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Request f or Pr oposal

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

City of Rochester

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


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

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

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





Contact:

Contact Phone:

Email:



Reason for No-Response:
Project capacity.
Cannot quote competitively.
Cannot meet delivery requirements.
Cannot meet specifications.
Do not want to do business with City of Rochester.
*Other:







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



TABLE OF CONTENTS

SECTION 1 – Project Background and RFP Process ................................................... 4
1.1 Request For Proposal ............................................................................................................... 4
1.2 Community Profile................................................................................................................... 5
1.3 Scope of Project ....................................................................................................................... 7
1.4 RFP Process and Procedures .................................................................................................... 9
1.5 Questions and Requests for Clarification and RFP Addenda ................................................ 10
1.6 Transmittal Letter................................................................................................................... 10
1.7 Proposal Submission .............................................................................................................. 10
SECTION 2 – Schedule of Events .............................................................................. 12
2.1 Timetable of Events ............................................................................................................... 12
2.2 Description of Events ............................................................................................................. 12
SECTION 3 – Guidelines for Proposal Content and Structure ................................... 15
3.1 Executive Summary ............................................................................................................... 15
3.2 Company Background Information ....................................................................................... 15
3.3 Detailed RFP Responses ........................................................................................................ 19
3.4 Terms and Conditions ............................................................................................................ 27
SECTION 4 – Evaluation Criteria ............................................................................... 28
4.1 Degree of Fit .......................................................................................................................... 28
4.2 Project Management Methodology and Implementation Plan ............................................... 29
4.3 Installation/Training Track Record ........................................................................................ 29
4.4 Scripted Demonstrations and Gap Analysis .......................................................................... 29
4.5 On-Going Support Capability ................................................................................................ 29
4.7 Project/Lifecycle Cost ............................................................................................................ 29
4.8 Minority/Women Owned Business (M/WBE)....................................................................... 29
SECTION 5 – Infrastructure and Information Systems Environment ........................ 30
5.1 Network Environment ............................................................................................................ 30
5.2 Servers and Database Environment ....................................................................................... 30
5.3 Desktop Environment ............................................................................................................ 30
5.4 Mainframe Environment ........................................................................................................ 30
5.5 Geographic Information Systems (GIS) Environment .......................................................... 30
5.6 Process and System Integration Environment ....................................................................... 31
SECTION 6 – Process & System Automation Requirements ..................................... 34
6.1 Management of Government Resources – Human Resource Management .......................... 31
SECTION 7 – Technical Requirements .................................................................... 231
7.3 Architecture.......................................................................................................................... 231
7.4 Data Requirements ............................................................................................................... 232
7.5 System Administration, Security and Audits ....................................................................... 233
7.6 System Interfaces ................................................................................................................. 234
SECTION 8 – City Of Rochester Agreement for Professional Services .................... 239


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SECTION 1 – Project Background and RFP Process
1.1 Request For Proposal

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

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

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

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

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

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

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

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

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

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

1.2 Community Profile

1.2.1 City of Rochester:

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

1.2.2 Services for Citizens (SC)

The following services are provided to City Customers and Constituents.

• Business & Housing Development
• Licensing, Code Enforcement & Compliance
• Public Safety
• Community and Social Services
• Education, Youth Development & Workforce Training
• Environmental Services


1.2.3 Support in Delivery of Services (SDSC)

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

• Internal Control and Oversight
• Investment Planning and Budgeting
• Revenue & Taxation
• Communications, Public Affairs & The Customer
• City Council Relations
• Legal Regulatory Compliance


1.2.4 Management of Government Resources (MGR)

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

• Administrative Management
• Financial Management
• Supply Chain & Asset Management
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• Human Resource Management
• Information and Technology Management



