to add account numbers to the forecasted budget.
Updated: 4/7/14 Page 28 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
BU 29 BU-29 Budget Administration Provide data from the current year actual, the current year's adopted
and adjusted budget, a year-end estimate, the next year's target and
proposed budget.
BU 30 BU-30 Budget Administration Ability to create, modify and establish a budget for a specific project
and component of a project/program.
BU 31 BU-31 Budget Data Collection Ability to move the adopted budget from the budget module to the
general ledger without having to re-enter data.
BU 32 BU-32 Budget Administration Amend adopted budget via supplemental appropriations.
BU 33 BU-33 Budget Administration Provide for position control and ability to include vacant positions
and requested positions.
BU 34 BU-34 Budget Administration Budget transfers—moving budgeted funds between funds, programs,
projects and / or between object line items—this would be controlled
via a workflow.
BU 35 BU-35 Budget Administration Ability to extract actual amount information from the Payroll System
by Department and employee position or employee group to include
pay range and fringe benefits.
BU 36 BU-36 Budget Administration Provide for budget adjustments to be entered at the department
level. Provide Work Flow capability for approval of changes.
BU 37 BU-37 Budget Reporting Budget justification / comments by line item which are printable on
reports. System must provide the ability to allow for multiple line
descriptions of major items within a budget account. Specify field
length in comments.
BU 38 BU-38 Budget Administration Ability to create a long-term capital budget that is integrated with
purchasing, accounts payable, budgeting, project management and
fund balances.
BU 39 BU-39 Budget Administration Ability to record and keep an original budget, changes, and revised
budget for each project cost account at each level in the hierarchy.
BU 40 BU-40 Budget Compliance Provide for adopted budget and amended budget, as required by
GASB 34.
BU 41 BU-41 Budget Administration Provide for multi-year budget input and monitoring capabilities for all
accounts.
BU 42 BU-42 Budget Reporting Allow for a multi-year comparison and maintenance.
BU 43 BU-43 Budget Administration Ability to perform reallocation and tracking of budgets by fund
number and across multiple funds, departments, projects and
objects.
BU 44 BU-44 Budget Reporting Provide the ability to perform budget processing and analysis without
regard or impact upon other work.
BU 45 BU-45 Budget Accounting Ability to allocate overhead and administration costs to departments,
cost centers, programs, and sub-program levels automatically by user
defined criteria.
BU 46 BU-46 Budget Data Collection Ability to import information of detailed projects (e.g., street
maintenance, recreation, etc.) into budget/forecasting system.
BU 47 BU-47 Budget Administration Allow budget data entry at object and sub-object level.
BU 48 BU-48 Budget Administration Allow for multiple terminals to access the same data files and
programs simultaneously.
BU 49 BU-49 Budget Administration Ability to restrict changes to data files after a specific period of time.
BU 50 BU-50 Budget Administration Ability to roll up divisional budgets to come up with a departmental
budget.
BU 51 BU-51 Budget Administration Ability to budget contingency amounts for multi-year capital projects.
BU 52 BU-52 Budget Tracking Allow users to track budget amendments, including identification of
date of change and user.
BU 53 BU-53 Budget Maintenance Ability to prevent departmental budget users from editing allocated
costs, salaries, and benefits.
Updated: 4/7/14 Page 29 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
BU 54 BU-54 Budget Maintenance Ability to refresh salaries and benefits based on updated personnel
and payroll data without overwriting any edits that departmental
budget users made to other budget line items.
BU 55 BU-55 Budget Accounting Ability to accommodate the transfer of appropriations between
budgeted line items.
BU 56 BU-56 Budget Administration Provide for a minimum of five (5) budget versions. Program and / or
Division level budgets may be a version.
BU 57 BU-57 Budget Administration Provide the ability to configure columns by title and content,
including calculated columns.
BU 58 BU-58 Budget Administration Project salary and benefits based on personnel and payroll data.
BU 59 BU-59 Budget Administration Project salary and benefits based on positions allocated to the
program.
BU 60 BU-60 Budget Administration Project salary and benefits based on compensation rates for filled
positions: the rates paid to the position’s current incumbent
BU 61 BU-61 Budget Administration Project salary and benefits based on compensation rates for
projected changes in compensation rates (including MOU rates).
BU 62 BU-62 Budget Administration Project salary and benefits based on compensation rates for cost of
living adjustments.
BU 63 BU-63 Budget Administration Project salary and benefits based on compensation rates for PERS
rates and calculations.
BU 64 BU-64 Budget Administration Project salary and benefits based on compensation rates for future
effective dates for promotions, transfers, reclassifications, step
increases, turnover, change from hourly to full-time, etc.
BU 65 BU-65 Budget Notices Provide a warning notice when transactions are proposed for
accounts whose budgets have been exceeded.
BU 66 BU-66 Budget Maintenance Provide a way for departments to save several alternative draft
versions of their departmental budgets and the recommended
budget.
BU 67 BU-67 Budget Administration Ability to create an on-line, long-term capital budget that is
integrated with purchasing, accounts payable, budgeting, and project
management.
BU 68 BU-68 Budget Administration Project salary and benefits based on compensation rates for vacant
positions: future date that it is likely to be filled (or whether it is to
remain vacant indefinitely).
BU 69 BU-69 Budget Reporting System must provide forecasting based on current transactions,
forecast through end of fiscal year and six future years.
BU 70 BU-70 Budget Reporting Provide the ability to perform a variety of revenue, expenditure, and
fund balance forecasting including the ability to perform fee analysis.
BU 71 BU-71 Budget Data Collection Ability to store hypothetical budgets as “just-in-case” contingency
plans that can later be substituted for proposed or adopted budgets,
if needed.
BU 72 BU-72 Budget Administration Ability to restrict funds by project, fund, and/or entity.
BU 73 BU-73 Budget Tracking Ability to perform reallocation and tracking of budgets by funding
source (Federal, State, County) (i.e. gas tax fund or other revenue
source).
BU 74 BU-74 Budget Reporting Produce a complete encumbrance transaction history report.
BU 75 BU-75 Budget Administration Provide update capability for selected data modeling scenarios.
BU 76 BU-76 Budget Administration Provide online approval of proposed budgetary transactions.
Updated: 4/7/14 Page 30 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
BU 77 BU-77 Budget Reporting Provide dynamic projections (adjusting budgets in response to rate
changes that occur at various times during the course of the year).
BU 78 BU-78 Budget Administration Ability to allow for pre-encumbrance and / or encumbrance before a
contract or purchase order is awarded.
BU 79 BU-79 Budget Administration Allow for a separate Capital Improvement Project (CIP) budget that
will roll up to the main operating budget subtotals. Operating costs
associated with the CIP must be included.
BU 80 BU-80 Budget Data Collection Ability to integrate long-term capital budgets into the regular
budgeting process.
BU 81 BU-81 Budget Administration Ability to develop budgets on two-year cycle with two annual
budgets per cycle.
BU 82 BU-82 Budget Administration Ability to disseminate a status quo budget to department budget
users.
BU 83 BU-83 Budget Reporting Provide a snapshot of the current year’s budget including any
supplemental appropriations.
BU 84 BU-84 Budget Accounting Provide the ability for a two-year user-defined budget model. For
example: zero-based in one year and adjusted for inflation in year
two (by x%).
BU 85 BU-85 Budget Administration Provide adjustments for inflation.
BU 86 BU-86 Budget Maintenance Provide adjustments to allocated costs, rates, and charges.
BU 88 BU-88 Budget Ability to specify the basis for computing the budget based on user
defined criteria (e.g., salary, total labor cost, billing rates, etc.).
CA 0
Capital Asset
CA 1 CA-1 Capital Asset Reporting Ability to forecast replacement cost at any time in the life of the
asset.
CA 2 CA-2 Capital Asset Accounting Ability to separate business from government type assets, including
functionality to create journal entries.
CA 3 CA-3 Capital Asset Accounting Account for assets that are acquired and shared by multiple funds.
CA 4 CA-4 Capital Asset Notices Allow assets to be flagged as exempt from depreciation.
CA 5 CA-5 Capital Asset Administration Allow items under the threshold to be tracked separately by asset
type.
CA 6 CA-6 Capital Asset Accounting Automatically generate Journal Entries to the G/L.
CA 7 CA-7 Capital Asset Administration Must allow assignment of multiple funding sources (e.g., General,
Special Revenue and Enterprise Funds).
CA 8 CA-8 Capital Asset Administration Must be able to display asset location on a map.
CA 9 CA-9 Capital Asset Data Collection Must integrate with Budget to forecast asset replacement during
budget planning.
CA 10 CA-10 Capital Asset Reporting Provide aging report for replacement of assets during defined date
range.
CA 11 CA-11 Capital Asset Administration Provide capability to define the dollar threshold to determine
inclusion as a fixed asset.
CA 12 CA-12 Capital Asset Administration Provide for automatic generation of journal entries upon retirement
of asset.
CA 13 CA-13 Capital Asset Administration Purchasing to update fixed asset inventory when items meeting user-
defined criteria are received.
CA 14 CA-14 Capital Asset Administration System must provide capability to query asset database by any field
using wildcards.
CA 15 CA-15 Capital Asset Tracking Track asset from “cradle to grave”; tracing a fixed asset back to the
transactions by which it was acquired, such as purchase orders,
capital-project charges, etc.
CA 16 CA-16 Capital Asset Tracking Track location of assets in conjunction with GIS and provide history of
transfers between locations / departments / responsibility centers
even after being fully depreciated.
Updated: 4/7/14 Page 31 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
CA 17 CA-17 Capital Asset Data Collection Ability for user-defined data (e.g., payment date and amount, vendor
name, item description, quantity) to update the Fixed Assets system.
CA 18 CA-18 Capital Asset Administration Ability to allow for the definition of user-defined categories of fixed
assets.
CA 19 CA-19 Capital Asset Administration Ability to assign Asset Status.
CA 20 CA-20 Capital Asset Administration Ability to assign Department.
CA 21 CA-21 Capital Asset Alerts Ability to flag capital assets at time of purchase or at time of payment
if receiving is not used.
CA 22 CA-22 Capital Asset Accounting Ability to maintain cost, insurance, and replacement values.
CA 23 CA-23 Capital Asset Reporting Ability to record a Disposition Date.
CA 27 CA-27 Capital Asset Administration Ability to record Function (Generate government, legislative, Public
Safety, Public Services, Etc.)
CA 28 CA-28 Capital Asset Administration Ability to record Funding Source and Name.
CA 29 CA-29 Capital Asset Administration Ability to record G/L Account Number.
CA 30 CA-30 Capital Asset Administration Ability to record Manufacturer, Model Number & Serial Number.
CA 31 CA-31 Capital Asset Administration Ability to record Project / Grant Number.
CA 32 CA-32 Capital Asset Administration Ability to record Purchase Date.
CA 33 CA-33 Capital Asset Administration Ability to record Purchase Price.
CA 34 CA-34 Capital Asset Administration Ability to record Sale Price.
CA 35 CA-35 Capital Asset Administration Ability to record Tag Number.
CA 36 CA-36 Capital Asset Administration Ability to set Asset Location.
CA 37 CA-37 Capital Asset Accounting Ability to track Expected Life.
CA 38 CA-38 Capital Asset Administration Ability to track transfer of assets.
CA 39 CA-39 Capital Asset Accounting Capability to book depreciation on a periodic basis.
CA 40 CA-40 Capital Asset Administration Capability to track infrastructure by project number.
CA 41 CA-41 Capital Asset Administration Must record vehicle equipment year.
CA 42 CA-42 Capital Asset Administration Must record vehicle license number.
CA 43 CA-43 Capital Asset Administration Must record vehicle make.
CA 44 CA-44 Capital Asset Administration Must record vehicle model.
CA 45 CA-45 Capital Asset Administration Must record vehicle purchase price.
CA 46 CA-46 Capital Asset Administration Must record vehicle user-defined identification number.
CA 47 CA-47 Capital Asset Administration Must record vehicle VIN.
CA 48 CA-48 Capital Asset Administration Must record vehicle warranty.
CA 49 CA-49 Capital Asset Reporting Provide ability to track and report real property (e.g., land and
buildings) by parcel number and street address location.
CA 50 CA-50 Capital Asset Accounting Provide for Accumulated Depreciation.
CA 51 CA-51 Capital Asset Accounting Provide for Acquisition Value.
Updated: 4/7/14 Page 32 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
CA 52 CA-52 Capital Asset Accounting Provide for adjustment of an asset's life and/or value.
CA 53 CA-53 Capital Asset Administration Provide for Asset Class and Category.
CA 54 CA-54 Capital Asset Administration Ability to calculate asset values to replacement costs for insurance
purposes.
CA 55 CA-55 Capital Asset Accounting Ability to group / combine multiple smaller assets to reach Fixed
Asset value.
CA 56 CA-56 Capital Asset Administration Ability to record PO Number.
CA 57 CA-57 Capital Asset Accounting Allow assets to be depreciated using the straight-line method of
depreciation and allow memo depreciation of general government
assets for cost replacement analysis.
CA 58 CA-58 Capital Asset Administration Assign to specific people, departments, programs, projects, activities,
etc., so that the various costs associated with those assets (including
maintenance) are tracked and charged back.
CA 59 CA-59 Capital Asset Accounting Automatically generate journal entries associated with transfer of
assets between General Ledger accounts.
CA 60 CA-60 Capital Asset Administration Protect against over depreciation of an asset.
CA 61 CA-61 Capital Asset Tracking Provide capability to track additions and deletions of components to
an asset - transfers, repairs, location, and 'attached-to' equipment.
CA 62 CA-62 Capital Asset Reporting Provide list of all additions / deletions / transfers to or from file in
detail.
CA 63 CA-63 Capital Asset Reporting Provide report by source of funds and by asset class and category in
conformity with generally accepted accounting principles (GASB).
CR 0
Cash Receipts
CR 1 CR-1 Cash Receipts Maintenance Ability to convert scanned checks and remittance advice slips using
Optical Character Recognition and automatically post to receivables.
CR 2 CR-2 Cash Receipts Alerts Ability to identify customers who have tendered bad checks
repeatedly.
CR 3 CR-3 Cash Receipts Ability to enter a zero cash receipt for a void receipt number or a
trust account.
CR 4 CR-4 Cash Receipts Data Collection Ability to archive cash receipt batches in PDF format and save
electronic files.
CR 5 CR-5 Cash Receipts Accounting Ability to reapply misapplied cash receipts with appropriate cross-
referencing.
CR 6 CR-6 Cash Receipts Accounting Ability to record the payment type (cash, check, etc.).
CR 7 CR-7 Cash Receipts Accounting Ability to split a cash receipt among multiple tender types.
CR 8 CR-8 Cash Receipts Accounting Ability to split a cash receipt among several receivables.
CR 9 CR-9 Cash Receipts Administration Provide full point-of-sale capability at counter - credit card, debit
card, cash, etc.
CR 10 CR-10 Cash Receipts Administration Ability to assess bad check fees.
CR 11 CR-11 Cash Receipts Reporting Print Cash Receipts Journal by cashier and total with Bank Account,
G/L account number, Receivable Type, Payment type, Customer
Account, Date, Time, Cashier, Dollar Amount and Description.
CR 12 CR-12 Cash Receipts Reporting Generate Batch Posted to G/L report.
CR 13 CR-13 Cash Receipts Reporting Generate Cash Entry Edit report.
CR 14 CR-14 Cash Receipts Reporting Generate Cash Posting Summary report.
CR 15 CR-15 Cash Receipts Reporting Generate Custom Detail report.
Updated: 4/7/14 Page 33 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
CR 16 CR-16 Cash Receipts Reporting Generate Deleted Transaction report.
CR 17 CR-17 Cash Receipts Reporting Generate G/L Journal report.
CR 18 CR-18 Cash Receipts Reporting Generate General Detail report.
CR 19 CR-19 Cash Receipts Reporting Generate Posting Summary report.
CR 20 CR-20 Cash Receipts Reporting Provide a report at end of day to assist with bank reconciliation and
generate a bank deposit.
CR 21 CR-21 Cash Receipts Reporting Generate Summary by Application report.
CR 22 CR-22 Cash Receipts Reporting Generate Summary By Station report.
CR 23 CR-23 Cash Receipts Administration Provide outstanding balances to accounts in other City-interfaced
systems.
CR 24 CR-24 Cash Receipts Accounting Ability to exchange payment data between other City Hall database
systems.
CR 25 CR-25 Cash Receipts Administration Secure log-on for cash handling.
CR 26 CR-26 Cash Receipts Administration Automated workflow for processing all cash receipt transactions.
CR 27 CR-27 Cash Receipts Ability to read ABA number from customer checks to determine cash
availability.
CR 28 CR-28 Cash Receipts Administration Online inquiry access to and validation of Customer Account
Information from all integrated modules.
CR 29 CR-29 Cash Receipts Administration Provide for user definition of Payment Types, Tender Method, Batch
Types and Check Endorsement.
CR 30 CR-30 Cash Receipts Administration Allow a payment to be applied to multiple invoices.
CR 31 CR-31 Cash Receipts Administration Provide for customer payment via the internet.
CR 32 CR-32 Cash Receipts Administration Provide ability to process Refunds and Credits.
CR 33 CR-33 Cash Receipts Administration Scan and attach cash receipt documents to a posted or un-posted
batch.
CR 34 CR-34 Cash Receipts Administration Provide ability to "pending post" to all modules customer accounts
during the day.
CR 35 CR-35 Cash Receipts Administration Provide ability to permanently post customer account information at
the end of the day.
CR 36 CR-36 Cash Receipts Compliance End of shift and end of day processing at any time and initiate
following day's business.
CR 37 CR-37 Cash Receipts Reporting Ability to record Bank Deposits
CR 38 CR-38 Cash Receipts Tracking Tracking activity of individual cashiers (users) and cash drawers.
CR 39 CR-39 Cash Receipts Administration Decentralized cashiering stations all integrated into the cashiering
module.
CR 40 CR-40 Cash Receipts Administration Ability to provide cash receipting at multiple locations with separate,
sequential receipt number generation.
CR 41 CR-41 Cash Receipts Administration Accept credit and debit-card payments over the counter and online.
CR 42 CR-42 Cash Receipts Tracking Ability to identify the specific cashier and drawer for each cash
transaction.
CR 43 CR-43 Cash Receipts Administration Provide Cash Receipt validation of Community Development
(planning, permitting, code enforcement) account numbers and
immediate update (in a temporary or pending mode) of the
Community Development accounts.
CR 44 CR-44 Cash Receipts Accounting Provide for the automatic generation of journal entries to the G/L
insuring balancing and non-duplicate transaction posting for all cash
receipts.
Updated: 4/7/14 Page 34 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
CR 45 CR-45 Cash Receipts Administration Provide Cash Receipt's validation of A/R account numbers and
immediate update (in a temporary or pending mode) of Accounts
Receivable accounts, in real time.
CR 46 CR-46 Cash Receipts Administration Provide cash receipting, recreation registration, permits, etc.
functions and account status inquiries from same workstation.
CR 47 CR-47 Cash Receipts Searchable for the proper receivable(s) for cash application (when
cash is received without a clear reference to one particular
receivable).
CP 0
Compensation Planning
CP 1 CP-1 Compensation
Planning
Support linking positions to user-defined pay bands
CP 4 CP-4 Compensation
Planning
Generate a “total compensation statement” by employee, online in
real time, Utilizing data from other internal systems, and Utilizing
data in both internal and external data sources
CP 5 CP-5 Compensation
Planning
Import external job survey data
CP 6 CP-6 Compensation
Planning
Store individual compensation information
CP 7 CP-7 Compensation
Planning
Calculate equivalent pay rates by hourly, annual, pay period and
monthly
CP 8 CP-8 Compensation
Planning
Add/update salaries in batch mode and individual mode
CP 9 CP-9 Compensation
Planning
Maintain and process multiple increase types
CP 10 CP-10 Compensation
Planning
Process increases by bargaining units
CP 12 CP-12 Compensation
Planning
Effective date increases by type
CP 13 CP-13 Compensation
Planning
Provide future dated salary changes
CP 14 CP-14 Compensation
Planning
Track increases to budget by department
CP 15 CP-15 Compensation
Planning
Provide authorization mechanism for rate changes
CP 16 CP-16 Compensation
Planning
Manage anniversary increases
CP 17 CP-17 Compensation
Planning
Exclude certain performance ratings from increases
CP 19 CP-19 Compensation
Planning/HRIS
Maintain job evaluation information for each employee by job
class/level/grade
CP 20 CP-20 Compensation
Planning
Maintain pay and bonus deferrals: when earned, when paid, and
dollar amount
Updated: 4/7/14 Page 35 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
CP 23 CP-23 Compensation
Planning
Project and analyze salary information with report writing tools
CM 0
Compliance
CM 1 CM-1 Compliance Compliance Is compliant with federal and state tax laws including Health Care
Reform reporting requirements.
CM 2 CM-2 Compliance Compliance Maintain employee information relating to EEO, Vets-100, OSHA
reporting
CM 3 CM-3 Compliance Compliance Produce all reports required by federal government agencies (EEO-1,
INS, DOL)
CM 4 CM-4 Compliance Compliance Import and analyze census data: race, age, sex
CM 5 CM-5 Compliance Compliance Complete and submit an EEO form on-line
CM 6 CM-6 Compliance Compliance Determine a correlation between training and complaint load
CM 7 CM-7 Compliance Compliance Add specific training requirements on demand
CM 8 CM-8 Compliance Compliance Track compliance training requirements and determine who has not
completed training
CM 9 CM-9 Compliance Compliance Notification of promotion (workflow) to all employees requiring
compliance training
CM 10 CM-10 Compliance Compliance Analyze and model census data for EEO4 and 8 Factor reporting
CM 11 CM-11 Compliance Compliance Track EEO claims: type, resolution, job class, issue, date filed, status,
supervisor, department
CM 12 CM-12 Compliance Compliance Compare compensation for men and women in the same job class
and job family
CM 13 CM-13 Compliance Compliance Generate turnover reports by race, age and sex
CM 14 CM-14 Compliance Compliance Track promotions by race, age and sex
CM 15 CM-15 Compliance Compliance Track employees, supervisors and managers who have received EEO
training or other compliance training
CM 18 CM-18 Compliance Compliance Provide workforce analysis capability
CM 19 CM-19 Compliance Compliance Maintain the organization’s current year’s diversity goals
RE RE- Recruitment Compliance Maintain data for EEO reporting: Race, Gender, Age, Vietnam Veteran
Status
CM 21 CM-21 Compliance Compliance Track and report information pursuant to FLSA requirements and
other State and Federal laws.
CM 22 CM-22 Compliance Compliance Track and report EEO and / or harassment complaints by date, type,
department and workforce.
ER 0
Employee Records
ER 84 ER-84 Employee
Records
Collect and maintain new hire data critical for record setup, benefits
administration and payroll, interface(s)
ER 85 ER-85 Employee
Records
Collect and maintain employee demographic data
ER 86 ER-86 Employee
Records
Maintain multiple addresses for each employee
ER 87 ER-87 Employee
Records
Maintain multiple e-mail addresses for each employee
ER 88 ER-88 Employee
Records
Maintain multiple phone numbers for each employee
ER 89 ER-89 Employee
Records
Track and maintain primary supervisor, as well as secondary
supervisor
ER 90 ER-90 Employee
Records
Track and maintain programs employees are billing time to, and
relevant supervisor for each job
Updated: 4/7/14 Page 36 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
ER 91 ER-91 Employee
Records
Collect and maintain office identifier or mail stop, if applicable
ER 92 ER-92 Employee
Records
Collect and maintain office and personal telephone numbers
ER 93 ER-93 Employee
Records
Maintain additional name data
ER 94 ER-94 Employee
Records
Collect and maintain prior name