1.2.4.1 Human Resource Management

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

• HR Strategy and Planning
• Organization and Position Management
• Personnel Management
• Benefits Management
• Compensation Management
• Customer Services
• Labor Relations
• Employee Development and Performance Management
• HR Information Analytics
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1.3 Scope of Project
The City is requesting proposals for the design and implementation of a solution
that will improve the efficiency and effectiveness of Human Resource
Management – Payroll / Personnel processes, while ensuring the accurate and
timely payment to employees, vendors, and tax authorities. The City has two
alternating bi-weekly payrolls, one for Fire and Police and one for civilian bi-
weekly. The City also has a weekly payroll encompassing all City departments
inclusive of part-time and seasonal employees.
Demographics and Statistics Number
(approximate)
Additional Information
Total Employees 3,600
Full Time Employees 2780
Part Time Employees 650
Seasonal/Temporary 160
Bi-weekly Civilian Employees 1380
Weekly Employees 940
Police Union Employees 710
Fire Union Employees 550
City Departments 12
Unions 5 1. AFSCME Local 1635
2. Rochester Police Locust
Club, Inc.
3. International Association
of Firefighters, Local 1071
4. International Union of
Operating Engineers,
Local 832-S
5. Civil Service Employees
Association, Local 828
Total City Budget $499,950,200
W2s Issued 4226
Annual Payroll $200,000,000
Once the final vendor has been selected, the City will work with the vendor to develop
the most cost effective procurement and installation strategy. The City may select more
than one vendor in the event that a single vendor cannot meet all requirements for the
procurement and installation of the solution.
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1.3.1 Project Objectives

The primary objectives for this project are:

• Evaluate and select a Vendor for a new Human Resource Management –
Payroll/Personnel solution
• Align all City Departments under a service delivery Enterprise Architecture
model, which enables the development of cross-functional and standardized
processes. With this model, the expected outcomes will be the realization of
process efficiencies by eliminating redundant processes and systems and
improved data transparency and integrity.

1.3.2 Phased Deployment Strategy

The City is seeking automated alternatives to current Human Resource and Payroll
processes. The complete program will procure and install a Process and System Solution
for Human Resource Management in the functional areas defined below and in section
5.6.1 Enterprise Process Architecture – Human Resource Management. The process &
system is proposed to be implemented using the following phased deployment strategy:

Phase 1 – Core Processes – Payroll / Personnel

Service Process Area
Organization and Position
Management
J ob Classification and Specification
Personnel Management Hiring
Personnel Management Personnel Record Updates
Benefits Management Enrollment
Benefits Management Benefits Administration
Compensation Management Regular (On-Cycle) Payroll
Processing
Compensation Management Special (Off-Cycle) Payroll
Processing
Compensation Management Compliance and Reporting

Future Phases - Non-Core Processes

Service Process Area
Compensation Management Other Compensation
Organization and Position
Management
Organization Evaluation and
Administration
Personnel Management Recruitment
Personnel Management Separation
Benefits Management Benefit Claim Administration
Benefits Management Compliance & Reporting
Customer Service All Services
Labor Relations Discipline (non-Union)
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Employee Development and
Performance Management
Learning Management
Employee Development and
Performance Management
Safety Administration
HR Information Analytics Organization and Position
Management
HR Information Analytics Personnel Management
HR Information Analytics Benefits Management
HR Information Analytics Compensation Management


1.4 RFP Process and Procedures

Throughout the entire RFP process, the following guidelines and procedures will
apply: The City of Rochester must receive all proposals by October 10
th
2014 at
5 PM (EST). The City of Rochester reserves the right to reject any proposal
received after this date. All submitted proposals must be valid through one year
past due date. The City of Rochester maintains the right to discontinue the RFP
process with any vendor at any point in time.

• The City of Rochester will notify in writing any vendor discontinued
from the RFP process.
• Vendors shall promptly respond in writing to the City of Rochester with
additional inquiries. Please see Section 1.5 below for specific instructions
on submitting questions and requests for clarification.
• The City of Rochester is under no obligation to award a contract to any
vendor.
• No procedure is in place within this process for reconsideration of a
vendor after a choice has been made, and the City of Rochester need give
no reason for the selection or rejection of any vendor.
• If your RFP response is accepted, the City of Rochester requires the
parties to enter into a Professional Services Agreement prior to the
commencement of any work. The RFP and RFP responses may form part
of said agreement but will be subject to the terms and conditions of the
agreement between the City of Rochester and the vendor as set out in
Section 3.4.
• Participation in the RFP process is the vendor’s sole decision. Although the
City of Rochester intends to adhere to the process as stated herein, the City of
Rochester reserves the right to modify the process, requirements, and/or
timetable. The City of Rochester assumes no liability for costs or damages
incurred by the vendor during or resulting from this RFP process.

The City of Rochester reserves the right to:

• Reject any and all proposals received in response to this RFP.
• Investigate the vendor’s qualifications, financial stability, and ability to
perform the required services to successfully implement the vendor’s
proposed solution within the City of Rochester.
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• Request additional information deemed necessary for the proper
evaluation of the vendor’s proposal.
• Waive or modify any informal or immaterial deficiency in a proposal
after prior notification to the vendor.
• If you have any questions concerning the above RFP process and
procedures, please see Section 1.5 below for specific instructions on
submitting questions and requests for clarification regarding the RFP
process.