ER 95 ER-95 Employee
Records
Collect and maintain emergency contact data
ER 96 ER-96 Employee
Records
Collect and maintain organizational data for the following: -
Departments
- Programs
- Funds
- Work Locations
ER 100 ER-100 Employee
Records
Provide workflow notification to supporting departments for new
hire processing
ER 101 ER-101 Employee
Records
Collect and maintain company property by employee including:
- Car
- Access Card
- Corporate Credit Card
- Keys
- Computer Equipment
- Telephone Equipment
- Parking
- Other User Defined Categories
ER 110 ER-110 Employee
Records
Track new hire probationary period
ER 111 ER-111 Employee
Records
Workflow to trigger events/approvals associated with new hires
based on position (i.e., security access, laptop, cell phone) – or
changes to an employee’s benefit and or work status.
ER 113 ER-113 Employee
Records
Allow for unlimited number of date fields for eligibility dates,
effective dates, leave dates, rehire, adjusted service, etc.
ER 114 ER-114 Employee
Records
Collect and maintain employee status data: Active
ER 115 ER-115 Employee
Records
Collect and maintain employee status data: Inactive
ER 116 ER-116 Employee
Records
Collect and maintain employee status data: Terminated
ER 117 ER-117 Employee
Records
Collect and maintain employee status data: Retired
ER 118 ER-118 Employee
Records
Collect and maintain employee status data: Deceased
ER 119 ER-119 Employee
Records
Collect and maintain employee status data: Leave of absence
ER 120 ER-120 Employee
Records
Collect and maintain employee status data: Transferred
ER 121 ER-121 Employee
Records
Collect and maintain employee status data: Severance
ER 122 ER-122 Employee
Records
Collect and maintain employee status data: User-defined
ER 123 ER-123 Employee
Records
Collect and maintain employee classification data: Full-time
ER 124 ER-124 Employee
Records
Collect and maintain employee classification data: Part-time
ER 125 ER-125 Employee
Records
Collect and maintain employee classification data: Temporary (extra
help)
Updated: 4/7/14 Page 37 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
ER 126 ER-126 Employee
Records
Collect and maintain employee classification data: Hourly non-
exempt
ER 127 ER-127 Employee
Records
Collect and maintain employee classification data: Rehire of retired
employee
ER 128 ER-128 Employee
Records
Collect and maintain employee classification data: Intern
ER 129 ER-129 Employee
Records
Collect and maintain employee classification data: Contract employee
ER 130 ER-130 Employee
Records
Collect and maintain employee classification data: Job family
ER 131 ER-131 Employee
Records
Collect and maintain employee classification data: User-defined
ER 132 ER-132 Employee
Records
Collect and maintain effective dates of employment, and maintain
service interruption history for determination of adjusted service,
etc.
ER 134 ER-134 Employee
Records
Collect and maintain benefit services date for plan eligibility
ER 135 ER-135 Employee
Records
Track employee transfers between locations and departments
ER 136 ER-136 Employee
Records
Identify employee promotions
ER 137 ER-137 Employee
Records
Collect and maintain employee compensation data: Base rate and
change history
ER 138 ER-138 Employee
Records
Collect and maintain employee compensation data: Base rate change
detail
ER 139 ER-139 Employee
Records
Collect and maintain employee compensation data: Bonus
ER 140 ER-140 Employee
Records
Maintain salary grades and steps for each employee
ER 142 ER-142 Employee
Records
Collect and maintain employee leave status and reasons
ER 143 ER-143 Employee
Records
Track terminations/turnover data
ER 144 ER-144 Employee
Records
Track multiple terminations for an employee
ER 145 ER-145 Employee
Records
Termination Provide workflow notification to appropriate departments for
termination processing such as:
- Parking/property revocation
- Computer access termination
- Phone disconnection
- Badge revocation
- Exit Interviews
- And other User-defined workflow based on department
ER 151 ER-151 Employee
Records
Termination Provide automatic capability to calculate an adjusted hire date for
employees who are rehired after termination, based on break-in-
service rules
ER 153 ER-153 Employee
Records
Store history data based on date-driven parameters:
Department/other organization level
ER 154 ER-154 Employee
Records
Provide ability to flag employees for various user-defined reasons,
i.e. At-will employees
ER 155 ER-155 Employee
Records
Collect and maintain education history
ER 156 ER-156 Employee
Records
Record and maintain professional certifications
ER 157 ER-157 Employee
Records
Record criminal background checks
ER 158 ER-158 Employee
Records
Record and maintain drug and substance abuse testing, reasonable
cause re-certification for certain positions
Updated: 4/7/14 Page 38 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
ER 159 ER-159 Employee
Records
Track pre-employment and mandatory physicals and defined
workflow aroudn this process
ER 160 ER-160 Employee
Records
Allow for employee to maintain data through web
ER 162 ER-162 Employee
Records
Electronically transfer applicant data to new hire record
ER 163 ER-163 Employee
Records
Enter and track disciplinary notices and follow up by date
ER 164 ER-164 Employee
Records
Provide ability to capture and report on exit questionnaire data
ER 165 ER-165 Employee
Records
Save prior year’s vacation, sick and banked sick time
ER 166 ER-166 Employee
Records
Calculate vacation and sick time based on years of service and hours
worked
ER 167 ER-167 Employee
Records
Search for employee records by last name, former name, social
security number and system ID (if different from Soc Sec #)
ER 168 ER-168 Employee
Records
Provide service date information on benefit screens, review screens,
and cumulative controlled hours screens
ER 169 ER-169 Employee
Records
Keep history on whom an employee reports to (i.e. Supervisor
history)
ER 170 ER-170 Employee
Records
Keep history on address changes
ER 171 ER-171 Employee
Records
Automatically populate appropriate fields when an employee
changes from hourly to salary or vice versa
ER 172 ER-172 Employee
Records
Provide data entry audits daily with date & time stamp and who
made the entry
ER 175 ER-175 Employee
Records
Track disaster prep responsibilities by employee
LR 0
Employee Relations
LR 1 LR-1 Employee
Relations
Compliance Track and report on grievance activities by date, type, department,
labor group and outcome of grievance.
LR 2 LR-2 Employee
Relations
Compliance Track and report discipline activities by date, type, department, labor
group, status of appeals, and outcome of appeals.
LR 3 LR-3 Employee
Relations
Track service awards and anniversaries
LR 5 LR-5 Employee
Relations
Support and record exit interviews via employee self-service
LR 6 LR-6 Employee
Relations
Automatically route completed exit interview to HR
LR 12 LR-12 Employee
Relations
Track disciplinary actions by employee and employee’s responses to
actions
LR 13 LR-13 Employee
Relations
Attach scanned documents to employee record
ES 0
Employee Self-Service
ES 1 ES-1 Employee Self-
Service
Notices Ability to allow Employees' to view of their individual leave accounts,
showing current status and transaction / balance history.
ES 3 ES-3 Employee Self-
Service
Administration Provide for online inquiry / review of all benefit information.
ES 4 ES-4 Employee Self-
Service
Administration Support flexible query functions so that an employee can view their
own pay.
ES 5 ES-5 Employee Self-
Service
Administration Provide ability for employees to enter valid time online
Updated: 4/7/14 Page 39 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
ES 6 ES-6 Employee Self-
Service
Reporting Provide ability to inquire online and to generate reports detailing
employee's balance, accrual, and use patterns (Such as Monday,
Friday, after Pay Day, before or after Holidays) and produce
information on a cumulative calendar, fiscal Y-T-D basis and/or life to
date with comparisons to same period in prior year.
ES 7 ES-7 Employee Self-
Service
Core HRIS transactional processing (i.e. address change, etc)
GL 0 GL-0
General Ledger
GL 1 GL-1 General Ledger Accounting Ability for one department to process a payment within the same
fund to another department for goods or services rendered (with
multiple revenue and expense codes) without issuing a check.
GL 2 GL-2 General Ledger Notices Ability to attach or enter explanatory notes for all transactions.
GL 3 GL-3 General Ledger Accounting Ability to calculate and present amount expended for each account as
a percentage of annual budget, including open encumbrances and
YTD expenditures.
GL 4 GL-4 General Ledger Reporting Ability to generate user-defined custom reports using any attribute.
GL 5 GL-5 General Ledger Maintenance Ability to maintain the chart of accounts online.
GL 6 GL-6 General Ledger Reporting Ability to print or view journal entry details online regardless of
whether the entry is posted.
GL 7 GL-7 General Ledger Administration Ability to support workflow for General Journal Approvals.
GL 8 GL-8 General Ledger Accounting Must allow multiple accounting periods to be processed and reported
on simultaneously.
GL 9 GL-9 General Ledger Administration Provide unattended, scheduled posting of batches to General Ledger
after normal work hours.
GL 10 GL-10 General Ledger Administration Update and validate General Ledger through computer generated
journal entries.
GL 11 GL-11 General Ledger Administration Through General Ledger, provide drill down access to related Payroll
data.
GL 12 GL-12 General Ledger Administration Provide Employee Services’ and Finance’s staff online inquiry of all
employee data for any field in the database (depending on security
level).
GL 13 GL-13 General Ledger Administration Provide user-defined fields in the database. If there is a limitation,
vendor to indicate maximum number of user-defined fields in
comments.
GL 14 GL-14 General Ledger Administration Provide employee and supervisor self-service to review information,
make changes and begin workflows.
GL 15 GL-15 General Ledger Accounting Ability to access full account detail (e.g. beginning balance, all posted
transactions and the complete description) from the beginning of the
year. This detail should also be accessible for any accounting period.
GL 16 GL-16 General Ledger Accounting Ability to accommodate consolidated (pooled) cash accounting for
transactions of multiple funds that are accounted for in one
centralized (pooled) bank account.
GL 17 GL-17 General Ledger Accounting Ability to account for cash in funds where cash is maintained
separately from the pooled cash bank account and calculation of
interest allocation for pooled funds down to the project (CIP level).
GL 18 GL-18 General Ledger Accounting Ability to close books and prepare complete financial statements for
any month end and / or year-end.
GL 19 GL-19 General Ledger Administration Ability to distinguish account types, i.e., asset, liability, fund equity,
revenue and expenditure.
Updated: 4/7/14 Page 40 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
GL 20 GL-20 General Ledger Reporting Ability to generate subsidiary reconciliation reports, for example;
accounts payable, accounts receivable (Detail by PEID / Fund /
Account # / Invoice Amount For A/P. For A/R, same except
transaction amount, not invoice amount).
GL 21 GL-21 General Ledger Accounting Ability to have more than one cash account.
GL 22 GL-22 General Ledger Accounting Ability to post multiple funds simultaneously.
GL 23 GL-23 General Ledger Accounting Ability to process manual journal entries.
GL 24 GL-24 General Ledger Accounting Ability to process transactions for a prior fiscal year and a current
fiscal year simultaneously before the prior year is closed.
GL 25 GL-25 General Ledger Accounting Ability to specify accounting periods on transactions.
GL 26 GL-26 General Ledger Accounting Allow accrual journal entries to be entered and automatically
reversed on the specified reversal date.
GL 27 GL-27 General Ledger Administration Allow for both batch and online data entry and identification of
source journals with full audit trail.
GL 28 GL-28 General Ledger Journal Entries must be balanced for all accounts and funds before
posting can occur.
GL 29 GL-29 General Ledger Administration Prevent invalid account numbers from being entered.
GL 30 GL-30 General Ledger Administration Prevent the deletion of any account having current year activity,
based of assigned security rights.
GL 31 GL-31 General Ledger Compliance Provide all procedural functions of a governmental fund accounting
system, including governmental (e.g. general fund, special revenue
fund, debt service fund, etc.), proprietary (enterprise and internal
service) and fiduciary fund types and account groups (general long-
term debt and fixed assets).
GL 32 GL-32 General Ledger Accounting Provide automatic generation and posting of journal entries from
Payroll system ensuring balancing and non-duplicate transaction
posting.
GL 33 GL-33 General Ledger Accounting Provide automatic generation of encumbering entries from
Purchasing, ensuring balancing and non-duplicate transaction
posting.
GL 34 GL-34 General Ledger Accounting Provide automatic generation of journal entries from Accounts
Payable ensuring balancing and non-duplicate transaction posting.
GL 35 GL-35 General Ledger Accounting Provide automatic generation of journal entries from Accounts
Receivable ensuring balancing and non-duplicate transaction posting.
GL 36 GL-36 General Ledger Accounting Provide automatic generation of journal entries from Cash Receipts
ensuring balancing and non-duplicate transaction posting.
GL 37 GL-37 General Ledger Accounting Provide automatic generation of journal entries from Fixed Assets
ensuring balancing and non-duplicate transaction posting.
GL 38 GL-38 General Ledger Accounting Provide complete integration with budget so that budget amounts
may be compared with actual amounts.
GL 39 GL-39 General Ledger Administration Provide concurrent processing before the prior period's year is
closed.
GL 40 GL-40 General Ledger Accounting Provide error identification and correction before posting, including
identification of out of balance entries and fund conditions.
GL 41 GL-41 General Ledger Administration Provide the ability to review and edit batches online before
permanent update.
GL 42 GL-42 General Ledger Alerts Provide warning for unbalanced fund entry errors.
Updated: 4/7/14 Page 41 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
GL 43 GL-43 General Ledger Accounting Ability to consolidate accounts for multiple levels of reporting (funds,
departments, projects, etc.).
GL 44 GL-44 General Ledger Reporting Ability to display both pending (not permanently posted) and
encumbrance transaction amounts and descriptions at inquiry or
reporting at the division / project level.
GL 45 GL-45 General Ledger Accounting Provide capability to validate customer information and general
ledger account information at time of data entry and notify if invalid
data.
GL 46 GL-46 General Ledger Ability to make query/inquires to system at any time, regardless of
other jobs being processed.
GL 47 GL-47 General Ledger Administration Ability to map an old account number to a new account number
during account restructuring at beginning of the fiscal year.
GL 48 GL-48 General Ledger Reporting Ability to print and query complete or partial list of the Chart of
Accounts.
GL 49 GL-49 General Ledger Data Collection Ability to query an account number (by date and/or account number
range) and access all related detail transactions through "drill-down
capability", including any scanned backup documentation whether
stored in the G/L or another application.
GL 50 GL-50 General Ledger Reporting Ability to query and produce reports of General Ledger detail
transactions and summary transactions sorted and summarized by
any attribute, including within the Account Number structure and
budget information.
GL 51 GL-51 General Ledger Accounting Ability to reverse a previously posted / updated journal entry. Must
also be able to re-post a journal entry after reversal.
GL 52 GL-52 General Ledger Reporting Ability to select, sort and summarize within any element(s) of the
account number.
GL 53 GL-53 General Ledger Administration Ability to track budget amendments, including identification of date,
budget changes, account transfers, and user.
GL 54 GL-54 General Ledger Accounting Accept journal entries for each generated invoice and for receipt of
revenues from the Accounts Receivable application.
GL 55 GL-55 General Ledger Accounting Accept journal entries for each generated invoice and for receipt of
revenues from the permit application.
GL 56 GL-56 General Ledger Reporting Generate a summary expenditure report by
fund/department/account.
GL 57 GL-57 General Ledger Reporting Generate required comprehensive, formal Financial Reports in proper
format for submission to the Government Finance Officers
Association (GFOA).
GL 58 GL-58 General Ledger Accounting Maintain detailed transaction descriptions on the general ledger for
both system and manually generated journal entries.
GL 59 GL-59 General Ledger Data Collection Must be able to integrate with external software to post cash receipt
information to program / fund / account, including the ability to track
pre-payment of deposits recorded in external software (i.e. Class).
GL 60 GL-60 General Ledger Administration Must validate account number at data entry time even when account
number is not existing, closed or inactive. (Also applies to all
integrated applications.)
GL 61 GL-61 General Ledger Reporting Produce an encumbrance status report.
GL 62 GL-62 General Ledger Administration Prohibit the duplication of data elements during transaction entry.
GL 63 GL-63 General Ledger Reporting Provide a PDF for each system generated Journal Entry (to be used
for backup documentation).
GL 64 GL-64 General Ledger Administration Provide complete integration with Project Accounting at the
transaction level so that accounts in both systems remain in balance
at all times.
Updated: 4/7/14 Page 42 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
GL 65 GL-65 General Ledger Tracking Provide comprehensive inquiry option with drill down capabilities to
access summary information or detail information as needed.
GL 66 GL-66 General Ledger Administration Provide for 13 accounting periods in each fiscal year.
GL 67 GL-67 General Ledger Accounting Provide for balance status at each line item to include budget versus
actual expenditures.
GL 68 GL-68 General Ledger Administration Provide for the automatic update of the Treasury Fund for every cash
transaction entered in the General Ledger.
GL 69 GL-69 General Ledger Administration Provide for the re-opening of a closed period within an open year
(with proper security clearance).
GL 70 GL-70 General Ledger Administration Provide integration with the purchasing module so all encumbrances
are automatically reflected in the General Ledger on a real-time basis.
GL 71 GL-71 General Ledger Administration Provide interactive inquiry to historical information.
GL 72 GL-72 General Ledger Administration Provide on-demand Working Trial Balance, Detail and Summary Trial
Balance Reports by selected Funds.
GL 73 GL-73 General Ledger Reporting Provide Proof and Posting Reports of Cash, Payables, Payroll,
Receivables, and Adjusting Journal Entries prior to posting.
GL 74 GL-74 General Ledger Administration Provide recurring and standard journal entry capability and allow for
modifications.
GL 75 GL-75 General Ledger Administration Provide the ability to roll-over all fiscal year-end encumbrances, i.e.,
open purchase orders, transaction information to the new year and
generate the new year encumbrance and carry-over appropriation in
the General Ledger.
GL 76 GL-76 General Ledger Administration Provide the capability to have closing transactions close to multiple
equity accounts and fund balance accounts within a single fund.
GL 77 GL-77 General Ledger Administration Provide user-initiated month-end and year-end closing automated
procedures / entries.
GL 78 GL-78 General Ledger Administration Provide validation of account number and / or fund balance.
GL 79 GL-79 General Ledger Administration Provide year-end system generated closing transactions for rollover
to new year (e.g., balance sheet accounts, encumbrances, project
information). Allow rollover to be performed multiple times.
GL 80 GL-80 General Ledger Tracking Record detail transactions and history for current and seven prior
fiscal years.
GL 81 GL-81 General Ledger Accounting Require balancing journal entries and balancing of individual funds.
GL 82 GL-82 General Ledger Maintenance The software must record the user for each transaction with date /
time stamp.
GL 83 GL-83 General Ledger Compliance Ability to comply with Generally Accepted Accounting Principles
(GAAP), pronouncements of the Governmental Accounting Standards
Board (GASB), Municipal, State, and Federal reporting requirements.
GL 84 GL-84 General Ledger Compliance Provides full compliance with the GASB-34 requirements, including
reporting.
HR 0
HR Reporting
HR 1 HR-1 HR Reporting Reporting Generate a report for Labels
HR 5 HR-5 HR Reporting Reporting Generate a report for business telephone directory
HR 6 HR-6 HR Reporting Reporting Generate a report to categorize work schedule using user-defined
categories
HR 7 HR-7 HR Reporting Reporting Generate a report for New hires
Updated: 4/7/14 Page 43 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
HR 8 HR-8 HR Reporting Reporting Generate a report for turnover analysis by user-defined criteria
(department, supervisor, location)
HR 9 HR-9 HR Reporting Reporting Generate a report for terminations, promotions, transfers
HR 10 HR-10 HR Reporting Reporting Generate a report for EEO-1, VETS-100
HR 11 HR-11 HR Reporting Reporting Generate a report for headcount/census data positions
HR 12 HR-12 HR Reporting Reporting Generate a report for salary increase planning worksheets
HR 13 HR-13 HR Reporting Reporting Generate government compliance reports
HR 14 HR-14 HR Reporting Reporting Generate a report for distribution of increase by user-defined metrics
HR 15 HR-15 HR Reporting Reporting Generate a report for Employment verifications
HR 16 HR-16 HR Reporting Reporting Generate a report for Personnel actions
HR 17 HR-17 HR Reporting Reporting Generate a report for employee profiles/turnaround document
HR 18 HR-18 HR Reporting Reporting Generate a report for competency assessment scores
HR 19 HR-19 HR Reporting Reporting Generate a succession planning report
HR 20 HR-20 HR Reporting Reporting Generate a report for training enrollments
HR 21 HR-21 HR Reporting Reporting Generate an employee leave-of-absence report
HR 22 HR-22 HR Reporting Reporting Generate a report for Layoffs, layoffs with recall date
HR 23 HR-23 HR Reporting Reporting Generate a report for performance appraisals due
HR 24 HR-24 HR Reporting Reporting Generate a report for vacation eligibility
HR 25 HR-25 HR Reporting Reporting Generate an Interface with organization chart software
HR 27 HR-27 HR Reporting Reporting Generate a report for YTD salary increases by type (merit, promotion,
etc.)
HR 28 HR-28 HR Reporting Reporting Generate a report for applicant summary
HR 29 HR-29 HR Reporting Reporting Automatic/scheduled report generation
HR 30 HR-30 HR Reporting Reporting Download data to other applications for reporting
HR 31 HR-31 HR Reporting Reporting Query database
HR 32 HR-32 HR Reporting Reporting Model data such as job, employee, salary, etc.
HR 33 HR-33 HR Reporting Reporting Easy-to-use report writing tool and user interface w/ on-line help
features
PY 0
Payroll
PY 1 PY-1 Payroll Accounting Allow employment date to be used for accrual calculation purposes;
it should reflect an adjusted hiring date.
PY 2 PY-2 Payroll Compliance Is compliant with PERS calculations and rollups.
PY 3 PY-3 Payroll Compliance Is compliant with labor agreements (including MOUs and/or
contracts) affecting pay and benefits.
PY 4 PY-4 Payroll Compliance Allow for annual (or more frequent, if necessary) updates of W-2
format, tax tables and State and Federal reporting.
Updated: 4/7/14 Page 44 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
PY 5 PY-5 Payroll Reporting Support flexible query functions by transaction (pay or deductions)
by date by employee or group.
PY 6 PY-6 Payroll Reporting Support flexible query functions by earnings register by employee.
PY 7 PY-7 Payroll Administration Support flexible query functions by notes / reasons for pay activity.
PY 8 PY-8 Payroll Compliance Provide for appropriate identification on PERS reports.
PY 9 PY-9 Payroll Tracking Ability to track and report on long term leave (e.g., family and
medical leave, maternity, time off without pay) and reason for leave
without pay.
PY 10 PY-10 Payroll Accounting Ability to calculate leave conversions to include cash conversion.
Eligibility and limitations may vary by employee groups.
PY 11 PY-11 Payroll Accounting Provide for single or multiple employee and employer PERS
deductions per employee per pay period.
PY 12 PY-12 Payroll Compliance Ability to track overtime to comply with current state and federal
regulations.
PY 13 PY-13 Payroll Accounting Provide for accrual of leave hours and other accrual-based benefits,
based on complex formulas and rules that may be unique to each