1.5 Questions and Requests for Clarification and RFP Addenda

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

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

1.6 Transmittal Letter

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

1.7 Proposal Submission

1.7.1 Submission of Sealed Proposals

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

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

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

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

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

PROPOSAL ENCLOSED
Due: __________________
(Preferably bold, large print, all capital letters)

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


1.7.2 Liability for Proposal Preparation Expense

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

1.7.3 Proposal Security

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

1.7.4 Record Disclosure/Confidentiality of Proprietary Records

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

1.7.5 Tax Provisions

Purchases made by the City of Rochester are exempt from New York
State and local sales tax and federal excise taxes, but the City of
Rochester is not exempt from paying unemployment insurance or federal
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Social Security taxes. The official City of Rochester purchase order or
voucher for materials, equipment, and supplies is sufficient evidence to
qualify the transaction exempt from sales tax.


SECTION 2 – Schedule of Events
2.1 Timetable of Events

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

Date Activity
September 16
th
2014 Pre-proposal meeting
October 10
th
2014 Proposals due
October 31
st
2014 Evaluate Proposals
November 14
th
2014 Vendors notified
November 21
st
2014 Conduct Vendor Customer Surveys and/or Site Visits
December 19
th
2014 Conduct Scripted Demonstrations/Gap Analysis with Preferred
Vendors
J anuary 23
rd
2015 Complete Vendor Selection for Recommendation

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

2.2 Description of Events

2.2.1 RFP Provided to Vendors

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

2.2.2 Conduct Pre-proposal meeting with Vendors

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

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





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2.2.3 Evaluate Proposals

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

• Degree of fit to the City’s process & system requirements and flexibility to meet
potential changes in future business requirements
• Project management plan including process analysis/consultation, training,
experience, qualifications of and references for the project management team
• Scripted demonstration and gap analysis of the proposed solution
• Installation/training track record for previous project at locations comparable in
scale and scope
• Capability to provide on-going support of the proposed solution; and
• Project and life cycle cost of the proposed solution

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

2.2.4 Conduct Scripted Demonstrations with Preferred Vendors

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

2.2.5 Complete a Gap Analysis

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

2.2.6 Conduct Vendor Customer Surveys and Visits

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

2.2.7 Finalize Pricing and Professional Services Agreement Terms

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

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

• License fees for use of any software or associated tools, to be scheduled in
accordance with the implementation functionality, and fixed at time of contract, to
remain unchanged for a period of three years following the final implementation
phase.
• Consulting/training/implementation plan with associated costs and with a
provision to guarantee meeting plan milestones.
• Statement concerning the City of Rochester’s access to Source Code and escrow
protection.
• Provision for the ability to add additional users at any location and point in time.
• Annual product maintenance costs tied to a base expenditure and a controlled
percentage increase over the lifetime of use by the City of Rochester.
• Payment milestones tied to the successful implementation of the vendor’s
proposed solution and distributed over an analysis, development/testing, training,
production lifecycle.
• No additional license fees will be charged for training, development and business
continuity based environments.
• Any database or other software licenses required must be clearly identified in
proposal.

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

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

Each vendor will need to provide clarity on the following:
• Current technological and business functionality enhancements scheduled for the
next two years.
• Cost estimates to implement the vendor solution and support for a period of five
years, including at a minimum: the incremental software expense; annual software
maintenance; training, implementation, and consulting costs; and estimated
annual hardware costs. Refer to section 3.3.3Project Costs and Pricing Options.
• Preferred architecture and deployment methodology for implementation.

2.2.9 Finalization of the Design and Implementation Plan

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

SECTION 3 – Guidelines for Proposal Content and Structure
The following section describes the City of Rochester RFP requirements that must be
adhered to by each vendor submitting a response to this RFP. Each proposal must be
formatted as noted below and must contain the sections described below along with a
Table of Contents.

3.1 Executive Summary

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

• Brief overview of proposed solution and how this will benefit the City of
Rochester.
• Associated costs and timelines for implementation which comprehend the costs to
integrate the proposed solution with other 3
rd
party solutions.
• Any additional information, which will be beneficial to the City of Rochester in
the evaluation process.