bargaining unit.
PY 14 PY-14 Payroll Accounting Ability to distinguish between those work hours that accrue for PERS
retirement, versus those that are not “PERS-able”.
PY 15 PY-15 Payroll Administration Ability to increase (overriding) the maximum leave balance for
vacation leave (and other types of leave) that a particular employee
may accrue.
PY 16 PY-16 Payroll Data Collection Ability to transfer banked leave time.
PY 17 PY-17 Payroll Administration Ability to add and adjusting leave balances.
PY 18 PY-18 Payroll Accounting Provide multiple, user-defined leave type accrual rate categories with
ability to set maximum accruals and automatic accrual rate changes
based on user-defined criteria for individual employees or groups of
employees.
PY 19 PY-19 Payroll Accounting Ability to calculate base pay for full-time/part-time employees and
hourly employees.
PY 20 PY-20 Payroll Compliance Ability to calculate special pay, including but not limited to, call-back
pay, on-call pay, phone allowances.
PY 21 PY-21 Payroll Compliance Ability to calculate overtime pay including FLSA compliance and PERS.
PY 22 PY-22 Payroll Accounting Ability to generate One-time bonuses.
PY 23 PY-23 Payroll Accounting Ability to calculate/ project gross-to-net based on changes in
exemptions etc.
PY 24 PY-24 Payroll Administration Ability to maintain employee pay history including (at a minimum)
date of hire, pay change dates, position change dates, special
assignments pay, leave without pay, out of classification, etc.
PY 25 PY-25 Payroll Administration Track salary and performance evaluations. (Include the ability to
store attachments) Number of years of history should be user-
defined.
PY 26 PY-26 Payroll Accounting Ability to adjust (either add or subtract) accrual balances (within
security constraints), for example sick, vacation, or administrative
leaves. Include an audit trail of adjustments.
PY 27 PY-27 Payroll Reporting Provide ability to generate proof lists of all changes prior to
calculation and production of gross and net pay for each payroll
check run.
PY 28 PY-28 Payroll Reporting Provide ability to restart check run with same, or alternate, starting
check numbers if check printing is aborted or checks are damaged.
Updated: 4/7/14 Page 45 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
PY 29 PY-29 Payroll Administration Provide for direct deposit of payroll checks (for any amount up to and
including net pay) to employee's financial institutions.
PY 30 PY-30 Payroll Accounting Provide for employee definition of the allocation of the check to
multiple accounts. If number is limited, vendor to indicate the
number of accounts.
PY 31 PY-31 Payroll Accounting For a fiscal year end payroll, provide for percentage split of General
Ledger and Project Accounting entries.
PY 32 PY-32 Payroll Administration Ability to generate a special check for an employee outside of a
regular payroll cycle and update all employee-related fields.
PY 33 PY-33 Payroll Compliance Provide for adjustments of hours and dollars with appropriate audit
trail.
PY 34 PY-34 Payroll Accounting Provide for void or recalled checks and recalculation of all employee-
related fields.
PY 35 PY-35 Payroll Administration Provide ability for check files to be exported and electronically sent to
the bank - for fraud detection purposes. (Positive Pay)
PY 36 PY-36 Payroll Accounting Provide ability to include in pay, track and report employee
reimbursements such as tuition reimbursement, management
development, licensing, education, footwear, certification, vision,
physicals, etc. with a user-defined maximum.
PY 37 PY-37 Payroll Accounting Provide for employees, who were previously in PERS, to buy back
time pre-tax or post-tax basis.
PY 38 PY-38 Payroll Compliance Provide ability to deduct, track and support flexible spending
accounts as defined by the IRS and City policy.
PY 39 PY-39 Payroll Compliance Provide ability to generate check information for Accounts Payable
(third party) for Tax Liabilities and benefit providers (i.e.
garnishments, deferred compensation, wage assignment payees and
United Way).
PY 40 PY-40 Payroll Accounting Ability to process payroll in bi-weekly pay periods and in different
frequencies (first check of the month, second check of the month,
biweekly, twice-monthly, one-time, etc.) for different earnings codes
and deduction types.
PY 41 PY-41 Payroll Administration Ability for Payroll system to access validated time reported from
automated capture systems and to verify leave balances and
department codes at time of entry.
PY 42 PY-42 Payroll Administration Human Resources and Payroll must share common data so that
information is entered onetime and immediately available to all
users.
PY 43 PY-43 Payroll Compliance Provide for integration with Accounts Payable to create checks for
PERS, Garnishments, Taxes, Benefit Providers, etc…
PY 44 PY-44 Payroll Administration Provide ability for user-defined pay categories.
PY 45 PY-45 Payroll Administration Provide for fixed dollar amounts, fixed rates, and percentages of
other pay types.
PY 46 PY-46 Payroll Administration Provide for Regular Pay.
PY 47 PY-47 Payroll Compliance Provide for Overtime Pay.
PY 48 PY-48 Payroll Administration Provide for Jury Duty.
PY 49 PY-49 Payroll Administration Provide for Bereavement.
PY 50 PY-50 Payroll Administration Provide for Worker's Compensation.
PY 51 PY-51 Payroll Administration Provide for Leave Without Pay.
PY 52 PY-52 Payroll Administration Provide for Holiday Pay.
Updated: 4/7/14 Page 46 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
PY 53 PY-53 Payroll Compliance Provide for FSLA Pay, Matron, Special Assignment, Traffic Stipend,
Watch Commander, Shift Differential, Sick Leave, Management Pay,
General Pay (different from regular).
PY 54 PY-54 Payroll Compliance Provide for inclusion / exclusion of pay in PERS and tax calculations.
PY 55 PY-55 Payroll Maintenance Provide ability for user-defined groups of employees to apply
common pay types, benefits types, and deduction types for each
group. If there is a limited number, vendor to indicate maximum
number of user-defined groups.
PY 56 PY-56 Payroll Accounting Provide ability for calculating disposable income that is used in
determining garnishment amount(s) as defined by user.
PY 57 PY-57 Payroll Tracking Provide ability to support and track user-defined (fixed dollar amount
and percentage based) deduction categories.
PY 58 PY-58 Payroll Accounting Provide for the establishment of a maximum dollar or maximum
wage base per deduction for a specified period (i.e. one pay period,
one year, five years).
PY 59 PY-59 Payroll Accounting Provide for establishment of a maximum lifetime deduction amount
for a specific category (e.g., garnishments, PERS payback
contributions, FICA, overpayment amounts, etc.).
PY 60 PY-60 Payroll Tracking Provide ability to support and track user-defined benefit categories.
PY 61 PY-61 Payroll Administration Provide for the establishment of a maximum dollar or wage base for
benefit.
PY 62 PY-62 Payroll Administration Provide for the definition of inclusion / exclusion of benefits in PERS
and tax calculations.
PY 63 PY-63 Payroll Administration Provide for user-defined calculations (e.g., Life insurance premium
based on annual salary rounded up to nearest thousand).
PY 64 PY-64 Payroll Tracking Provide ability to support and track both employee and employer
benefit costs. Must allow for multiple benefit tiers. If there is a
limited number of benefits, vendor to indicate maximum number of
user-defined benefit categories.
PY 65 PY-65 Payroll Administration Provide for user-defined multiple-step wage rates or benefit options
for employee group, job type, or employee.
PY 66 PY-66 Payroll Administration Ability to change wage or benefit amounts individually or by groups
by a stated percentage or a specified amount or table by category
(e.g. married or single, management, etc.) with effective dates to
allow for entry previous to the required date. If limited, vendor to
indicate maximum number.
PY 67 PY-67 Payroll Administration Provide ability to accommodate user-defined wage multipliers (e.g.,
time and a half, triple time and a half, etc.) and calculate
Compensatory time earned based upon user-defined formula.
PY 68 PY-68 Payroll Tracking Provide ability to track time earned by date earned, with caps by
individual or job class or labor group.
PY 69 PY-69 Payroll Compliance Must comply with all Federal and State of California requirements.
PY 70 PY-70 Payroll Compliance Provide ability to enter flat and/or % tax amounts in addition to
automatic tax calculation for same check.
PY 71 PY-71 Payroll Administration Provide ability for certain groups of employees or individuals to be
included / excluded from Social Security, Medicare, and / or PERS.
PY 72 PY-72 Payroll Administration Provide ability for payroll processing restart capability without
requiring data re-entry or restarting at the beginning of the process.
PY 73 PY-73 Payroll Accounting Provide ability to calculate leave accrual payoff amounts at the rate
specified by employer.
PY 74 PY-74 Payroll Administration Provide for entry of termination information (reason and date).
Provide ability to produce payoff report by employee.
Updated: 4/7/14 Page 47 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
PY 75 PY-75 Payroll Accounting Provide calculations for Overtime required by FLSA regulations,
MOUs and personnel rules and regulations.
PY 76 PY-76 Payroll Administration Provide for a Deferred Compensation Plan with multiple providers,
variable contribution rates, and variable limits for employee and
employer.
PY 77 PY-77 Payroll Administration Must allow for annual limitations (multiple programs e.g., catch up
plan) over multiple providers.
PY 78 PY-78 Payroll Compliance Must meet all current and future federal requirements.
PY 79 PY-79 Payroll Accounting Provide for the calculation of retroactive pay, taxes, benefits
deductions and PERS calculation (with ability to add notes / reasons).
PY 80 PY-80 Payroll Administration Provide ability to enter pre-dated or post-dated effective dates for
pay changes calculations.
PY 81 PY-81 Payroll Accounting Ability to calculate leave balances in terms of hours and
corresponding dollars.
PY 82 PY-82 Payroll Reporting Support flexible query functions by leave balances, usage maximums.
PY 83 PY-83 Payroll Reporting Support flexible query functions by vacation tiers /maximums.
PY 84 PY-84 Payroll Compliance Support flexible query functions for retrieving W-2
PY 85 PY-85 Payroll Compliance Provide ability to manually override tax calculations for an individual
(i.e. large payoff check).
PY 86 PY-86 Payroll Administration Provide ability to set which pay period a benefit/deduction is to be
taken.
PY 87 PY-87 Payroll Reporting Provide total compensation report including all pay, cost of benefits,
and reimbursements to and by employees. Report should be
generated in a variety of ways including but not limited to by
employee, by department.
PY 88 PY-88 Payroll Notices Provide ability to obtain notification of hourly employees who are
reaching the annual limit.
PY 89 PY-89 Payroll Administration Provide for the projection of salaries (including vacant positions) in a
variety of ways, including but not limited to: by individual,
classification, department and / or Citywide, based on the projected
awarding of salary increases and bonuses.
PY 90 PY-90 Payroll Reporting Provide statistical analysis of total compensation (i.e., salary,
bonuses, benefits, etc.) within the City and with other governmental
organizations and private sector companies.
PY 91 PY-91 Payroll Administration Ability to search on due date of next pay increase.
PY 92 PY-92 Payroll Compliance Capture information related to FMLA, PDL, CFRA, unpaid leave,
Worker’s Compensation and City leave policy.
PY 93 PY-93 Payroll Provide a maximum accrual of leave benefits with ability to alert
employees that are approaching the maximum.
PY 94 PY-94 Payroll Compliance Track information related to FMLA, PDL, CFRA, unpaid leave,
Worker’s Compensation and City leave policy in a variety of ways
including but not limited to leave type, beginning and ending dates,
and number of hours used.
PY 95 PY-95 Payroll Compliance Track and report on unemployment compensation processing and
payments.
PY 96 PY-96 Payroll Provide a detailed report of employee pay and benefits in a form
suitable for providing an employee.
PY 97 PY-97 Payroll Tracking Ability to search on date and % of last merit increase.
PY 98 PY-98 Payroll Tracking Ability to search on date and % of last COLA increase.
Updated: 4/7/14 Page 48 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
PM 0
Performance
PM 1 PM-1 Performance Administration Ability to process Payroll and HR functions when rules are different
for each area (i.e. payroll needs benefit deductions bi-monthly and
HR needs the premiums calculated monthly).
If there is a limited number of deductions, vendor to indicate
maximum number of user-defined deduction categories in comments.
(The system must be able to allow for deduction codes, and memo
deduction codes.)
PM 2 PM-2 Performance Maintenance Provide for maintenance of multiple iterations of performance review
information including but not limited to the review period starting
and ending dates, ratings, a reason code for the review, current
salary or step, and classification in which the employee was working
during the review period.
PM 3 PM-3 Performance Maintenance Provide capability to electronically send employee reviews to
supervisors through workflow process.
PM 4 PM-4 Performance Provide for a City of Carmel-by-the-Sea defined employee review
schedule.
PM 5 PM-5 Performance Reporting Provide a report / electronic message of employee reviews that are
past due a user-specified period of time.
PM 6 PM-6 Performance Reporting Print out employee reviews due by department.
PM 7 PM-7 Performance Tracking Ability to search on due date of next performance review.
PM 8 PM-8 Performance Tracking Ability to search on performance reviews past due.
PM 9 PM-9 Performance Reporting Generate reports and / or online inquiry for awards in a variety of
ways such as by type of award, employee name, and/or year of
award.
PM 10 PM-10 Performance Maintain Effective date promotion/demotion data
PM 11 PM-11 Performance Maintain Amount of pay change ($ and %) promotion/demotion data
PM 12 PM-12 Performance Maintain Reason for promotion/demotion
PM 13 PM-13 Performance Maintain Determine next salary review date automatically
PM 14 PM-14 Performance Maintain master list of competencies
PM 15 PM-15 Performance Maintain goals and development plans
PM 16 PM-16 Performance Tracks progress on goals and development plans
PM 17 PM-17 Performance Link training requirements to performance appraisals
PM 18 PM-18 Performance Performance management analysis to help supervisors create “ideal”
job profiles
PM 19 PM-19 Performance Gap analysis based on “ideal” job profiles
PM 20 PM-20 Performance Populate pre-defined performance criteria as a basis for performance
planning
PM 21 PM-21 Performance Maintain information pertaining to an employee’s performance:
review type, appraisal date, employee approval date, name of
manager(s) completing appraisal, performance level/score/rating,
training programs required
PM 22 PM-22 Performance Display both supervisor and employee ratings for a given
competency, goal, or objective
PM 23 PM-23 Performance Ability to handle goal cascading based on corporate goals
Updated: 4/7/14 Page 49 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
PM 24 PM-24 Performance Maintain and track disciplinary action/probation periods
PM 25 PM-25 Performance Maintain unlimited performance appraisal history
PM 26 PM-26 Performance Provide the ability for multiple reviewers, including 360 degree
reviews
PM 27 PM-27 Performance Provide a note field for Manager/Supervisor to keep notes on an
employee's performance throughout the year
PM 28 PM-28 Performance Provide the ability for multiple reviewers
PM 29 PM-29 Performance Maintain position and job evaluation data
PM 30 PM-30 Performance Link review information with actual review document in word
PM 31 PM-31 Performance Provide multiple review date fields for varying review types
PM 32 PM-32 Performance Track EPR status by manager
PM 33 PM-33 Performance Provide ability for employee to perform self-evaluation via employee
self‑service funtions online
PC 0
Position Control
PC 1 PC-1 Position Control Track job classifications by: History, Job Class #, Title, Salary Range,
Bargaining Unit, Exempt Status, EEO Codes, Job Group, Safety Class,
Vacation Plan
PC 2 PC-2 Position Control Searchable text field for tracking notes, including effective date,
resolution #, change % and bargaining units
PC 3 PC-3 Position Control Create, allocate, and maintain budgeted positions
PC 4 PC-4 Position Control Generate organization charts by position
PC 5 PC-5 Position Control Perform mass changes (add/delete/modify) for positions
PC 6 PC-6 Position Control Track up to 3 assignments per employee. (including volunteers, and
contractors)
PC 7 PC-7 Position Control Track assignments by position, job code, and level
PC 8 PC-8 Position Control Track Employees personal information including: Home Address,
Mailing Address, SSN, Gender, Ethnicity, Tracking Dates, Hiring Date,
Leave accrual date, and special allowances
PC 9 PC-9 Position Control
Identify rules attached to assignments
PC 10 PC-10 Position Control
Track rules applied to positions
PC 11 PC-11 Position Control
Track temporary position fills for LOA
PC 12 PC-12 Position Control Notification workflow regarding expiration of assignments/contracts
PC 13 PC-13 Position Control Report vacancy by job class
PC 14 PC-14 Position Control Report vacancy by bargaining unit
PC 15 PC-15 Position Control Report vacancy by department
PC 16 PC-16 Position Control Report vacancy by funding source
PC 17 PC-17 Position Control Track position funding source by: general, special revenue fund,
grant, user defined
PC 18 PC-18 Position Control Report vacancy by status (funded vs. unfunded)
Updated: 4/7/14 Page 50 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
PC 19 PC-19 Position Control Report vacancy by work location
PC 20 PC-20 Position Control Report vacancy by user-defined work locations
PC 21 PC-21 Position Control Track the history of position and authorization effective date
PC 22 PC-22 Position Control Capture expiration dates for positions (auto-notification)
PC 23 PC-23 Position Control Allow text field to capture notes and authorization effective date
PC 24 PC-24 Position Control Track flexible positions that can be filled by multiple levels
PC 25 PC-25 Position Control Track regular vs. contract, extra help status
PC 26 PC-26 Position Control Ability to flag positions as funded or unfunded
PC 27 PC-27 Position Control Workflow based on funding source
PC 28 PC-28 Position Control Workflow to approve if position is unfunded
PC 29 PC-29 Position Control Track separations by date and reason
PC 30 PC-30 Position Control Prompt exit interview survey for voluntary separations
PC 31 PC-31 Position Control Workflow notifying Benefits, Unemployment, IT, etc for notifications
regarding separation details
PC 32 PC-32 Position Control Report Biweekly staffing by program / division / subdivision
PC 33 PC-33 Position Control Report Biweekly staffing by department
PC 34 PC-34 Position Control Report Contractors job assignment expiring
PC 35 PC-35 Position Control Report Full-time equivalents by % allocated
PC 36 PC-36 Position Control Report Full-time equivalent averages by fiscal year
PC 37 PC-37 Position Control ReportTurnover by base class
PC 38 PC-38 Position Control ReportTurnover summary countywide
PC 39 PC-39 Position Control Report Turnover summary by supervisor
PC 40 PC-40 Position Control Report Turnover summary by location
PC 41 PC-41 Position Control Report Part-time employees
PC 42 PC-42 Position Control Report Staffing vacancies
PC 43 PC-43 Position Control Report Staffing vacancies by job class
PC 44 PC-44 Position Control Report Bargaining unit group changes
PC 45 PC-45 Position Control Report Bargaining unit overtime eligibility
PC 46 PC-46 Position Control Report Average salary analysis
PC 47 PC-47 Position Control Report Employee count per job class
PC 48 PC-48 Position Control Report Employee count by bargaining unit
Updated: 4/7/14 Page 51 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
PC 49 PC-49 Position Control Report Employee count per job class by division/subdivision/program
PC 50 PC-50 Position Control Report Employee residence locations
PC 51 PC-51 Position Control Report Position allocation
PC 52 PC-52 Position Control Report Position to Assignment reconciliation
PC 53 PC-53 Position Control Report Positions by Base Job Class
PU 0
Purchasing
PU 1 PU-1 Purchasing Administration Ability to assign / process inspections to goods received.
PU 2 PU-2 Purchasing Administration System should log all communications to vendors.
PU 3 PU-3 Purchasing Administration Allow supporting document images to be attached to the Purchase
Order record.
PU 4 PU-4 Purchasing Maintenance Allow for adjustments to a PO after receipt of goods or services.
PU 5 PU-5 Purchasing Maintenance Provide the ability to change a purchase order up to the filling of the
purchase order.
PU 6 PU-6 Purchasing Administration Provide the ability to change purchase orders after the printing of the
purchase order.
PU 7 PU-7 Purchasing Accounting Ability to enter chargebacks or credit memos against a purchase
order.
PU 8 PU-8 Purchasing Accounting Ability to support blanket purchase orders with maximum dollar or
quantity allowed
PU 9 PU-9 Purchasing Administration Ability to link funding sources to specific purchase orders.
PU 10 PU-10 Purchasing Administration The ability to allow on-line receiving and updating of P/O.
PU 11 PU-11 Purchasing Administration The ability to allow user departments to view open P/O online.
PU 12 PU-12 Purchasing Tracking Ability to track purchase orders and payments issued against blanket
orders.
PU 13 PU-13 Purchasing Accounting Ability for multiple budgetary accounts to be applied to purchase
order line item by dollar amount and/or percentage allocation.
PU 14 PU-14 Purchasing Administration Ability to process changes to purchase orders without having to re-
enter purchasing information (with system controls).
PU 15 PU-15 Purchasing Accounting Allow multiple account entries to pay a single P/O.
PU 16 PU-16 Purchasing Notices Ability to allow for text to be applied to requisitions and purchase
orders at the header and line item level.
PU 17 PU-17 Purchasing Administration Ability to determine workflow process based on dollar purchasing
thresholds.
PU 18 PU-18 Purchasing Administration Ability to recombine requisitions into purchase orders with a “many-
to-many relationship” between requisitions and purchase orders.
PU 19 PU-19 Purchasing Administration Ability to classify purchase orders by type (such as professional
services contracts) and subtype.
PU 20 PU-20 Purchasing Maintenance Ability to set up a purchase order to span multiple fiscal years for
multi-year contracts.
PU 21 PU-21 Purchasing Administration Ability to electronically transmit P/Os to vendors.
PU 22 PU-22 Purchasing Alerts Ability to alert the manager of a program or cost center when a
purchase order is released against that program or cost center.
Updated: 4/7/14 Page 52 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
PU 23 PU-23 Purchasing Administration Ability to either automatically assign a new purchase order number
or manually assign an existing purchase order number.
PU 24 PU-24 Purchasing Notices Ability to mark purchase orders so that vendors do not mistake a
change order as a new purchase order.
PU 25 PU-25 Purchasing Administration Provide for online, real-time receiving of goods into the Purchasing
system.
PU 26 PU-26 Purchasing Administration Provide real time update to inventory master file.
PU 27 PU-27 Purchasing Administration Update Purchase Order status.
PU 28 PU-28 Purchasing Administration Indicate if item is a fixed asset item.
PU 29 PU-29 Purchasing Administration Provide for the receipt of partial line items.
PU 30 PU-30 Purchasing Administration Ability to set up vendor payment methods including electronic
payments.
PU 31 PU-31 Purchasing Administration Ability to check for and prevent duplicate entries in the vendor
master file.
PU 32 PU-32 Purchasing Administration Provide an integrated vendor master to be shared, at a minimum, by
the Purchasing and Accounts Payable.
PU 33 PU-33 Purchasing Tracking Record and track Vendor Number (unique).
PU 34 PU-34 Purchasing Tracking Record and track Vendor name.
PU 35 PU-35 Purchasing Tracking Record and track Vendor Commodity Codes.
PU 36 PU-36 Purchasing Tracking Record and track Vendor SIC Code.
PU 37 PU-37 Purchasing Tracking Record and track Vendor Status / Type (e.g. Contractor, Professional
Services, etc.).
PU 38 PU-38 Purchasing Tracking Record and track 1099 status.
PU 39 PU-39 Purchasing Tracking Record and track W-9 received.
PU 40 PU-40 Purchasing Tracking Record and track Business Location.
PU 41 PU-41 Purchasing Tracking Record and track Business License.
PU 42 PU-42 Purchasing Tracking Record and track Bidder / Vendor list status code.
PU 43 PU-43 Purchasing Tracking Record and track Minority Code.
PU 44 PU-44 Purchasing Tracking Record and track Multiple Contact Names.