3.2 Company Background Information




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3.2.1 Brief Historical Summary

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

• Overall Vision and Mission.
• Financial history of the company covering the last three years. Attach the most
recent copy of your latest financial statements prepared by an independent
certified public accountant in accordance with generally accepted accounting
principles. Also include the following information: current balance sheet,
statement of revenues and expenses, statement of cash flows, and appropriate
notes to these documents. 501.3.c organizations must submit their most recent
Form 990.
• Three-year history of research and development spending as a percentage of
revenue.
• Company USA locations and associated staffing/functional organizations
represented at each location.
• General background and current information about the company and key
personnel.
• Strategic company direction and how this direction will benefit the City of
Rochester by referencing specific sections of the City of Rochester RFP.
• Current customers.
• Additional information useful for the City of Rochester evaluation process.

3.2.2 Vendor Information

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


Question Vendor Response
Official Name of Company
Headquarters’ Address
Telephone Number
Fax Number
Federal Tax ID Number
Names under which the business has
operated within the last 10 years.

Contact Name for questions concerning
RFP response.

Contact’s Telephone Number
Contact’s e-mail address
Is company authorized and/or licensed
to do business in the State of New
York?
YES or NO
Does your company have an office in
the City of Rochester or County of
Monroe?
YES or NO
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Question Vendor Response
Company Ownership Public or Private
If Private, list primary owners and
their percentage ownership.

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

Has corporate ownership changed
in the last 5 years? If so, provide
details.
YES or NO
Has the company purchased any
other companies or divisions of
companies in the last 5 years? If
so, provide details.
YES or NO
Has the company or any of its
principals defaulted on any municipal
contracts in the past 5 years? If so,
provide details.
YES or NO
Please provide details on any lawsuits
involving the company that are
currently pending or occurred in the
past 5 years.

Has your company ever been declared
bankrupt or filed for protection from
creditors under state or federal
proceedings? If so, state the date,
court, jurisdiction, amount of liabilities
and amount of assets.
YES or NO
Is your Company currently on the
approved NYS Contract list? If yes,
identify contract services.
YES or NO
Is your Company a Minority or Women
Owned Business Enterprise (M/WBE)?
YES or NO


3.2.3 Vendor Customer References and Financial Condition

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

The vendor should describe their installed base of clients including the following:
• Total number of clients currently utilizing systems similar to the proposed
solution.
• Clients that are currently undergoing implementation.
• Clients that have been fully implemented and live for minimally 1 year.
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• Any Clients that have switched to other vendors/solutions.

Representatives of the City of Rochester expect to contact and possibly visit some
of these reference clients. The vendor should provide the following contact
information for these client references:


Customer Reference Information
Contact Information
• Company/organization name
• Contact name and position
• Address
• Telephone
• E-mail address
• Web site address

Demographic Information:
• Company/organization size
• Solutions/systems installed, in what timeframe and sequence
• Date(s) solutions/systems Installed
• Number of people required on implementation team from internal staff vs.
external resources
• Version currently being used



All Vendors must submit their audited financial statements for the last three years,
as well as any interim statements issued since the date of the last annual audited
statement.

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

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

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

1) If the Vendor is a partnership comprised of two or more corporations,
then a copy of each partner’s certificate of incorporation, along with a
copy of the partnership papers, must be provided.

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

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

3.3.1 Assumptions

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

3.3.2 Advantages of Proposed Solution

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

3.3.3 Project Costs and Pricing Options

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

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On Premise System or ASP (Core Processes)

Estimated Project Costs

Project Costs
Implementation
Costs
Post
Implementation
Costs (5 Years)
Describe
Licensing Options
Hourl y or Fixed
Cost?
Comment
License Fees


Implementation Services


- Training


- Project Management


- System Configuration and
Setup


- Travel


- System
Development/Interfaces


- System Data Migration


Total Project Costs


Ongoing Costs


Maintenance and Support Costs


24X7


8:00 AM – 5:00 PM (M-F)


8:00 AM – 5:00 PM (M-S)


Hosting Costs (Optional for ASP)


Other Costs

Hardware and Server Costs

Database Licensing/maintenance

Recommended Time Clocks

Implementations services for
Upgrades




20


On Premise System or ASP (Non-Core Processes)

Estimated Project Costs

Project Costs
Implementation
Costs
Post
Implementation
Costs (5 Years)
Describe
Licensing Options
Hourl y or Fixed
Cost?
Comment
License Fees


Implementation Services


- Training


- Project Management


- System Configuration and
Setup


- Travel


- System
Development/Interfaces


- System Data Migration


Total Project Costs


Ongoing Costs


Maintenance and Support Costs


Support: 24X7


Support: 8:00 AM – 5:00 PM (M-F)


Support: 8:00 AM – 5:00 PM (M-
Sunday)


Hosting Costs (Optional for ASP)


Other Costs

Hardware and Server Costs

Database Licensing/maintenance

Implementations services for
Upgrades














21


SaaS (Core Processes)

Estimated Project Costs

Project Costs
Implementation
Costs
Post
Implementation
Costs (5 Years)
Describe
Licensing Options
Hourl y or Fixed
Cost?
Comment
License Fees


Implementation Services


- Training


- Project Management


- System Configuration and
Setup


- Travel


- System
Development/Interfaces


- System Data Migration


Total Project Costs


Ongoing Costs


Maintenance and Support Costs


Support: 24X7


Support: 8:00 AM – 5:00 PM (M-F)


Support: 8:00 AM – 5:00 PM (M-
Sunday)


Hosting Costs
(Include setting up new users,
managing security, configuring
workflows, filing the IRS form 941,
printing W-2’s processing payroll,
and other tasks.)



Other Costs

Hardware and Server Costs

Database Licensing/maintenance

Implementations services for
Upgrades


















22


SaaS (Non-Core Processes)

Estimated Project Costs

Project Costs
Implementation
Costs
Post
Implementation
Costs (5 Years)
Describe
Licensing Options
Hourl y or Fixed
Cost?
Comment
License Fees


Implementation Services


- Training


- Project Management


- System Configuration and
Setup


- Travel


- System
Development/Interfaces


- System Data Migration


Total Project Costs


Ongoing Costs


Maintenance and Support Costs


Support: 24X7


Support: 8:00 AM – 5:00 PM (M-F)


Support: 8:00 AM – 5:00 PM (M-
Sunday)


Hosting Costs
(Include setting up new users;
managing security, configuring
workflows, filing the IRS form 941,
printing W-2’s processing payroll,
and other tasks.)



Other Costs

Hardware and Server Costs

Database Licensing/maintenance

Implementations services for
Upgrades
























23


3.3.4 Degree of Fit

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

3.3.5 On-Going Support

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

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

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

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

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

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

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

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


Reference
#
Requirement Response
(Y,Z,N,T)
Xrf
3.3.5.1
Toll Free Support Phone Number
3.3.5.2
24x7 Support
3.3.5.3
Software/Application Support
3.3.5.4
Remote diagnostic support software
3.3.5.5
Remote diagnostic support hardware
3.3.5.6
Documented escalation procedures
3.3.5.7
Dedicated Tier 2 (Mid-Level expertise) support staff
3.3.5.8
Dedicated Tier 3 (Senior-Level expertise) support staff
24


Reference
#
Requirement Response
(Y,Z,N,T)
Xrf
3.3.5.9
Portal to exchange information and support


3.3.6 Internal Information Technology Production Environment Support

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

3.3.7 Written Documentation

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

3.3.8 Product Maintenance

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

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

• How does the contracted vendor expect to handle releases of third-party software?
• What is the extent of the contracted vendor’s responsibility for software
originating with other suppliers?

3.3.9 Project Management Methodology and Implementation Plan

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

• Project Planning Process – include examples of deliverables
• Frequency of project meetings
• Action Item Tracking
• Issue Tracking
• Status Reporting
• Project Change Management
• Problem Resolution
25



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

• Implementation methodology and approach – include examples of deliverables
• Project Management, communications, Change Management and reporting
• Business process re-engineering and system configuration
• Hardware and software training and development of standard procedures
• Overall project schedule with detailed timeline
• Proposed number of Vendor consultants and resumes for each detailing their
qualifications and experience relevant this implementation
• Identification of certified M/WBE firms to be included in Vendor’s project team
and description of the work they are to perform
• Expected deliverables and assumptions
• Required skill sets to ensure that the City can perform future maintenance support
and release upgrades with minimal to no vendor consulting.
• Other areas critical to project success not defined above.

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

3.3.10 Strategic Direction

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

• What differentiates the vendor from its competitors?
• Why should the City of Rochester select and implement the Vendor’s integrated
business systems versus that of other vendors?