PU 45 PU-45 Purchasing Tracking Record and track Multiple Addresses.
PU 46 PU-46 Purchasing Tracking Record and track Multiple Phone Numbers.
PU 47 PU-47 Purchasing Tracking Record and track Multiple Fax Numbers.
PU 48 PU-48 Purchasing Tracking Record and track Multiple email Addresses.
PU 49 PU-49 Purchasing Tracking Record and track notes.
PU 50 PU-50 Purchasing Maintenance Provide the ability to maintain / update multiple name changes
(d.b.a./a.k.a.).
PU 51 PU-51 Purchasing Administration Provide for multiple addresses per vendor (must support non-USA
addresses) with a minimum of four addresses.
PU 52 PU-52 Purchasing Tracking Provide for tracking performance of vendor (e.g., on-time shipments,
etc.).
Updated: 4/7/14 Page 53 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
PU 53 PU-53 Purchasing Reporting Provide the ability to print a listing of commodity codes for which a
vendor is registered.
PU 54 PU-54 Purchasing Administration Provide the ability to register an unlimited number of Commodity
codes with vendor. Commodity Code to be a minimum of ten digits
PU 55 PU-55 Purchasing Administration Ability to contact selected vendors via e-mail.
PU 56 PU-56 Purchasing Administration Provide the ability to show vendor responses to bids and quotes and
to place vendors on the inactive status.
PU 57 PU-57 Purchasing Administration Provide the ability to fax or e-mail a bid request, purchase order, or
change order to the vendor directly from the purchase order system.
PU 58 PU-58 Purchasing Administration Provide the ability to calculate taxes automatically based on taxability
of line item and pre-established Sales Tax rate from Vendor File.
PU 59 PU-59 Purchasing Tracking Ability to track expenditures by commodity code, vendor, unit, dept.
and total.
PU 60 PU-60 Purchasing Administration Ability to provide commodities selection by dollar value and number
of items purchased year-to-date as well as for previous two (2) years.
PU 61 PU-61 Purchasing Notices Ability to automatically flag fixed assets at the time when the
purchase order is encumbered.
PU 62 PU-62 Purchasing Administration Ability to electronically route and approve requisitions and purchase
orders completed on-line.
PU 63 PU-63 Purchasing Administration Ability to provide for immediate printing of the purchase order after
all approvals by authorized personnel.
PU 64 PU-64 Purchasing Tracking Utilize electronic workflow to process, track, edit, review, or approve
invoices / vouchers. If disapproved, provide reason code why.
PU 65 PU-65 Purchasing Administration Ability to provide on-line access to City bids, preferred vendors, state
contracts and contract terms so the user knows what options are
PU 66 PU-66 Purchasing Notices Ability to flag user if item, unit quantity, or price does not match
contract terms.
PU 67 PU-67 Purchasing Reporting Generate report for Contractor Payees (alpha or numerical).
PU 68 PU-68 Purchasing Reporting Generate report for Contractor Listing.
PU 69 PU-69 Purchasing Reporting Generate report for Contractors by bond year.
PU 70 PU-70 Purchasing Reporting Generate report for Contractor Liability.
PU 71 PU-71 Purchasing Reporting Generate report for Contractor Audit Trail.
PU 72 PU-72 Purchasing Reporting Generate report for Current contracts.
PU 73 PU-73 Purchasing Reporting Generate report for All contracts.
PU 74 PU-74 Purchasing Reporting Allow optional printing of Purchase Orders one at a time, all at once,
within date range, department range, or account number range for a
specific vendor.
PU 75 PU-75 Purchasing Reporting Ability to provide up-to-the-minute purchasing reports showing
goods requested versus goods ordered and available balance.
PU 76 PU-76 Purchasing Tracking System must provide ability to track open, partial paid and completed
Requisitions and Purchase Orders. Reports must provide information
PU 77 PU-77 Purchasing Reporting Provide an open purchase order report by last activity date - by
department / program.
Updated: 4/7/14 Page 54 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
PU 78 PU-78 Purchasing Notices Print PO cancellation notice upon request.
PU 79 PU-79 Purchasing Administration Ability to query by full or partial Vendor name.
PU 80 PU-80 Purchasing Administration Ability to query by full or partial Phone Number.
PU 81 PU-81 Purchasing Administration Ability to query by full or partial Address.
PU 82 PU-82 Purchasing Administration Ability to query by full or partial Term Agreement Number.
PU 83 PU-83 Purchasing Administration Ability to query by full or partial Spec Number.
PU 84 PU-84 Purchasing Reporting Provide the ability to print mailing address labels of selected vendors.
PU 85 PU-85 Purchasing Reporting Provide for sort and print list of vendors by various data elements in
the vendor master file. Include at a minimum the name, address,
PU 86 PU-86 Purchasing Administration Provide for the ability to query the vendor master file by any field.
PU 87 PU-87 Purchasing Administration Provide search by Partial Name and "Contains." This vendor inquiry
capability should also be available within the normal purchase order
and/or invoice processing.
PU 88 PU-88 Purchasing Data Collection Provide for automatic transfer of purchasing information to Accounts
Payable (e.g., vendor, address, amount, P/O, number, etc.).
PU 89 PU-89 Purchasing Administration Ability to validate funds availability for Requisition and Purchase
Order transactions. Allow override capability.
PU 90 PU-90 Purchasing Administration Provide for the encumbrance of related General Ledger accounts for
a Purchase Order transaction.
PU 91 PU-91 Purchasing Accounting Provide for automatic update of assets file for items received and
charged to a fixed asset G/L account.
PU 92 PU-92 Purchasing Maintenance Provide the ability to support the generation of purchase orders from
the requisition process.
PU 93 PU-93 Purchasing Administration Allow for the combining of requisitions into a single purchase order.
PU 94 PU-94 Purchasing Administration Allow items to be split from requisitions to multiple purchase orders.
PU 95 PU-95 Purchasing Administration Ability to create and support on-line, real-time Purchase Orders.
PU 96 PU-96 Purchasing Tracking Record and track Purchase Order Number
PU 97 PU-97 Purchasing Tracking Record and track Requisition Number
PU 98 PU-98 Purchasing Tracking Record and track Ship to Address
PU 99 PU-99 Purchasing Tracking Record and track Date of Purchase Order
PU 100 PU-100 Purchasing Tracking Record and track Vendor Name
PU 101 PU-101 Purchasing Tracking Record and track Vendor Address
PU 102 PU-102 Purchasing Tracking Record and track Bill to address
PU 103 PU-103 Purchasing Tracking Record and track Vendor contact
PU 104 PU-104 Purchasing Tracking Record and track City contact
PU 105 PU-105 Purchasing Tracking Record and track Delivery Date
Updated: 4/7/14 Page 55 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
PU 106 PU-106 Purchasing Tracking Record and track Shipping Terms
PU 107 PU-107 Purchasing Tracking Record and track Total Costs
PU 108 PU-108 Purchasing Tracking Record and track Total Sales Tax
PU 109 PU-109 Purchasing Tracking Record and track Total Shipping Charges
PU 110 PU-110 Purchasing Tracking Record and track P.O. Total Costs
PU 111 PU-111 Purchasing Tracking Record and track Payment Terms
PU 112 PU-112 Purchasing Tracking Record and track Multiple G/L accounts per line item
PU 113 PU-113 Purchasing Tracking Record and track Notes for Purchase Order
PU 114 PU-114 Purchasing Administration Provide the ability to charge a single purchase order line to multiple
accounts by percentage or dollar amount. Automatic void by
PU 115 PU-115 Purchasing Administration Provide the ability to include delivery date, leave delivery date blank,
or add a default delivery date.
PU 116 PU-116 Purchasing Tracking Ability to track and report on cooperative purchasing (e.g.CMAS).
PU 117 PU-117 Purchasing Administration Provide the ability to view Requisition and Purchase Order status at
all stages of the requisition - payables process.
PU 118 PU-118 Purchasing Tracking Allow for inquiry for receiving status / payment status.
PU 119 PU-119 Purchasing Administration Allow an entire Purchase Order to be canceled and un-encumber the
funds after the cancellation has been entered with proper
PU 120 PU-120 Purchasing Tracking Allow inquiry of Purchase Order information by any field.
PU 121 PU-121 Purchasing Data Collection Provide for the ability to query purchase orders, requisitions and
encumbrances from any workstation, within security constraints
PU 122 PU-122 Purchasing Tracking Record and track Contract Performance.
PU 123 PU-123 Purchasing Accounting Ability to support contract purchase orders by the calculation and
tracking of project-to-date retention amounts, and release of
PU 124 PU-124 Purchasing Administration Provide online approval (with security control) of purchase orders.
PU 125 PU-125 Purchasing Administration Provide for the receipt of a user-defined dollar amount limit based
upon purchase type (goods, services, equipment, fixed assets) over
PU 126 PU-126 Purchasing Tracking Record and track Status (Active, Inactive or Suspended).
PU 127 PU-127 Purchasing Administration Record and track Multiple PO numbers.
PU 128 PU-128 Purchasing Administration Provide the ability to establish user authorization levels and the
online processing of requisitions.
PU 129 PU-129 Purchasing Administration Record and track Requisition number.
PU 130 PU-130 Purchasing Administration Record and track Terms and Conditions.
PU 131 PU-131 Purchasing Administration Record and track Requisition type.
Updated: 4/7/14 Page 56 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
PU 132 PU-132 Purchasing Administration Record and track Requesting division.
PU 133 PU-133 Purchasing Administration Record and track General remarks / purpose.
PU 134 PU-134 Purchasing Administration Record and track Date of requisition.
PU 135 PU-135 Purchasing Administration Record and track Delivery date required.
PU 136 PU-136 Purchasing Administration Record and track Suggested vendor.
PU 137 PU-137 Purchasing Tracking Ability to track vendor insurance, performance bond, licenses and
certifications that apply to a purchase order, as well as tracking
vendor compliance with those requirements.
PU 138 PU-138 Purchasing Administration Generate the Purchase Order number (minimum of seven
alphanumeric characters). Format should be different from
PU 139 PU-139 Purchasing Administration Allow for receipt of goods at multiple locations.
PU 140 PU-140 Purchasing Administration Ability to subdivide a vendor into multiple branches or remittance
addresses, so that when a vendor is selected for a purchase order,
PU 141 PU-141 Purchasing Administration Provide the ability to allow vendors to register online.
PU 142 PU-142 Purchasing Notices Ability to flag specific vendor master file based on various statuses:
i.e. Payments on hold or inactive.
PU 143 PU-143 Purchasing Administration Ability to transfer items from one requisition to another requisition.
PU 144 PU-144 Purchasing Accounting Allow for the amount on the Purchase Order line item to be negative.
PU 145 PU-145 Purchasing Accounting Provide for the accounting of the purchasing and sales of investments
and related earnings / losses.
PU 146 PU-146 Purchasing Reporting Record and track Renewal Periods.
PU 147 PU-147 Purchasing Administration Support (at a minimum) multiple authorization levels at the
department / program, including: supervisor, cost center manager,
and Department Head.
PU 148 PU-148 Purchasing Administration Provide the ability to generate electronic requisitions by multiple end-
users from their locations (within security constraints).
PU 149 PU-149 Purchasing Administration Allow for requisition rejection and / or revision by various levels of
approval authority (i.e., Budget, Information Technology, etc.). All PU 150 PU-150 Purchasing Notices System supports on-line, real-time requisitions information.
PU 151 PU-151 Purchasing Accounting Record and track Estimated dollar amount.
PU 152 PU-152 Purchasing Accounting Record and track Sales tax rate.
PU 153 PU-153 Purchasing Accounting Record and track Shipping charges.
PU 154 PU-154 Purchasing Accounting Record and track Requisition total.
PU 155 PU-155 Purchasing Administration Record and track primary and secondary (sub) contractors for a
contractor.
PU 156 PU-156 Purchasing Administration Record and track Vendor contact.
PU 157 PU-157 Purchasing Administration Record and track City contact.
PU 158 PU-158 Purchasing Administration Record and track Bill To address.
PU 159 PU-159 Purchasing Administration Record and track Ship To address.
Updated: 4/7/14 Page 57 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
PU 160 PU-160 Purchasing Accounting Record and track Prompt payment discount.
PU 161 PU-161 Purchasing Administration Record and track G/L account number(s).
PU 162 PU-162 Purchasing Administration Record and track Bid / Contract number.
PU 163 PU-163 Purchasing Administration Record and track Approvals.
PU 164 PU-164 Purchasing Data Collection Permit elective conversion of the requisition to a Purchase Order as
authorized by the Purchasing Officer.
PU 165 PU-165 Purchasing Administration Provide system assigned requisition number (minimum of five
characters). Format should be different from the P.O.
PU 166 PU-166 Purchasing Accounting Record and track participation (percent of project or fees) of
secondary (sub) contractors.
PU 167 PU-167 Purchasing Administration Provide a minimum of 999 line items per requisition.
PU 168 PU-168 Purchasing Administration Requisition data must include Line item number.
PU 169 PU-169 Purchasing Administration Requisition data must include G/L account number, including project
or work order number (allow multiples).
PU 170 PU-170 Purchasing Administration Provides data field for Description.
PU 171 PU-171 Purchasing Alerts Provides data field for Fixed asset flag.
PU 172 PU-172 Purchasing Administration Provides data field for Quantity.
PU 173 PU-173 Purchasing Administration Provides data field for Unit price.
PU 174 PU-174 Purchasing Administration Provides data field for Unit of measure.
PU 175 PU-175 Purchasing Administration Provides data field for Extended price.
PU 176 PU-176 Purchasing Compliance Provides data field for Taxable code.
PU 177 PU-177 Purchasing Administration Record and track construction projects.
PU 178 PU-178 Purchasing Accounting Provide the ability to charge a single requisition line item to multiple
G/L accounts (at a minimum of 100) by percentage or dollar
PU 179 PU-179 Purchasing Administration Ability to add vendors to the vendor file during the requisition
process (to be certified later by Purchasing).
PU 180 PU-180 Purchasing Administration Provide the ability to include predefined or general remarks to print
on the Requisition or Purchase Order. PU 181 PU-181 Purchasing Accounting Allow a requisition's line item amount to be negative.
PU 182 PU-182 Purchasing Accounting Allow retentions to be calculated and distributed (into multiple GL
accounts) by line item.
PU 183 PU-183 Purchasing Administration Allow routing of requisition to different departments/programs
(defined by Purchasing).
PU 184 PU-184 Purchasing Administration During requisition, entry and budget dollars are not available; allow
(within security constraints) an override.
PU 185 PU-185 Purchasing Administration Provide the ability to attach supporting documentation to the
Requisition record.
PU 186 PU-186 Purchasing Reporting Allow recording, reporting, retrieval and editing of recurring
requisitions and assign a new number.
PU 187 PU-187 Purchasing Ability to sort requisitions by a variety of fields such as date, vendor,
division and commodity code.
PU 188 PU-188 Purchasing Accounting Ability to check fund balance, account balance and term agreements
at time of requisition entry and generate an error message with
reason code.
Updated: 4/7/14 Page 58 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
PU 189 PU-189 Purchasing Administration Record and track Primary/secondary vendor.
PU 190 PU-190 Purchasing Administration Record and track Vital contract information.
PU 191 PU-191 Purchasing Administration Record and track SLA Period - Beginning, End, Effective dates.
PU 192 PU-192 Purchasing Administration Record and track SLA Number.
PU 193 PU-193 Purchasing Compliance Record and track SLA Performance Measurement.
PU 194 PU-194 Purchasing Administration Record and track Status (Active, Inactive or Suspended).
PU 195 PU-195 Purchasing Administration Record and track Renewal Periods.
PU 196 PU-196 Purchasing Administration Record and track Terms and Conditions.
PU 197 PU-197 Purchasing Administration Provide all procedural functions of an encumbrance system including
verification of budget availability before accepting invoice and
purchase order transactions (require authorization when funds are
PU 198 PU-198 Purchasing Tracking Record and track Multiple contracts/Service agreements per vendor.
PU 199 PU-199 Purchasing Tracking Record and track Maintain primary and secondary subcontractors for
a contractor.
PU 200 PU-200 Purchasing Tracking Record and track Amendments / Change orders.
PU 201 PU-201 Purchasing Tracking Ability to Track contract retention amounts / escrow accounts.
PU 202 PU-202 Purchasing Administration Ability to Relate contracts to projects.
PU 203 PU-203 Purchasing Administration Ability to Contract cost distribution across departments.
PU 204 PU-204 Purchasing Tracking Ability to track Multiple Contract Revenue (Funding sources).
PU 205 PU-205 Purchasing Administration Ability to handle Amendments / Change orders.
PU 206 PU-206 Purchasing Tracking Ability to track Council approval date.
PU 207 PU-207 Purchasing Tracking Record and track Primary / secondary vendor information.
PU 208 PU-208 Purchasing Administration Provide the ability to partially or fully liquidate encumbrances at time
of payment vouching.
PU 209 PU-209 Purchasing Administration Ability to attach the contract document image to the record (link to
file name in imaging system - currently SIRE). PU 210 PU-210 Purchasing Tracking Ability to track orders against a contract.
PU 211 PU-211 Purchasing Tracking Ability to track usage of contract by department.
PU 212 PU-212 Purchasing Administration Ability to alert departments regarding termination of contracts.
PU 213 PU-213 Purchasing Tracking Ability to track construction contracts.
PU 214 PU-214 Purchasing Tracking Ability to track materials and supplies contracts
Updated: 4/7/14 Page 59 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
PU 215 PU-215 Purchasing Tracking Ability to track services contracts
PU 216 PU-216 Purchasing Tracking Ability to track items received and the recording of goods returned to
the vendor.
PU 217 PU-217 Purchasing Tracking Ability to track vendor performance, quality of product delivered and
timeliness of delivery.
PU 218 PU-218 Purchasing Administration Provide the ability to revise amount and account distribution of
original encumbrance.
PU 219 PU-219 Purchasing Administration Provide automatic system reconciliation / equality of outstanding
encumbrances (debit entries) with encumbrance liabilities (credit
PU 220 PU-220 Purchasing Administration Isolate requisition encumbrances and liability from purchase order
encumbrances and liabilities.
PU 221 PU-221 Purchasing Administration Provide the ability to enter / encumber new fiscal year purchase
orders while current fiscal year is still open.
PU 222 PU-222 Purchasing Administration Automatically relate payment requests to outstanding
encumbrances.
PU 223 PU-223 Purchasing Accounting Perform automatic encumbrance of funds real-time and if funds are
not available for encumbrance, provide flag.
PU 224 PU-224 Purchasing Accounting At fiscal year-end, roll outstanding encumbrances into the next fiscal
year, after proper reviews and approvals.
PU 225 PU-225 Purchasing Administration Provide department-level electronic EPO processing that would
create encumbrances, allow for electronic approval and have a
PU 226 PU-226 Purchasing Tracking Record and track Vital contract information.
PU 227 PU-227 Purchasing Administration Provide for duplication of operator selected data elements during
transaction entry.
PU 228 PU-228 Purchasing Tracking Record and track Contract Period - Beginning, End, Effective dates.
PU 229 PU-229 Purchasing Tracking Record and track Contract Number.
PU 230 PU-230 Purchasing Tracking Record and track Contract Amount.
PU 231 PU-231 Purchasing Tracking Record and track Bonds.
PU 232 PU-232 Purchasing Tracking Record and track Warranty.
PU 233 PU-233 Purchasing Tracking Record and track Insurance Tracking (expiration dates).
RE 0
Recruitment
RE 1 RE-1 Recruitment Administration Allow hiring to a temporary position (under security limitations).
RE 2 RE-2 Recruitment Administration Provide for the hiring of personnel into a position when the position
is occupied by a terminating employee and provide for the
RE 3 RE-3 Recruitment Administration Provide the capability to inactivate or delete a position while keeping
employee / classification history.
RE 4 RE-4 Recruitment Accounting Provide ability to budget positions by dollars, by hours or by FTE's.
RE 5 RE-5 Recruitment Administration Provide effective date ranges associated with individuals entering
and exiting positions.
Updated: 4/7/14 Page 60 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
RE 6 RE-6 Recruitment Administration Provide notification to user-defined departments upon changes in
personnel for a position (e.g., Information Technology for passwords,
payroll, new and old departments, exit processes).
RE 7 RE-7 Recruitment Administration Track the history of a position – employee’s filling position, title
change, reclassification, transfer of the position to another
RE 8 RE-8 Recruitment Assign a recruitment to a specific recruiter or analyst
RE 9 RE-9 Recruitment Maintain job posting and job description information
RE 10 RE-10 Recruitment Identify sourcing destinations based on conversation with
department
RE 11 RE-11 Recruitment Support and track recruiting for “provisional hires” (short-term
emergency hire; manager identifies candidate)
RE 12 RE-12 Recruitment Automatically update job postings on company web site
RE 13 RE-13 Recruitment Ability to store prior job searches so that “lists” can be reused for
similar searches in the future
RE 14 RE-14 Recruitment Track job requisitions and report on job status (open, hold, filled,
etc.)
RE 15 RE-15 Recruitment View requisition history as of certain date
RE 16 RE-16 Recruitment Automated recruiting checklist for managers, including workflow
prompts
RE 17 RE-17 Recruitment Track employee referral plan and payments
RE 18 RE-18 Recruitment Track and manage internal applicants
RE 19 RE-19 Recruitment Enable internal applicants to apply for open positions online
RE 20 RE-20 Recruitment Collect and manage resumes
RE 21 RE-21 Recruitment Utilize online screening questions that will be used to initially qualify
an applicant
RE 22 RE-22 Recruitment Score and rank an applicant
RE 23 RE-23 Recruitment Generate an “eligible list” of all applicants eligible for the position
RE 24 RE-24 Recruitment Generate a “certified list” containing the top nine applicants plus the
number of vacancies
RE 25 RE-25 Recruitment Capture and maintain the dates of any contact and interview(s) with
applicant
RE 26 RE-26 Recruitment Collect and maintain applicant tracking data
RE 27 RE-27 Recruitment Capture information on applicant’s qualifications : Education, Work
Experience, Skills Inventory, Test results, Including outside testing
RE 29 RE-29 Recruitment Schedule applicant events
RE 30 RE-30 Recruitment Generate notices, letters, forms
RE 31 RE-31 Recruitment Generate record of notices, letters, form sent
RE 32 RE-32 Recruitment Maintain applicant interview data
RE 33 RE-33 Recruitment Maintain offer acceptance data and employment results: Hires, Open
requisitions, referral fees, ending date for temp employees, maintain
RE 34 RE-34 Recruitment Maintain number of applicants applying, by job
Updated: 4/7/14 Page 61 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
RE 35 RE-35 Recruitment Electronically transfer applicant data to new hire record
RE 36 RE-36 Recruitment Verify new applicant names against existing names at point of data
entry
RE 37 RE-37 Recruitment Maintain applicant and employee records separately so name
searches do not pull in applicants and employees together
RE 38 RE-38 Recruitment Track recruiting costs per job requisition and per applicant
RE 39 RE-39 Recruitment Match applicants to available positions based on given criteria such
as education, skills, etc.
RE 40 RE-40 Recruitment Generate survey to all eligible applicants not chosen to be hired
RE 41 RE-41 Recruitment Generate key analytics pushed to hiring managers (open requisitions,
time to fill, etc.)
RE 42 RE-42 Recruitment Provide for overfill (hire Administrative Assistant for a Secretary
position) or under-fill (hire an Office Assistant for a Secretary
RE 43 RE-43 Recruitment Allow for employee transfers, promotions and demotions between
positions.
RE 44 RE -44 Recruitment Utilize self-service for generating a requisition that will contain edits
and then be forwarded to HR via workflow
RI 0
Risk
RI 1 RI-1 Risk Administration Ability to track Workers’ Compensation by incident, employee,
department, and division.
RI 2 RI-2 Risk Administration Ability to track hours and related dollars worked, on worker’s
compensation, on light-duty modified time by employee and or
RI 3 RI-3 Risk Administration Ability to track employees’ certification: coverage dates, re-
certification.
RI 4 RI-4 Risk Reporting Capture and track information and generate reports relating to
accidents, injuries and incidents.
RI 5 RI-5 Risk Administration Capture and track name of employee.
RI 6 RI-6 Risk Administration Capture and track position number.
RI 7 RI-7 Risk Administration Capture and track job classification.
RI 8 RI-8 Risk Administration Capture and track department.
RI 9 RI-9 Risk Compliance Capture and track description of accident / injury / incident.
RI 10 RI-10 Risk Compliance Capture and track OSHA accident type.
RI 11 RI-11 Risk Compliance Capture and track date and time of accident / injury / incident.
RI 12 RI-12 Risk Administration Capture and track geographic location of accident / injury / incident.
RI 13 RI-13 Risk Administration Capture and track cause of accident / injury / incident.
RI 14 RI-14 Risk Compliance Capture and track days lost.
RI 15 RI-15 Risk Compliance Capture and track OSHA penalty.
RI 16 RI-16 Risk Compliance Capture and track description of medical care required.
RI 17 RI-17 Risk Compliance Capture and track type of equipment involved in the accident / injury
/ incident.
Updated: 4/7/14 Page 62 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
RI 18 RI-18 Risk Accounting Capture and track cost center.
RI 19 RI-19 Risk Administration Capture and track case number.
RI 20 RI-20 Risk Compliance Capture and track date of workers compensation claim.
RI 21 RI-21 Risk Compliance Capture and track status of worker's compensation claim.
RI 22 RI-22 Risk Compliance Capture and track disposition of worker's compensation claim.
RI 23 RI-23 Risk Administration Capture and track amount of loss.
RI 24 RI-24 Risk Accounting Capture and track claim amount.
RI 25 RI-25 Risk Administration Provide reports that identify unauthorized user attempts and
concurrent user sign on attempts
RI 36 RI-36 Risk Third-Party Performance Management Systems
TD 0
Training & Development
TD 1 TD-1 Training &
Development
Administration Ability to track safety training.
TD 2 TD-2 Training &
Development
Administration Record information related to training and education, including but
not limited to: highest level of education attained, degree level, field
TD 3 TD-3 Training &
Development
Alerts Provide ability to track and alert employees and / or departments for
re-certification courses.
TD 4 TD-4 Training &
Development
Administration Provide ability to establish career ladder certifications / experience
for position advancement.
TD 5 TD-5 Training &
Development
Accounting Provide ability to track reimbursable tuition for courses (e.g.,
Education Reimbursement & Program approval).
TD 6 TD-6 Training &
Development
Administration Provide ability to allow employees to register online for an internal
training class.
TD 7 TD-7 Training &
Development
Administration Allow Training Management personnel to register non-employees
(within security constraints).
TD 8 TD-8 Training &
Development
Reporting Provide ability to display / report registration status (students on
waiting list or students cancelled).
TD 9 TD-9 Training &
Development
Administration Provide ability to define a course description (long and short), course
category (professional development, safety, wellness, etc.), length in
TD 10 TD-10 Training &
Development
Administration Provide ability to define an online course catalog for access by
employees.
TD 11 TD-11 Training &
Development
Administration Provide ability to define course attendance requirements by an
employee group.
TD 12 TD-12 Training &
Development
Administration Provide ability to define prerequisites for each course.
TD 13 TD-13 Training &
Development
Administration Verify each student has appropriate prerequisites (based on
prerequisites defined for a course).
TD 14 TD-14 Training &
Development
Administration Track courses completed by each employee.
TD 15 TD-15 Training &
Development
Reporting Display / report courses attended by employee and department.
TD 16 TD-16 Training &
Development
Administration Track instructors’ (employees and non-employees) qualifications /
certifications and previous courses taught.
Updated: 4/7/14 Page 63 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
TD 17 TD-17 Training &
Development
Administration Provide ability to display instructors that are trained or certified to
train by course.
TD 18 TD-18 Training &
Development
Administration Verify there are no conflicts, such as an employee registered for two
courses at the same time or two courses are scheduled for the same
time and location.
TD 19 TD-19 Training &
Development
Administration Provide for student cancellations and if there is a waiting list,
generate enrollment correspondence to the highest on the waiting
TD 20 TD-20 Training &
Development
Administration Ability to define the maximum students in a classroom. Allow for
override, as required.
TD 21 TD-21 Training &
Development
Administration Ability to define budget and accumulate costs (materials, supplies,
instructor, room, etc.) for a course.
TD 22 TD-22 Training &
Development
Administration Ability to define a development plan (courses and scheduled
completion dates) for each employee.
TD 23 TD-23 Training &
Development
Notices Ability to notify students electronically (e-mail, fax, printed).
TD 24 TD-24 Training &
Development
Administration Ability to customize standard correspondence to fit the needs of the
City.
TD 25 TD-25 Training &
Development
Administration Ability to define additional correspondence beyond the standard
correspondence and related sending rules.
TD 26 TD-26 Training &
Development
Administration Provide mail merge capability with MS WORD for correspondence.
TD 27 TD-27 Training &
Development
Administration Ability to log all correspondence and retrieve by employee or course.
TD 28 TD-28 Training &
Development
Notices Ability to send a Reminder Notice (via e-mail or memo) including
course date(s), location and instructor name to an individual
registered for a course.
TD 29 TD-29 Training &
Development
Notices Ability to send a Course is Full Notice (via e-mail or memo) to all
qualified individuals that have registered for a course when a course
has reached capacity.
TD 30 TD-30 Training &
Development
Notices Ability to send a Course Cancellation Notice (via e-mail or memo)
including course date(s) to an individual registered for a cancelled
course.
TD 31 TD-31 Training &
Development
Reporting Ability to send a Certification Renewal Notice, including the
appropriate scheduled courses, to employees requiring re-
TD 32 TD-32 Training &
Development
Reporting Provide ability to display and print course rosters.
TD 33 TD-33 Training &
Development
Administration Ability to display those individuals that are registered for, but have
already completed a course.
TD 34 TD-34 Training &
Development
Administration Ability to print Course Completion Certificates for each attendee.
TD 35 TD-35 Training &
Development
Reporting Provide appropriate training reports to satisfy regulatory agencies.
TD 36 TD-36 Training &
Development
Data Collection Provide capability to import existing training data from MS Excel.
TD 37 TD-37 Training &
Development
Administration Allow the attachment of notes (evaluations, etc.) to the course
definition record.
TD 38 TD-38 Training &
Development
Reporting Provide ability to display / report the courses cancelled within a
specified period.
TD 39 TD-39 Training &
Development
Administration Provide report to summarize training statistics within a date range:
number of courses (scheduled, cancelled, and completed), number of
TD 40 TD-40 Training &
Development
Availability of ongoing training and support
TD 41 TD-41 Training &
Development
Maintain history of certifications, licenses, degrees
TD 42 TD-42 Training &
Development
Include date of expiry for licenses
Updated: 4/7/14 Page 64 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
TD 43 TD-43 Training &
Development
Maintain employee career planning data
TD 44 TD-44 Training &
Development
Maintain unlimited employee training history
TD 45 TD-45 Training &
Development
Maintain in-house training course data, schedules, curriculum
TD 46 TD-46 Training &
Development
Future date training changes/transactions
TD 47 TD-47 Training &
Development
Amount of tuition can be pre-defined for each course according to
company rules/policies
TD 48 TD-48 Training &
Development
Amount of tuition can be overridden
TD 49 TD-49 Training &
Development
Retain unlimited tuition history
TD 50 TD-50 Training &
Development
Provide on-line summary view of training and the ability to print
training history/transcript.
TD 51 TD-51 Training &
Development
Integrate with skills/succession planning data
TD 52 TD-52 Training &
Development
Link specific training courses with annual performance (employee
development) goals
TD 53 TD-53 Training &
Development
Administration Provide ability to track requirements for certification renewal by
certificate type and employee.
TD 54 TD-54 Training &
Development
Reporting Provide report to identify employees who have completed a certain
level of education or training.
TD 55 TD-55 Training &
Development
Maintain employee designations achieved
TD 56 TD-56 Training &
Development
Maintain employee association memberships
TD 57 TD-57 Training &
Development
Track all employee licenses
TR 0
Treasury
TR 1 TR-1 Treasury Accounting Provide calculations to amortize the discount or premium over the
life of the investment and compute book value.
TR 2 TR-2 Treasury Administration Provide receipt information on revenues collected, including a unique
batch identifier by location, operator, date, and type of batch (i.e.
TR 3 TR-3 Treasury Administration Provide ability to calculate accrued interest earned to a specified
date.
TR 4 TR-4 Treasury Accounting Ability to apply standard weighted market values and/or formulas to
specific investments.
TR 5 TR-5 Treasury Administration Ability to archive active file by date selection.
TR 6 TR-6 Treasury Reporting Produce a report on demand by endowment, fund, type of
investment and bank which contains date of purchase.
TR 7 TR-7 Treasury Reporting Produce a report on demand by endowment, fund, type of
investment and bank which contains date of maturity.
TR 8 TR-8 Treasury Reporting Produce a report on demand by endowment, fund, type of
investment and bank which contains amount of deposit or cost of the
security; face and discount/premium amounts.
TR 9 TR-9 Treasury Reporting Produce a report on demand by endowment, fund, type of
investment and bank which contains summary of portfolio and
percentage of portfolio by type.
TR 10 TR-10 Treasury Reporting Produce a report on demand by endowment, fund, type of
investment and bank which contains weighted average life, weighted
TR 11 TR-11 Treasury Maintenance Provides for the recording and maintenance of: bank.
Updated: 4/7/14 Page 65 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
TR 12 TR-12 Treasury Maintenance Provides for the recording and maintenance of: fund.
TR 13 TR-13 Treasury Maintenance Provides for the recording and maintenance of: issuer.
TR 14 TR-14 Treasury Maintenance Provides for the recording and maintenance of: purchase date.
TR 15 TR-15 Treasury Maintenance Provides for the recording and maintenance of: purchase price.
TR 16 TR-16 Treasury Maintenance Provides for the recording and maintenance of: maturity date.
TR 17 TR-17 Treasury Maintenance Provides for the recording and maintenance of: premium / discount
(system calculated).
TR 18 TR-18 Treasury Maintenance Provides for the recording and maintenance of: gain (system
calculated).
TR 19 TR-19 Treasury Maintenance Provides for the recording and maintenance of: interest amount.
TR 20 TR-20 Treasury Maintenance Provides for the recording and maintenance of: interest payment
date.
TR 21 TR-21 Treasury Maintenance Provides for the recording and maintenance of: contract interest rate.
TR 22 TR-22 Treasury Maintenance Provides for the recording and maintenance of: effective yield
interest rate.
TR 23 TR-23 Treasury Maintenance Provides for the recording and maintenance of: market value.
TR 24 TR-24 Treasury Maintenance Provides for the recording and maintenance of: CUSIP#.
TR 25 TR-25 Treasury Maintenance Provides for the recording and maintenance of: investment type.
TR 26 TR-26 Treasury Maintenance Provides for the recording and maintenance of: par value.
TR 27 TR-27 Treasury Accounting Account for coupon receipts, accrued purchase interest (and
reversals), and discounts / premiums.
TR 28 TR-28 Treasury Reporting Produce a report on demand by endowment, fund, type of
investment and bank which contains current market value of
securities with maturity for any time period.
TR 29 TR-29 Treasury Reporting Produce a report on demand by endowment, fund, type of
investment and bank which contains rate of interest and calculated
yield.
TR 30 TR-30 Treasury Reporting Produce a report on demand by endowment, fund, type of
investment and bank which allows inclusion of user-defined text.
TR 31 TR-31 Treasury Administration Provide payment information for checks processed and money
transfers: Rolling balance of current AP activity (check register for
that week in progress). In addition to amount / date, type of money
transfer, institution, description, as well as account balances, as
determined by staff, for deposit accounts such as LAIF, CAMP,
GMMfs).
Updated: 4/7/14 Page 66 of 78
Carmel: ERP Functional Requirements
Category
Initial
# Req ID Category SubCategory Requirement Description
OTS CD NM NI Proposer Note
TR 32 TR-32 Treasury Accounting Provide for tracking of the following investment instruments:
Certificates of Deposit, Treasury Bills and Notes, State of California
Local Agency Investment Fund (LAIF), Mutual Funds, Notes
Receivable and Money Markets. Note: Where applicable, include
ability to record CUSIP#, Type of Security, Issuer, purchase date,
order date, maturity date, market value, par value, purchase price,
disc / premium, coupon amount and distribution dates, days
TR 33 TR-33 Treasury Accounting Ability to identify opening bank balance, list outstanding AP checks
by user defined criteria (such as dollar amount, vendor, etc.), with
TR 34 TR-34 Treasury Reporting Provide reports for reconciliation of monies collected by cashiers.
TR 35 TR-35 Treasury Administration Provide for accepting cleared checks from the City's bank
electronically.
TR 36 TR-36 Treasury Administration Provide for the servicing bank to furnish a daily tape of warrants for
payment. Note: Posted AP positive pay info sent to bank
TR 37 TR-37 Treasury Administration Provide for daily reconciliation of receipts and disbursements against
the various funds and accounts. TR 38 TR-38 Treasury Reporting Provide for daily generation of a financial statement.
TR 39 TR-39 Treasury Accounting Provide for distribution of monies deposited by the Cashier to the
identified funds. TR 40 TR-40 Treasury Maintenance Support adjusting journal entries.
TR 41 TR-41 Treasury Administration Ability to generate journal entries to support the bank reconciliation
process including the matching of outstanding and cleared checks
TR 42 TR-42 Treasury Data Collection Provide for warrant data to be transferred in electronic format from
the City.
TR 43 TR-43 Treasury Accounting Provide for tracking cash status and project cash needs on a daily
basis. Display to show money wired in/out.
TR 44 TR-44 Treasury Administration Provide "what-if" capability to project future cash needs.
TR 45 TR-45 Treasury Accounting Allow for allocate earnings or accrue interest from a single
investment of commingled funds to multiple funds based on user-
defined criteria (i.e. month end cash balances, daily cash balances,
etc.).
TR 46 TR-46 Treasury Accounting Provide detailed listing of investment portfolio by type, activity by
type, distribution of investments by type, and investment activity
summary which can be periodically reconciled to the general ledger.
TR 47 TR-47 Treasury Compliance Capability of posting interest earnings by fund and accruing all
interest earned by June 30 of each fiscal year, or other periods as TR 48 TR-48 Treasury Reporting Provide for monthly, print letters to holders of "stale" checks.
TR 49 TR-49 Treasury Reporting Provide for the generation of a cash flow analysis report by account,
identifying amount and date of the highest debt. Note: Include
account type description and allow for user-defined sort capability.
TR 50 TR-50 Treasury Reporting Produce a report on demand by endowment, fund, type of
investment and bank which contains statement relating the report to
the Statement of Investment Policy.
TR 51 TR-51 Treasury Reporting Produce a report on demand by endowment, fund, type of
investment and bank which contains accrued interest effective as of a
Updated: 4/7/14 Page 67 of 78
NM - New Module. In planned future release. Proposer Note Required. Please indicate anticipated release date.
Category
Initial
# Req ID Category Requirement Description
OTS CD NM NI Proposer Note
AC 0 AC -0
Access
AC 1 AC -1 Access Enable employee and manager self-service for interactive voice
response system
AC 2 AC -2 Access Enable employee and manager self-service for Web/Internet,
intranet capabilities
AC 3 AC -3 Access Enable employee and manager self-service for an HR portal
AC 4 AC -4 Access Provide self service via standard browser with no application
component installed on the PC
AC 5 AC -5 Access Provide self service to easy to use report writer
AC 6 AC -6 Access Provide self service to on-line real-time update of all data
AC 7 AC -7 Access Provide self service for batch access to data
AC 8 AC -8 Access Provide self service for multi-user/multi-function capability
AC 9 AC -9 Access
Provide self service for inquiry access only to designated users
AC 10 AC -10 Access Ability to search by Employee name
AC 11 AC -11 Access Ability to search by ID Number
AC 12 AC -12 Access Ability to search by class
AC 13 AC -13 Access Ability to search by bargaining unit
AC 14 AC -14 Access Ability to do phonetic name searches
AC 15 AC -15 Access Ability to sort search results by date, salary, employment status,
etc.
AC 16 AC -16 Access Ability to provide time out feature on PC for client level access to
data
AC 17 AC -17 Access Ability to customize error messages and on-line help
AC 18 AC -18 Access Ability to provide on-line help down to field level
AC 19 AC -19 Access Ability to search by multiple IDs
AC 20 AC -20 Access Ability to automatically route transactions requiring approvals to
supervisor or manager
AC 21 AC -21 Access Ability to manage workflow process with insight into status of any
and all transactions
DC 0
Data Conversion
DC 1 DC-1 Data
Conversion
Availability of database conversion tools
DC 2 DC-2 Data
Conversion
Ability to transfer all employee history in current MOM system into
new system.
DM 0
Data Management
NI - Not Included. Not in current release or planned future releases. Proposer Note Required.
This document lists each GENERAL and TECHNICAL requirement in the form of a short statement. A response must be selected for each requirement. Be certain to expand the
Description cell to ensure you understand the full requirement. The City understands that not all requirements may be met by the proposed system but responses will provide the City
a means by which to compare the relative strengths of vendor responses.
Response Definitions:
OTS - Off the Shelf. In current release and meets the requirement straight out of the box and/or with minor customization such as user defined set-up parameters.
CD - Will require custom development and/or significant amount of source code modification. Proposer Note Required.
DM 1 DM-1 Data
Management
Ability to provide multiple methods of data retrieval with a user
friendly search feature.
DM 2 DM-2 Data
Management
Ability to support purging of individual, project-specific data from
all relevant system modules, based on retention schedule dates.
DM 3 DM-3 Data
Management
Mass update capability
DM 4 DM-4 Data
Management
Provide for mass or cross updating to the employee master file
based on changes made to other system files. For example, when a
class title or salary range changes for a class, the system should be
able to update this information in all relevant files.
DM 5 DM-5 Data
Management
Allows for data updates including zip codes & tax tables.
DM 6 DM-6 Data
Management
Provide for data-validation controls and allow for modifications
and maintenance.
DM 7 DM-7 Data
Management
The system must be implemented using industry standard
constructs.
DM 8 DM-8 Data
Management
System data must be able to be backed up and restored within a
four (4) hour period.
DM 9 DM-9 Data
Management
The system must store data in a relational database. The system
must use flat files only for transient or temporary data.
DM 10 DM-10 Data
Management
The system must constructed using industry standard components
conforming to either the Java Enterprise Edition standard or
Microsoft .Net. standard.
DM 11 DM-11 Data
Management
The system must provide the means of purging, archiving or
otherwise recovering storage used by temporary or transient data
files.
DM 12 DM-12 Data
Management
The system must include information to identify the specific
system version and build.
DM 13 DM-13 Data
Management
The system must store data values as they are entered by the user,
without modification, except where explicitly prescribed for data
cleansing such as address standardization, and for storage
consistency such as use of upper case values. Monetary and other
numeric values must be calculated and stored to the precision
level required by regional law.
EN 0
EN 1 EN-1 Environments Ability to provide for at least two (2) separate and distinct
operating environments: i.e., Test and Production.
IM 0
Identity Management
IM 1 IM-1 Identity
Management
Provide Active Directory integration and full compatibility including
LDAP compliance.
IM 2 IM-2 Identity
Management
Provide supervisors the ability to access transaction corrections
IM 3 IM-3 Identity
Management
Ability to maintain a history of user assignments and activity even
after the user is no longer active.
IM 4 IM-4 Identity
Management
Ability to maintain a system audit log showing who did what,
where, when, and creating reports from the system audit log.
IM 5 IM-5 Identity
Management
Provides reports indicating who has what access rights,
authorizations, and restrictions.
IM 6 IM-6 Identity
Management
Maintaining access rules based on the chain of command (a user
may access confidential personnel data only for employees in that
user’s downward chain of command).
Environments
IM 7 IM-7 Identity
Management
Ability to track log-in history
IM 8 IM-8 Identity
Management
Customizable user account security and user roles by particular
fields within a screen.
IM 9 IM-9 Identity
Management
Customizable user account security and user roles by particular
records.
IM 10 IM-10 Identity
Management
Customizable user account security and user roles by screens.
IM 11 IM-11 Identity
Management
Customizable user account security and user roles by temporary
delegation of authority.
IM 12 IM-12 Identity
Management
Customizable user account security and user roles by User, role, or
group.
IM 13 IM-13 Identity
Management
Security administration via Microsoft Active Directory.
IN 0
Interfaces
IN 1 IN-1 Interfaces Encrypted and secure electronic transfer of data to other agencies,
such as IRS or banking institutions, securely with encryption.
IN 2 IN-2 Interfaces Integrate Active Directory with system user accounts and provide
single-sign on.
IN 3 IN-3 Interfaces Availability of interface development tools
IN 4 IN-4 Interfaces Provide for benefit payment requests to be transferred
electronically to Accounts Payable.
IN 5 IN-5 Interfaces Provide for the integration of Human Resources and Accounts
Receivable to allow for billing of retirees related insurance
premiums and other recoverables.
IN 6 IN-6 Interfaces Provide for complete integration of Human Resources with Payroll
application, including the sharing of some data fields (e.g., when
adding a new employee, system must not require re-keying of
name and address information).
IN 7 IN-7 Interfaces Human Resources and Payroll must share common data so that
information is entered one time and immediately available to all
users.
IN 8 IN-8 Interfaces Provide for complete integration of Human Resources with Budget
Preparation.
IN 9 IN-9 Interfaces Provide complete integration with General Ledger.
IN 10 IN-10 Interfaces Ability to interface / integrate with Microsoft Exchange 2010 or
newer.
IN 11 IN-11 Interfaces Provide ability to import employee information from the payroll
system on a scheduled basis.
IN 12 IN-12 Interfaces Ability to provide integration between modules so there is a single
point of entry throughout the system. Integration should be real
time, not batch.
IN 13 IN-13 Interfaces Schedule and run reports, as well as data feeds to third party
vendors, in off hours and provide confirmation to system
administrator
IN 14 IN-14 Interfaces Provide Integration with inherent e-mail systems
IN 15 IN-15 Interfaces Provide Integration with document imaging systems
IN 16 IN-16 Interfaces Ability to integrate employee information with the Payroll system.
IN 17 IN-17 Interfaces New employee's basic information from Human Resources
application should be automatically updated on Payroll when a
prospective employee is hired.
IN 18 IN-18 Interfaces Active Directory integration within a multi domain environment.
IN 19 IN-19 Interfaces Full integration and operability with Microsoft Office Suite 2010 or
newer (e.g. Outlook, Word, Excel and Access).
IN 20 IN-20 Interfaces All interfaces to the system must be available for use twenty four
(24) hours per day, seven (7) days per week with exception of no
more than one (1) hour per week provided for system
maintenance activities. Outages related to city owned hardware or
network are excepted.
IN 21 IN-21 Interfaces For internal users, the system must present a single user interface
that uses consistent screen formats, colors schemes and navigation
techniques throughout the entire system.
MO 0
Maintenance & Operation
MO 1 MO-1 Maintenance &
Operation
Provides Ability to maintain site customized settings after
upgrades.
MO 2 MO-2 Maintenance &
Operation
Provides Ability to upgrade third-party software separately.
MO 3 MO-3 Maintenance &
Operation
Provides Software updates including version control and rollback.
MO 4 MO-4 Maintenance &
Operation
Provides Software upgrade by module or system.
MO 5 MO-5 Maintenance &
Operation
Robust software development Tool Kit for modifications without
touching source code.
MO 6 MO-6 Maintenance &
Operation
The system must support changes in how financial, payroll , and
human resource items are processed due to changes in law or
changes to internal business processes.
MO 7 MO-7 Maintenance &
Operation
The system must use business rules that are configurable by the
city administrative services department administrators. For the
purposes of this requirement, business rules are any points of
control logic or comparison values used by the system that are
subject to, or could be subject to change due to rule of law or
internal business processes.
MO 8 MO-8 Maintenance &
Operation
The system must make all features or functions of the system
available as callable services.
MO 9 MO-9 Maintenance &
Operation
The system must implement some form of the Model View
Controller (MVC) design pattern in order to separate presentation
logic from business logic and data storage logic.
MO 10 MO-10 Maintenance &
Operation
The system must support changes to internal business processes or
workflows with requiring change to system code.
MO 11 MO-11 Maintenance &
Operation
In the event of an error condition, the system must present and
English text description of both the error and the suggested course
of action to correct the problem.
MO 12 MO-12 Maintenance &
Operation
The system must records errors encountered in batch processes
and in online transactions. These records must be accessible to
system administrators for analysis.
MO 13 MO-13 Maintenance &
Operation
The system must provide context sensitive help that includes
information about the specific field on the form and about the
state of the transaction.
RP 0
Reporting
RP 1 RP-1 Reporting A reporting tool that allows the user to format any report,
including standard reports, to meet their personal or accessibility
needs (larger font, bold lettering, font color, etc.)
RP 2 RP-2 Reporting A set of standard reports for each module.
RP 3 RP-3 Reporting Ability to allow departments to view a complete audit trail for
requisitions, open purchase orders, payments on invoices and
other related information.
RP 4 RP-4 Reporting Ability to automatically generate and run reports at selected time
of day, day of week, or pre-defined interval.
RP 5 RP-5 Reporting Ability to merge selected names and addresses into
correspondences, labels, or envelopes based on user-defined
criteria without invoking another program or leaving the report
writer.
RP 6 RP-6 Reporting Ability to provide for field and table names easily identifiable
within a report writer or application (Not cryptic names requiring a
catalog lookup).
RP 7 RP-7 Reporting Preview window that displays what a printed report will look like.
RP 8 RP-8 Reporting Ability to run Ad-Hoc reports for all fields in HR module.
RP 9 RP-9 Reporting Support "wild card" searches on all data fields, including in queries
and filters, as well as in search criteria for record selection.
RP 10 RP-10 Reporting Provide a reporting tool to produce a variety of graphs (line, bar &
pie chart)
RP 11 RP-11 Reporting Ability to continue to work in the application while a report is
being processed or printed.
RP 12 RP-12 Reporting Ability to control number of records, order of fields returned (e.g.,
check boxes for available fields).
RP 13 RP-13 Reporting Ability to easily save queries and query responses, and reuse
queries at a later time.
RP 14 RP-14 Reporting Ability to include City logo, color text, pictures, images, drawings,
borders and titles in the report writer.
RP 15 RP-15 Reporting Ability to make real-time online queries (as opposed to printed
reports) on any combination of data fields and display any
combination of data fields, from all data tables.
RP 16 RP-16 Reporting Ability to order / sort queries by date (ascending or descending),
document numbers (ascending or descending), vendor name, or
other attribute categories.
RP 17 RP-17 Reporting Ability to print portions of report by page selected or page
sequence number.
RP 18 RP-18 Reporting Ability to print query results.
RP 19 RP-19 Reporting Ability to produce all reports electronically (email, PDF, html, java,
etc.) or hard copy (printer) upon request.
RP 20 RP-20 Reporting Ability to provide comparisons of fields using groups, include,
exclude, and, or, equal to, less than, greater than, range for alpha
and numeric operations.
RP 21 RP-21 Reporting Ability to provide for multiple field sums, counts, averages, etc. on
one report.
RP 22 RP-22 Reporting Ability to provide for sorting on an unlimited number of contiguous
and non-contiguous fields, in ascending order, descending order,
or a combination of both.
RP 23 RP-23 Reporting Ability to provide for statistical calculations such as percent to
total, mathematical calculations such as addition and subtraction,
or other statistical analysis of data based on fields in the database.
RP 24 RP-24 Reporting Ability to provide for totaling of all or any user-defined number or
numeric fields and number of records.
RP 25 RP-25 Reporting Ability to provide for use of value ranges as criteria for record
selection.
RP 26 RP-26 Reporting Ability to provide for user-defined page headings.
RP 27 RP-27 Reporting Ability to provide for: Output of totals only (detail suppression) or
detailed statistics by line item.
RP 28 RP-28 Reporting Ability to re-sort fields within a data entry grid.
RP 29 RP-29 Reporting Ability to save custom report formats so that users may rerun and
add them to a report menu allowing for easy retrieval of any new
report created.
RP 30 RP-30 Reporting Ability to save queries and filters by individual user.
RP 31 RP-31 Reporting Ability to set report printing priorities and routing at the time the
report is generated or while it is in the queue awaiting printing.
RP 32 RP-32 Reporting Ability to support both system-generated and user defined column
headings.
RP 33 RP-33 Reporting Ability to utilize attached or referenced images (jpg, gif, bmp, etc.)
in reporting.
RP 34 RP-34 Reporting Allows for user defined fields or renaming of existing fields on
screens.
RP 35 RP-35 Reporting Supports "wild-card" searches on all data fields.
RP 36 RP-36 Reporting Provide standard reports that can be used as templates for
developing customized reports.
SP 0
Security & Privacy
SP 1 SP-1 Security &
Privacy
Provide audit trails for every change made to data in the system,
especially changes made to security. The type of data maintained
should include before and after images of changed fields, screen
ID, operator ID, terminal ID, and date/time stamps.
SP 2 SP-2 Security &
Privacy
Ability to designate particular data fields as confidential.
SP 3 SP-3 Security &
Privacy
Ability to incorporate an audit trail of all transactions.
SP 4 SP-4 Security &
Privacy
Application must be PCI compliant.
SP 5 SP-5 Security &
Privacy
Application provides encryption for data transfers, such as
between application and Active Directory, for passwords and
utilizes industry standard security processes across all aspects of
the application.
SP 6 SP-6 Security &
Privacy
Provides edit listings and exception reporting of transaction
processing to allow clear audit trails.
SP 7 SP-7 Security &
Privacy
Access application securely from remote sites
SP 8 SP-8 Security &
Privacy
The system must protect itself from the effects of malicious and/or
accidental access and usage.
SP 9 SP-9 Security &
Privacy
The system must validate all data input to the system to protect
against SQL injection, cross-site scripting and other similar attacks.
SP 10 SP-10 Security &
Privacy
The system must ensure that access to the system is granted to
only those users who have been authenticated either through a
common enterprise authentication facility, or through a custom
authentication functionality within the system.
SP 11 SP-11 Security &
Privacy
The system must ensure that access is granted to only those users
who have the appropriate authority as specified by the the city
administrators.
SP 12 SP-12 Security &
Privacy
The system must encrypt all in transit data using an industry
standard encryption algorithm.
SP 13 SP-13 Security &
Privacy
The system must record all access attempts, whether granted or
denied, and write transactions completed by all users.
SP 14 SP-14 Security &
Privacy
Utilize defined internet/intranet firewall standards with data
encryption
SP 15 SP-15 Security &
Privacy
Allow security definition by function, screen and field value and
organization level, both on-line and in batch
SP 16 SP-16 Security &
Privacy
Provide menu-level and field-level security
SP 17 SP-17 Security &
Privacy
Provide ability to lockout records
SP 18 SP-18 Security &
Privacy
Run security reports for inactive users
SP 19 SP-19 Security &
Privacy
Ability to track unauthorized log-in attempts
SP 20 SP-20 Security &
Privacy
Run security reports of user capabilities by function
SP 21 SP-21 Security &
Privacy
Provide “key verify” fields (verify and release for duel control)
SP 22 SP-22 Security &
Privacy
Ability to support “two factor” authentication mechanisms
SP 23 SP-23 Security &
Privacy
Can automatically generate new password based on personal
questions if user forgets
SY 0
System Performance
SY 1 SY-1 System
Performance
The system response time must meet the rates provided herein for
average and peak response times. Network latency on the part of
the city's network or network bandwidth will be excepted from this
response time.
SY 2 SY-2 System
Performance
Average system response time for user interface activity must not
exceed one (1) second.
SY 3 SY-3 System
Performance
Batch processes, transactions processed in bulk requiring little or
no user input, must be processed at a rate of twenty (20) or more
transactions per second.
SY 4 SY-4 System
Performance
Peak period response time must not exceed ten (10) seconds.
SY 5 SY-5 System
Performance
The system must be linearly scalable. That is to say that the system
must be able to increase its capacity with only a comparable
increase in resources, with no degradation in performance, and
with no change to system code required. The ratio of resources
required to accommodate increases in capacity must be one-to-
one (1/1) and must not vary.
ST 0
System Tools
ST 1 ST-1 System Tools Create user-defined data elements including tables and views, as
well as adding fields to existing tables (table alters)
ST 2 ST-2 System Tools Create on-line menus and screens to support user-defined data
elements
ST 3 ST-3 System Tools Add user-defined fields to existing screens and remove fields that
are not of use
ST 4 ST-4 System Tools Modify field types and field names where appropriate and where
not impacting post input processing or standard reports
ST 5 ST-5 System Tools Generate reports that can access user-defined data
ST 6 ST-6 System Tools Track and report on data elements that have been customized as
an aid in patches, upgrades, and new releases
ST 7 ST-7 System Tools Easily modify standard reports delivered with system
ST 8 ST-8 System Tools Generate custom reports through a report writer
ST 9 ST-9 System Tools Distribute reports from the report writer via email without having
to download to another program or reformat
ST 10 ST-10 System Tools Schedule and run reports, as well as data feeds to third party
vendors, in off hours and provide confirmation to system
administrator
ST 11 ST-11 System Tools Save report/query data to Microsoft Excel, Word, or Access with
data type and formatting intact (i.e. Date fields are date format,
not text)
ST 12 ST-12 System Tools Support an on-line query facility based on standard SQL scripts
ST 13 ST-13 System Tools Access system on-line while performing batch reporting function
ST 14 ST-14 System Tools Define data element edits and error messages
ST 15 ST-15 System Tools Link fields and screens
ST 16 ST-16 System Tools Access application securely from remote sites
ST 17 ST-17 System Tools Mass update capability
ST 18 ST-18 System Tools Produce audit reports that are time/date stamped and provide
user id
ST 19 ST-19 System Tools Provide reports that identify unauthorized user attempts and
concurrent user sign on attempts
ST 20 ST-20 System Tools Modify existing screens or add new screens
ST 21 ST-21 System Tools System is table-driven
ST 22 ST-22 System Tools Define workflow and customize workflow for individual operators
TA 0
Technical Architecture
TA 1 TA-1 Technical
Architecture
Ability to define pay rates with effective dates in a table structure.
TA 2 TA-2 Technical
Architecture
Ability to define pay categories with effective dates in a table
structure.
TA 3 TA-3 Technical
Architecture
Ability to define employee groups with effective dates in a table
structure.
TA 4 TA-4 Technical
Architecture
Ability to define benefits with effective dates in a table structure.
TA 5 TA-5 Technical
Architecture
Ability to define deduction categories with effective dates in a
table structure.
TA 6 TA-6 Technical
Architecture
Ability for the system to determine year-end leave calculations for
CAFR reporting.
TA 7 TA-7 Technical
Architecture
Ability to change field and table properties, such as data types,
field lengths, etc.
TA 8 TA-8 Technical
Architecture
Ability to change screen layouts and field labels.
TA 9 TA-9 Technical
Architecture
Ability to check any process status in any module in real time.
TA 10 TA-10 Technical
Architecture
The ability to attach documents to a record.
TA 11 TA-11 Technical
Architecture
System Generated Employee ID's.
TA 12 TA-12 Technical
Architecture
Availability of system optimization tools
TA 13 TA-13 Technical
Architecture
Availability of “hot”/short-cut keys
TA 14 TA-14 Technical
Architecture
Availability of integrated web applications
TA 15 TA-15 Technical
Architecture
Provide ability to define as many codes and associated values as
possible in easily maintained user-defined tables including but not
limited to table of salary schedules, table of class codes, and table
of personnel action codes. All appropriate tables must be shared
with the Payroll system. All tables to be established with effective
dates.
TA 16 TA-16 Technical
Architecture
Ability to alert users when work is waiting for them in a
subsequent user’s queue longer than a specified time period.
TA 17 TA-17 Technical
Architecture
Ability to alert users when work is waiting for them.
TA 18 TA-18 Technical
Architecture
Ability to present users with just the specific screens needed to
carry out the work step, populated with the case data.
TA 19 TA-19 Technical
Architecture
Ability to provide an “electronic signature” that can substitute for a
paper signature in a workflow.
TA 20 TA-20 Technical
Architecture
Ability to provide for electronic workflow and routing procedures
to reduce the amount of paper document processing and to
improve both security and communication between the various
departments within the City.
TA 21 TA-21 Technical
Architecture
Ability to provide for end-user checking the status (including
estimated time to complete) or terminate a report.
TA 22 TA-22 Technical
Architecture
Provide user-defined Chart of Accounts structure (alpha-numeric)
with a minimum of forty total characters with up to six elements.
TA 23 TA-23 Technical
Architecture
Provide the ability for Scanning
TA 24 TA-24 Technical
Architecture
Provide the ability to Scan individual documents and attach to
records
TA 25 TA-25 Technical
Architecture
Provide the ability to Batch-scan
TA 26 TA-26 Technical
Architecture
Provide the ability to Pend data with future effective dates for
online and batch processing
TA 27 TA-27 Technical
Architecture
Provide for Inherent workflow functionality
TA 28 TA-28 Technical
Architecture
Allow for deduction codes, and memo deduction codes.
TA 29 TA-29 Technical
Architecture
Must be able to allow for earning codes. If there is a limited
number, vendor to indicate maximum number of user-defined pay
categories.
TA 30 TA-30 Technical
Architecture
Ability for individual users to customize their desktop screens to
reflect individual needs.
TA 31 TA-31 Technical
Architecture
Ability of adding or modifying pick lists, search criteria, etc.
TA 32 TA-32 Technical
Architecture
Ability of adding user-defined fields to database tables.
TA 33 TA-33 Technical
Architecture
Ability to add database tables.
TA 34 TA-34 Technical
Architecture
Ability to add or change default values.
TA 35 TA-35 Technical
Architecture
Ability to set up approval routings to occur in some cases when an
item is submitted (such as a purchase requisition), and in other
cases based on calendar cycles (such as a weekly cycle for
timesheet approvals).
TA 36 TA-36 Technical
Architecture
Ability to set up rules for multiple levels of approval, based on the
chain of command that shows who supervises whom and other
parameters ,such as dollar amount of the item requested, the
dollar limit of the user’s position, the type of commodity being
requested, etc.
TA 37 TA-37 Technical
Architecture
Differentiate between inquiry and update capability
TA 38 TA-38 Technical
Architecture
Require new hires to have a valid position number.
TA 39 TA-39 Technical
Architecture
Ability to customize fields for proposed or unanticipated
requirements.
TA 40 TA-40 Technical
Architecture
Offers on-line help functions and training tutorials, with search
functionality.
TA 41 TA-41 Technical
Architecture
Ability to generate Manual checks.
TA 42 TA-42 Technical
Architecture
Ability to create temporary subsets of data files for inquiries and
manipulation.
TA 43 TA-43 Technical
Architecture
Ability to customize user menus and screens based on user access
authority.
TA 44 TA-44 Technical
Architecture
Ability to have multiple screens and / or modules open
simultaneously for inquiry, update, or data entry, with the ability
to toggle from one to another at any time.
TA 45 TA-45 Technical
Architecture
Ability to perform electronic approval and/or digital signatures for
various documents.
TA 46 TA-46 Technical
Architecture
Ability to print any screen.
TA 47 TA-47 Technical
Architecture
Ability to provide for workflow structure that has built in
notification, approval and alerts that improves the productivity
and efficiency of City processes.
TA 48 TA-48 Technical
Architecture
Provide updates of Cash Receipts to / from other applications and
lockbox text format files.
TA 49 TA-49 Technical
Architecture
Ability to support keyboard short-cuts, both supplied and user-
defined, for mouse or other actions.
TA 50 TA-50 Technical
Architecture
All information is kept in a common database that allows for
information to auto populate data fields across all modules.
TA 51 TA-51 Technical
Architecture
Supports data entry from keyboard, scanner, batch entry or
handheld meter reading device.
TA 52 TA-52 Technical
Architecture
System identifies calculations, fields or values that are out of range
or an inappropriate format.
TA 53 TA-53 Technical
Architecture
The system must be able to support up to fifty (50) internal
concurrent system users.
TA 54 TA-54 Technical
Architecture
The system must be able to support up to one-hundred (100)
concurrent Web users.
TA 55 TA-55 Technical
Architecture
The system must be able to scan up to one thousand (1,000)
documents in an eight (8) hour period.
TA 56 TA-56 Technical
Architecture
The system must ensure that all components necessary for use of
the system are available before beginning any transaction or
function.
TA 57 TA-57 Technical
Architecture
All data written to the system's database must be encapsulated
within a transaction that conforms to or contains the qualities of
an ACID transaction. That is to say that the transaction must be:
Atomic: Either all data is written or no data is written.
Consistent: The transaction brings the system from one valid state
to another valid state.
Isolated: Is not affected by other concurrent transactions within
the system.
Durable: Transaction can survive power loss, system crash or other
errors.
ER 0
Error Reporting
ER 1 ER-1 Error Reporting Ability to customize or modify system provided error messages and
store/log for future review and reporting. Error messages should
be meaningful to the user versus being of a technical nature.
ER 2 ER-2 Error Reporting Ability to allow the system administrator or designated end-users
to view the error log on-line to provide support for the users.
ER 3 ER-3 Error Reporting Ability to perform error checking to verify the quality of the
information being entered and that system balances are
maintained.
ER 4 ER-4 Error Reporting Ability to turn on/off different levels of error logging functionality
within the system.
CITY OF CARMEL-BY-THE-SEA
ADMINISTRATIVE SERVICES DEPARTMENT
RFP #ERP-001
FINANCE, PAYROLL, HUMAN RESOURCE SYSTEM
<PROPOSER NAME>
APPENDIX Q – CONTRACTOR PROPOSED MAINTENANCE
AND SUPPORT AGREEMENT
Vendor is to attach proposed maintenance and support agreement
CITY OF CARMEL-BY-THE-SEA
ADMINISTRATIVE SERVICES DEPARTMENT
RFP #ERP-001
FINANCE, PAYROLL, HUMAN RESOURCE SYSTEM
<PROPOSER NAME>
APPENDIX R – ADDITIONAL INFORMATION COVER SHEET
CITY OF CARMEL-BY-THE-SEA
ADMINISTRATIVE SERVICES DIVISION
<PROPOSER NAME>
RFP# ERP-001
APPENDIX S – PRICING
RFP#ERP-001 – Appendix S
Pricing
J une 2, 2014
Page 2 of 5
APPENDIX S - Pricing
PROPOSAL COST RESPONSE
PROPOSER NAME: :__________________________________________________
The City desires a vendor hosted solution.
Please complete the applicable sections based upon your proposed solution. Add other categories if
necessary. The proposed cost shall include all fees, including one-time and recurring and value added
options.
Section 1 – One-Time Costs
Table 1: One-Time Costs (Please indicate an “*” next to cost item considered taxable
Description Proposed Price
1. Estimated Hardware Acquisition Cost (if you were to provide) (Total
from Table 2 below)
2. Proposed Application Software Licensing Fees
3. Third Party Software (i.e.: operating system, databases, reporting
tools, etc.). (Total from Table 3 below)
4. Application Development / Customization
5. Installation/implementation
6. Project Management
7. Training, including all materials (electronic)
8. Travel Expenses (Total from Table 4 below)
9. Other One-time Cost (Total from Table 5 below)
Total One Time Costs
RFP#ERP-001 – Appendix S
Pricing
J une 2, 2014
Page 3 of 5
Section 2 - Hardware
Please itemize recommended hardware configuration expenses in Row 1 in Table 1.
Table 2: Hardware
Recommended Hardware Description (include Make, Model,
Configuration)
Proposed Price (if the City were to acquire
from you)
Total
Section 3 - Third Party Software
Please itemize any third party software needed to support your proposed solution and put the total estimated cost in
Row 3 in Table 1.
Table 3: Third Party Software
Recommended Third Party Software Description (Include Product,
Version, Release)
Proposed Price (if the City were to acquire
from you)
Total
Section 4 - Travel Expenses
Please itemize the travel expense in Row 8 in Table 1.
Table 4: Travel Expenses
Description Proposed Price
Total
RFP#ERP-001 – Appendix S
Pricing
J une 2, 2014
Page 4 of 5
Section 5 - Other One-Time Costs
Please itemize all other costs, including, but not limited to: enhancement at an additional cost, additional proposed
modules, communication costs. Be sure to state the total in Row 9 in the Table 1.
Table 5: Other One-Time Costs
Description Proposed Price
Total
Section 6 - Recurring Annual Costs
List any recurring costs below, such as maintenance and support fees, etc.
Table 6: Recurring Annual Costs
Description Proposed Price
Total
Section 7 – Escrow
List any one-time and recurring escrow costs.
Table 7: Escrow Fees
Escrow Account
Annual Fee
Year One
Year Two
Year Three
Year Four
Year Five
Total
RFP#ERP-001 – Appendix S
Pricing
J une 2, 2014
Page 5 of 5
Section 8 - Other Value Added Services:
Please itemize other value added services cost below.
Table 8: Other Value Added Services
Description Proposed Price
Total
Section 9 Optional Services – Hourly Rates:
Please itemize hourly rates by role in the table below.
Table 9: Hourly Rates
Position / Role Hourly Rate
Total






CITY OF CARMEL-BY-THE-SEA
ADMINISTRATIVE SERVICES DEPARTMENT


RFP #ERP-001
FINANCE, PAYROLL, HUMAN RESOURCE SYSTEM


ADDENDUM 1 - JUNE 16, 2014

RFP ERP-001
Addendum #1
June 16, 2014

Page 2 of 17
Addendum No. 1
To The Request For Proposals For
RFP #ERP-001
Finance, Payroll, Human Resource System, provides answers to questions
submitted during the June 12, 2014 Proposers Teleconference and multiple
changes designed to simplify the submittal and provide clarification of
requirements.
The information contained in this Addendum No.1 supersedes any related
information previously provided.

THE FOLLOWING CHANGES HAVE BEEN MADE TO THE RFP DOCUMENT

A. SECTION 3.1. HAS BEEN CHANGED AS HIGHLIGHTED BELOW:
3.1 INTRODUCTION
Original Language:
The purpose of this Request for Qualification (RFP) is to solicit proposals from vendors to provide a Finance,
Payroll and Human Resources system as the first components of an Enterprise Resource System for the City of
Carmel-by-the Sea (City). This RFP will be conducted as a solution-based procurement. The solution-based
procurement method focuses requirements on business need (“what must be done”), not on current methods or
constraints (“how it is currently done”). Although the requirements described in Appendix P are written as if this
were a custom development effort, the City expects that the Proposer may offer a Software as a Service (SaaS)
solution that primarily requires configuration. In addition, the City understands that, as a small jurisdiction with a
modest budget, it may not be able to afford a solution satisfying all requirements listed”.
Revised Language:
The purpose of this Request for Qualification (RFP) is to solicit proposals from vendors to provide a Finance,
Payroll and Human Resources system as the first components of an Enterprise Resource System for the City of
Carmel-by-the Sea (City). This RFP will be conducted as a solution-based procurement. The solution-based
procurement method focuses requirements on business need (“what must be done”), not on current methods or
constraints (“how it is currently done”). Although the requirements described in Appendix P are written as if this
were a custom development effort, the City expects that the Proposer may offer a Software as a Service (SaaS)
solution that primarily requires configuration. In addition, the City understands that, as a small jurisdiction with a
RFP ERP-001
Addendum #1
June 16, 2014

Page 3 of 17
modest budget, it may not be able to afford a solution satisfying all requirements listed. Please respond
accordingly by describing your recommended solution for a small California City.
B. SECTION 3.2.3 HAS BEEN CHANGED AS HIGHLIGHTED BELOW:
3.2.3 DELIVERY OF RFP ERP-001 AND PREPARATION OF RESPONSE:
Original Language:
 Each original proposal and two (2) numbered copies shall be enclosed in a sealed envelope or box, plainly
marked in the upper left-hand corner with the name and address of the Proposer and bear the words:
“PROPOSAL for Finance, Payroll, Human Resource System”.
Revised Language:
 Each original proposal and one (1) copy shall be enclosed in a sealed envelope or box, plainly marked in
the upper left-hand corner with the name and address of the Proposer and bear the words: “PROPOSAL for
Finance, Payroll, Human Resource System”.

C. Section 4.1.9 HAS BEEN CHANGED AS NOTED BELOW:
4.1.9 APPENDIX I - RISK ASSESSMENT QUESTIONNAIRE
Original Language:
This is a required appendix. Select the option that applies to your firm and enter information in all the fields.
When you are finished entering information in all the fields, indicate “accept” or “accept with exceptions”. If
“accept with exceptions”, please provide an explanation of each exception.
Revised Language:
This is for information only. The selected vendor may be asked to complete this as part of final contract
negotiations.
D. Section 4.1.10 HAS BEEN CHANGED AS NOTED BELOW:
4.1.10 APPENDIX J – PROPOSED KEY PERSONNEL
Original Language:
The Proposer shall provide, as part of its RFP ERP-001 response, proposed Key Personnel experience
summaries and references. The City anticipates that the Proposer will propose a project team composed of the
best-qualified staff for the Contract.
The City has designated three (3) positions as “Contractor Key Personnel”:
RFP ERP-001
Addendum #1
June 16, 2014

Page 4 of 17
 Contractor Project Manager
 Senior Architect (Technical Lead)
 System Development Manager
The Proposer shall specify the names and provide detailed resumes of all proposed Contractor Key Personnel,
including references for all work performed by each of the staff used to meet the Key Personnel Desired and
Ideal Requirements. In addition, references for the proposed Contractor Key Personnel must be for projects
within the last five (5) years. The Proposer must submit the key personnel, as defined in Appendix J, including a
resume summary, as well as supporting detailed resumes in a consistent format.
Revised Language:
The Proposer shall provide, as part of its RFP ERP-001 response, proposed Key Personnel experience
summaries and references. The City anticipates that the Proposer will propose a project team composed of the
best-qualified staff for the Contract.
The City has designated one (1) position as “Contractor Key Personnel”:
 Contractor Project Manager
The Proposer shall specify the names and provide detailed resumes of all proposed Contractor Key Personnel.
The Proposer must submit the key personnel, as defined in Appendix J, including a resume summary, as well as
supporting detailed resumes in a consistent format.
E. SECTION 4.2 HAS BEEN CHANGED AS NOTED BELOW:
4.2. REQUIREMENTS TRACEABILITY MATRIX
Original Language:
The Proposer shall submit Appendix P - Requirements Traceability Matrix (RTM) in its entirety.
 Management Requirements Response
 Functional Requirements Response
 Technical Requirements Response
Revised Language:
The Proposer shall submit Appendix P - Requirements Traceability Matrix (RTM) as indicated below:
 Management Requirements Response – completed and submitted
 Technical Requirements Response – completed and submitted
 Functional Requirements Response – used as guide in formulating the proposed business solution
response

F. SECTION 4.3.5 HAS BEEN CHANGED AS NOTED BELOW:
4.3.5. FUNCTIONAL REQUIREMENTS RESPONSE
RFP ERP-001
Addendum #1
June 16, 2014

Page 5 of 17
Original Language:
This section must contain the proposer’s response to the requirements identified in Section 5.3.1 - Functional,
Technical and Management Requirements.
Revised Language:
This section must contain the proposer’s response to the functional requirements identified in Section 5.3.1 -
Functional, Technical and Management Requirements. Use the Functional tab of Appendix P – Requirements
Traceability Matrix as a guide in understanding the features the City is interested in. Please describe the
functions and features of your proposed solution for the categories listed in Section 5.3.1. Product brochures
and other relevant material are welcome in Appendix R – Additional Information.

G. SECTION 5.1.2 HAS BEEN CHANGED AS NOTED BELOW:
5.1.2 PROPOSED KEY PERSONNEL
Original Language:
The Proposer shall provide, as part of its RFP ERP-001 response, proposed Key Personnel experience
summaries and references. The City anticipates that the Proposer will propose a project team composed of the
best-qualified staff for the Contract.
The City has designated three (3) positions as “Contractor Key Personnel”:
 Contractor Project Manager
 Senior Architect (Technical Lead)
 System Development Manager
The Proposer shall specify the names and provide detailed resumes of all proposed Contractor Key Personnel,
including references for all work performed by each of the staff used to meet the Key Personnel Desired and
Ideal Requirements. In addition, references for the proposed Contractor Key Personnel must be for projects
within the last five (5) years. The Proposer must submit the key personnel, as defined in Appendix J, including a
resume summary, as well as supporting detailed resumes in a consistent format.
Revised Language:
The Proposer shall provide, as part of its RFP ERP-001 response, proposed Key Personnel experience
summaries and references. The City anticipates that the Proposer will propose a project team composed of the
best-qualified staff for the Contract.
The City has designated one (1) position as “Contractor Key Personnel”:
 Contractor Project Manager
The Proposer shall specify the name and provide a detailed resume of the proposed Contractor Key Personnel.
The Proposer must submit the key personnel, as defined in Appendix J, including a resume summary, as well as
a supporting detailed resume.
RFP ERP-001
Addendum #1
June 16, 2014

Page 6 of 17

5.1.2.1CONTRACT PROJECT MANAGER
Original Language:
The Contractor Project Manager will be responsible for the day-to-day management of the Contract services,
including overall performance and Contract compliance. The Contractor Project Manager starts at Contract Award.
The Contractor Project Manager responsibilities shall include the following:
 Act as primary interface with the City Project Manager(s)
 Provide day-to-day management of the Project including overall performance and Contract compliance
 Provide day-to-day management and direction of Contractor resources assigned to the Project
 Manage the Project to the current work plans and coordinate the availability of scheduled resources to the
Project
 Manage all Project resources and ensure that appropriate resources are available throughout the life of the
Contracts
 Establish and maintain regular communications with the City Project Management
 Provide the City Project Manager(s) with written status reports, and keep them informed of Project progress
versus the work plans
 Maintain issue reporting, tracking, escalation, and resolution procedures
 Conduct ongoing reviews with City Project Team members and ensure issue escalation procedures are
followed and issues are resolved
 Identify any potential problem areas, recommend solutions, and work closely and cooperatively with the City
Project Manager(s) to resolve issues quickly and fairly
 Inform City Project Management of any issues that might cause Project delays
 Follow City-approved change management procedures
 Prepare budgetary updates
 Monitor and maintain the Project's financial budget
 Ensure the timely development and delivery of quality Project Deliverables
 Monitor and maintain the development and implementation schedules
 Analyze progress and suggest changes as deemed appropriate
 Oversee preparation of all documents, correspondence, and meeting agendas
 Develop and implement a quality assurance process to ensure all objectives are met, milestones are
achieved, and stakeholders are satisfied
 Institute and maintain quality control over all deliverables submitted for review

The Contractor Project Manager shall have at least the Desired Qualifications defined below and as many Ideal
Qualifications as possible.

RFP ERP-001
Addendum #1
June 16, 2014

Page 7 of 17

Table 1: Contractor Project Manager Qualifications
Experience Desired Ideal
Worked as the Contractor Project Manager on comparable projects 5 Years 10 Years
Experience directing and overseeing all phases of Finance, Payroll and Human
Resource systems including, but not limited to, projects involving developing
multiple business views, integration with third party software (i.e. e-mail,
calendaring, document management, etc.), interfacing with other systems and
databases and training, customer service
5 Years 8 Years
Experience managing projects similar or larger in scope to the project identified
in RFP ERP-001
3 Years 5 Years
Experience managing a team greater than five (5) people 3 Years 5 Years
Education: Graduation from an accredited college/university Bachelors Masters
Project experience, in the PM role for city, county or state government systems 3 years 5 Years
Project Management Institute (PMI) Project Management Professional (PMP)
Certification
Yes Yes

Revised Language:
Contractor Project Manager
The Contractor Project Manager will be responsible for the day-to-day management of the Contract services,
including overall performance and Contract compliance. The Contractor Project Manager starts at Contract Award.
The Contractor Project Manager responsibilities shall include the following:
 Act as primary interface with the City Project Manager(s)
 Provide day-to-day management of the Project including overall performance and Contract
compliance
 Provide day-to-day management and direction of Contractor resources assigned to the Project
 Manage the Project to the current work plans and coordinate the availability of scheduled
resources to the Project
 Manage all Project resources and ensure that appropriate resources are available throughout
the life of the Contracts
 Establish and maintain regular communications with the City Project Management
 Provide the City Project Manager(s) with written status reports, and keep them informed of
Project progress versus the work plans
 Maintain issue reporting, tracking, escalation, and resolution procedures
 Conduct ongoing reviews with City Project Team members and ensure issue escalation
procedures are followed and issues are resolved
RFP ERP-001
Addendum #1
June 16, 2014

Page 8 of 17
 Identify any potential problem areas, recommend solutions, and work closely and cooperatively
with the City Project Manager(s) to resolve issues quickly and fairly
 Inform City Project Management of any issues that might cause Project delays
 Follow City-approved change management procedures
 Prepare budgetary updates
 Monitor and maintain the Project's financial budget
 Ensure the timely development and delivery of quality Project Deliverables
 Monitor and maintain the development and implementation schedules
 Analyze progress and suggest changes as deemed appropriate
 Oversee preparation of all documents, correspondence, and meeting agendas
 Develop and implement a quality assurance process to ensure all objectives are met, milestones
are achieved, and stakeholders are satisfied
 Institute and maintain quality control over all deliverables submitted for review

The Contractor Project Manager shall have at least the Desired Qualifications defined below and as many Ideal
Qualifications as possible.
Table 2: Contractor Project Manager Qualifications
Experience Desired Ideal
Worked as the Contractor Project Manager on comparable
projects
3 Years 10 Years
Experience directing and overseeing all phases of Finance,
Payroll and Human Resource systems including, but not limited
to, projects involving developing multiple business views,
integration with third party software (i.e. e-mail, calendaring,
document management, etc.), interfacing with other systems
and databases and training, customer service
3 Years 8 Years
Experience managing projects similar or larger in scope to the
project identified in RFP ERP-001
3 Years 5 Years
Experience managing a team greater than five (5) people 3 Years 5 Years
Education: Graduation from an accredited college/university Bachelors Masters
Project experience, in the PM role for city, county or state
government systems
3 years 5 Years
Project Management Institute (PMI) Project Management
Professional (PMP) Certification
Yes Yes

RFP ERP-001
Addendum #1
June 16, 2014

Page 9 of 17
5.1.2.2 SENIOR ARCHITECT (TECHNICAL LEAD) – Has been deleted
5.1.2.3 SYSTEM DEVELOPMENT MANAGER – Has been deleted

H. SECTION 5.2.5 HAS BEEN CHANGED AS NOTED BELOW:
5.2.5 LIQUIDATED DAMAGES
Original Language:
The City will add contract language stipulating the contractor must provide a product warranty that will cover any
failures, omission, or defects discovered in any of the project deliverables. In addition, language will be written
to incorporate liquidated damage provisions to further protect the City’s investment.
Revised Language:
The City will add contract language stipulating the contractor must provide a product warranty that will cover any
failures, omission, or defects discovered in any of the project deliverables. In addition, language may be written
to incorporate liquidated damage provisions to further protect the City’s investment.

I. SECTION 5.2.6 HAS BEEN CHANGED AS NOTED BELOW:
5.2.6 FINAL PROJECT MANAGEMENT PLAN
Original Language:
The Contractor must employ, maintain and execute a project management methodology that complies with the
Institute of IEEE Standards for Project Management Plans (IEEE/ISO/IEC 16326-2009).
The Proposer must describe the project management approach and methodology to be used for all ACS Project
lifecycles.
The Contractor shall develop a Project Management Plan (PMP) aligning to industry best practices, specifically,
specifically the Project Management Institute (PMI), Project Management Body of Knowledge (PMBOK). The
scope of the PMP shall also incorporate the following component processes:
 Project Schedule Management, Communications Management, Risk Management, Quality
Management, Scope Change Management, Requirements Traceability Management, System
Development and Implementation Methodology, System Test Methodology, and Staff Training
Methodology
The Contractor must provide project management documents (e.g., Project Management Plan, Project
Schedule, Work Breakdown Structure, etc.) using Microsoft Office 2010 software products.
Revised Language:
The Contractor must employ, maintain and execute a project management methodology that complies with
the Institute of IEEE Standards for Project Management Plans (IEEE/ISO/IEC 16326-2009).
RFP ERP-001
Addendum #1
June 16, 2014

Page 10 of 17
The Proposer must describe the project management approach and methodology to be used for all Project
lifecycles.
The Contractor shall develop a Project Management Plan (PMP) aligning to industry best practices,
specifically the Project Management Institute (PMI), Project Management Body of Knowledge (PMBOK).
The scope of the PMP shall also incorporate the following component processes:
 Project Schedule Management, Communications Management, Risk Management, Quality
Management, Scope Change Management, Requirements Traceability Management, System
Development and Implementation Methodology, System Test Methodology, and Staff Training
Methodology
When responding, please keep in mind the size of the City of Carmel-by-the-Sea and its desire to not
overburden the project with too much overhead.
The Contractor must provide project management documents (e.g., Project Management Plan, Project
Schedule, Work Breakdown Structure, etc.) using Microsoft Office 2010 software products.

J. SECTION 5.2.13 HAS BEEN CHANGED AS NOTED BELOW:
5.2.13 STANDARDS FOR ACCEPTANCE OF DELIVERABLES
Original Language:
City review and acceptance of each key Deliverable shall be based upon the following Deliverable quality
standards. Each Deliverable shall:
 Each key deliverable will have an agreed upon Deliverable Expectation Document completed prior to the
development of the deliverable.
 Address all components required by the Contract and the requirements for that Deliverable, and any areas
identified subsequently through meetings and planning sessions.
 Be in compliance with all format requirements described in the Contract.
 Be comprehensive in level of detail.
 Be organized and professional.
 Be consistent in style and quality. If the document is the composite work of multiple people within the
Contractor's organization, the document must be edited for style and consistency. The Contractor shall
certify in the cover letter that the Contractor utilized the internal Deliverable review process as prescribed in
the Contractor’s Quality Assurance Plan.
 Support the purpose for which the Deliverable was developed.
Revised Language:
City review and acceptance of each key Deliverable shall be based upon the following Deliverable quality
standards. Each Deliverable shall:
 Each key deliverable will have an agreed upon Deliverable Expectation Document completed prior to the
development of the deliverable.
 Address all components required by the Contract and the requirements for that Deliverable, and any areas
identified subsequently through meetings and planning sessions.
RFP ERP-001
Addendum #1
June 16, 2014

Page 11 of 17
 Be in compliance with all format requirements described in the Contract.
 Be comprehensive in level of detail.
 Be organized and professional.
 Be consistent in style and quality. If the document is the composite work of multiple people within the
Contractor's organization, the document must be edited for style and consistency. Support the purpose for
which the Deliverable was developed.
 Support the purpose for which the Deliverable was developed.

K. SECTION 5.3.1 FUNCTIONAL REQUIREMENTS SET HAS BEEN CHANGED AS NOTED
BELOW:
5.3.1 FUNCTIONAL REQUIREMENTS SET
Original Language:
The functional requirements have been sorted according to the following categories. The detailed Functional
Requirements set can be found in Appendix P – Requirements Traceability Matrix (RTM). The Functional
Requirements provide a general description of the “What” the system should provide rather the “How”. The City
understands that, as a small jurisdiction with a modest budget, it may not be able to afford all requirements listed, but
is interested in understanding the depth and breadth of the proposer’s solution.
Table 3: Functional Requirements Categories
Requirement Category Name
Accounts Payable General Ledger
Accounts Receivable HR Reporting
Benefits Payroll
Budget Performance
Capital Asset Position Control
Cash Receipts Purchasing
Compensation Planning Recruitment
Compliance Risk
Employee Records Time & Attendance
Employee Relations Training & Development
Employee Self-Service Treasury

RFP ERP-001
Addendum #1
June 16, 2014

Page 12 of 17
Revised Language:
The functional requirements have been sorted according to the following categories. The detailed Functional
Requirements set can be found in Appendix P – Requirements Traceability Matrix (RTM). The Functional
Requirements provide a general description of the “What” the system should provide rather the “How”. The City
understands that, as a small jurisdiction with a modest budget, it may not be able to afford all requirements listed, but
is interested in understanding the depth and breadth of the proposer’s solution. The City is interested in
understanding the capabilities of your proposed solution in each of the following categories. Please provide a
description of your proposed solution’s capabilities in each category.
Table 4: Functional Requirements Categories
Requirement Category Name
Accounts Payable General Ledger
Accounts Receivable HR Reporting
Benefits Payroll
Budget Performance Management
Capital Assets Position Control
Cash Receipts Purchasing
Compensation Planning Recruitment
Compliance Risk
Employee Records Time & Attendance
Employee Relations Training & Development
Employee Self-Service Treasury
Technical Architecture


RFP ERP-001
Addendum #1
June 16, 2014

Page 13 of 17
L. SECTION 5.3.3 HAS BEEN CHANGED AS NOTED BELOW:
5.3.3 MANAGEMENT REQUIREMENTS SET
Original Language:
This section of the RFP is dedicated to defining the requirements for management plans, management activities,
and other administrative support used to manage the project. The City requires the contractor to provide
services in the following areas:
Revised Language:
This section of the RFP is dedicated to defining the requirements for management plans, management activities,
and other administrative support used to manage the project. The City requires the contractor to provide
services in the areas listed below. When preparing your response, please keep in mind the small size of the City
of Carmel-by-the-Sea. While good project management is a requirement, a balance needs to be maintained
between good practice and overkill for a small organization.

M. SECTION 6.1 HAS BEEN CHANGED AS NOTED BELOW:
6.1 COST TABLES
Original Language:
For submission with the RFP ERP-001 Response, the following submittal is required.
The proposer’s cost data shall be annotated in the Cost Volume using the forms from Appendix S, with other
cost attachments if necessary. The proposer must use Appendix S for identifying all costs for the proposed
solution. If the proposer is quoting multiple solutions, please submit an Appendix S for each proposed solution.
This material must contain all completed cost sheets, schedules, contract attachments with identified costs,
exhibits identifying cost, bonds and other security documents as required in the RFP.
Revised Language:
For submission with the RFP ERP-001 Response, the following submittal is required.
The proposer’s cost data shall be annotated in the Cost Volume using the forms from Appendix S, with other
cost attachments if necessary. The proposer must use Appendix S for identifying all costs for the proposed
solution. If the proposer is quoting multiple solutions, please submit an Appendix S for each proposed solution.
This material must contain all completed cost sheets, schedules, contract attachments with identified costs,
exhibits identifying cost, bonds and other security documents as required in the RFP.
RFP ERP-001
Addendum #1
June 16, 2014

Page 14 of 17
N. SECTION 6.4.1 HAS BEEN CHANGED AS NOTED BELOW:
6.4.1 CORPORATE REFERENCE / EXPERIENCE
Original Language:
Proposers are required to demonstrate their references and experience of key personnel through Appendix H –
Customer References and Appendix J – Proposed Key Personnel. The ability to show strong references and
key personnel, who bring not only the desired qualifications, but ideal qualifications as well, is important to City.
Additional references may be submitted with the RFP if you would like those to be considered in addition to
previously submitted references with the RFP.
Revised Language:
Proposers are required to demonstrate their references and experience of key personnel through Appendix H –
Customer References and Appendix J – Proposed Key Personnel. The ability to show strong references and
key personnel, who bring not only the desired qualifications, but ideal qualifications as well, is important to the
City. Additional references may be submitted with the RFP if you would like those to be considered in addition to
previously submitted references with the RFP

O. SECTION 6.4.3 HAS BEEN CHANGED AS NOTED BELOW:
6.4.3 BUSINESS SOLUTION / TECHNICAL ARCHITECTURE / FUNCTIONAL, TECHNICAL & MANAGEMENT
REQUIREMENTS
Original Language:
Proposers are required to explain their overall solution approach. Although overall net value plays a large part in
evaluating each bidder’s proposal, the overall approach to the solution is important to City.
Proposers should provide sufficient detail, explanation, experience and examples to enable City to evaluate
these aspects of the proposer’s proposal, without including excessive or repetitious information that might
obscure the proposal’s unique and innovative features and characteristics.
Proposers should clearly identify how their overall solution provides additional innovation, and demonstrates a
thorough understanding of the City’s processes and technical environment while meeting City Project Objectives
and Goals.
The functional and technical requirements for the proposed solution will be scored. The proposer should refer to
Appendix P – Requirements Traceability Matrix for specific functional and technical requirements.
The proposer’s score will be determined based on the approach used to meet each of the functional and
technical requirements based on the following criteria:
RFP ERP-001
Addendum #1
June 16, 2014

Page 15 of 17

Table 5: Scoring Criteria
Ability to Meet the Requirements
Meets the requirement straight out of the box and/or with minor customization such as user defined set-
up parameters
Requires custom development and/or significant amount of source code modification to meet the
requirement
Will meet the requirement in a planned, future release of a new module
Not in current release or planned future releases
Requirements that are met with the “out of the box” approach will receive the highest score and requirements not
in a current or planned future release will receive the lowest score.
Revised Language:
Proposers are required to explain their overall solution approach. Although overall net value plays a large part in
evaluating each bidder’s proposal, the overall approach to the solution is important to City.
Proposers should provide sufficient detail, explanation, experience and examples to enable City to evaluate
these aspects of the proposer’s proposal, without including excessive or repetitious information that might
obscure the proposal’s unique and innovative features and characteristics.
Proposers should clearly identify how their overall solution provides additional innovation, and demonstrates a
thorough understanding of the City’s requirements and technical environment while meeting City Project
Objectives and Goals.
The proposer’s score will be determined based on the depth and breadth of the proposed solution in meeting the
City’s requirements.

P. APPENDIX P – REQUIREMENTS TRACEABILITY MATRIX HAS BEEN CHANGED in its
entirety. See Revised Addendum-1_Appendix P- Requirements Traceability Matrix.



RFP ERP-001
Addendum #1
June 16, 2014

Page 16 of 17
FOLLOWING ARE RESPONSES TO QUESTIONS RECEIVED

Questions received during the June 12, 2014 Proposers Teleconference
1. Was a budget amount established by the City Council when the IT Strategic Plan was adopted?
Response: No, but there is money allocated in the budget for the IT Strategic Plan

2. Is there a funding source identified?
Response: Yes, the City has the ability to fund from the Fiscal Year 2014-2015 Proposed Budget. General Fund
funds and Measure D funds will be used to find this, and other, projects.

3. Can you elaborate on the size of the budget?
Response: IT Strategic Plan initiatives will be funded through the Capital Budget. The total amount proposed for all
capital projects for the year is roughly $3.5 million. This is the City’s top IT Strategic Plan priority this year. There is
no firm budget amount for this project.

4. Is the implementation of the hardware/software a capital project expense and the ongoing service seen as an
operating expense?
Response: Yes, that is how the City views the project.

5. The acquisition timeline seems very aggressive; very likely to see the planned date slip by a month or two.
Response: Thank you for your concern. We understand that it is aggressive but believe because of the small size of
the jurisdiction and the size of the review team, that we will be able to get the acquisition done within our timeline and
hopefully, implementation of the Payroll system by January 1, 2015. We are certainly going to try.

6. Can you please clarify the vendor’s responsibility for required technology (servers, hardware) (Related to
Section 5.1.4.4 Recommended Hardware and Software)?
Response: We need you to tell us what hardware and/or software the City would be expected to have to run your
system effectively according to the requirements outlined in Appendix P _ Requirements Traceability Matrix.

7. How did you come to that conclusion that you want a hosted solution? Is the City aware of the maintenance
requirements for this type of implementation?
Response: The City believes a vendor-hosted solution would require less hardware and software purchases and
support by City staff. We are willing to work with whatever recommendations you might make. Please note them in
your proposal response. We are looking for the best fit for the City regardless of the stated desire for vendor-hosted
solution.

RFP ERP-001
Addendum #1
June 16, 2014

Page 17 of 17
8. Can you elaborate on the Public Safety portion of the ERP? And the number of sworn officers?
Response: There are less than 10 sworn Police officers and 6 staff in the Ambulance unit.