3.3.11 Annual Reports

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




26


3.4 Terms and Conditions

3.4.1 Acceptance of the Proposal

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

3.4.2 Proposal Revisions

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

3.4.3 Financing of Proposals

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

3.4.4 Acceptance of RFP Conditions

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

3.4.5 Subcontracting

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

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

3.4.6 Warranty

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

3.4.7 Negotiation Delay

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

27


3.4.8 Funding and Vendor Selection

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

3.4.9 Indemnification

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

3.4.10 Termination

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

3.4.10 Proposal Withdrawal

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

3.4.11 Ownership

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


SECTION 4 – Evaluation Criteria
The City of Rochester will review all proposals, rank each vendor based on the criteria
noted below and select the preferred vendors to be considered for further evaluation.
Vendors will be notified in writing, on or before November 14
th
2014 if they have been
selected for further evaluation.

4.1 Degree of Fit

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

28


4.2 Project Management Methodology and Implementation Plan

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

4.3 Installation/Training Track Record

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

4.4 Scripted Demonstrations and Gap Analysis

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

4.5 On-Going Support Capability

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

4.6 Project/Lifecycle Cost

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


4.7 Minority/Women Owned Business (M/WBE)

City policy provides for additional weighting of proposals for firms that are located
within the City of Rochester (additional 10% weighting) and/or that meet the City’s
29


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

SECTION 5 – Infrastructure and Information Systems
Environment
5.1 Network Environment

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

5.2 Servers and Database Environment

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

5.3 Desktop Environment

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

5.4 Mainframe Environment

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

5.5 Geographic Information Systems (GIS) Environment

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

• Desktop: Esri ArcGIS for Desktop 10.2, with a mix of Concurrent Advanced
and Concurrent Basic licenses. Limited numbers of 3D Analyst, Spatial
Analyst, Data Interoperability, and Publisher extensions are available. .
30


• GIS Server: Esri ArcGIS for Server Enterprise Advanced 10.2, with separate
production and test environments, running on Windows Server 2012.
• Enterprise Geodatabase: Esri ArcSDE 10.2, in SQL Server 2012, using Direct
Connect.
• Enterprise Geodatabase Schema: Esri LGIM (Local Government Information
Model) wherever possible.
• Web Applications: Self hosted GIS Web applications are built using
HTML/J avascript (not Silverlight or Flex.) Wherever possible, LGIM-
compliant web applications are used. An ArcGIS Online for Organizations
account is available.


5.6 Process and System Integration Environment

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

5.6.1 Enterprise Process Architecture – City-wide

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

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

31



















32


5.6.1 Enterprise Process Architecture – Human Resource Management



5.6.2 Internally Developed Solutions

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

Some examples include:

• Business & Housing Development – Housing Management
• Licensing, Code Enforcement & Compliance
• Public Safety - RPD
• Community and Social Services – Neighborhood Preservation, Parks &
Recreation
• Environmental Services – Infrastructure Management, Clean Up Services, Utility
Services, Work Order Management
• Property Valuation & Taxation
• Financial Management – Collections and Receivables
• Human Resource Management – HRS and Payroll








33


5.6.3 Purchased Solutions

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

Some examples include:

• Business & Housing Development – Document Management
• Public Safety – Records Management
• Community and Social Services – Parking Access and Revenue Control
• Environmental Services – Route Optimization
• Communications, Public Affairs & The Customer – Customer Relationship
Management, Call Center/Case Management
• Human Resource Management – Employee Portal and City Website, Applicant
Tracking and Recruitment, Time and Attendance, Safety Compliance
• Financial Management – Procurement, Collections, Financials & Asset
Management


SECTION 6 – Process & System/Automation Requirements
The following sections describe the key processes, procedures and system
features/functionality that will be required to deliver the City’s new Human Resource
Management – Payroll / Personnel Process and System Solution.

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

• The first level of the section (6.x) identifies the Service Area and Service Type
(i.e. MGR – Management of Government Resources – Human Resource
Management) per the City’s EA (see section 5.6.1).
• The second level (6.x.x) identifies the Service and Process Area, which represents
a group of related processes which support delivery of the Service per the City’s
EA.
• The third layer (6.x.x.x) identifies the Process for this project within the Process
Area and is defined.
• The fourth layer (6.x.x.x.x) identifies the Procedures executed within the Process.
A procedure is defined as a step in the process and it describes what is being done
at that point in the process. It does not say how it is accomplished and it may be a
manual step or it may in some way be automated by a vendor’s software solution.
• The fifth and final layer describes the Functional Requirements for that procedure.







34


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

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

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

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

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

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

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

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



Column Title Description
Reference #
The reference number is a number that is used for reference
purposes only. They are not in sequential order of importance.
Requirement
In this column is where the functionality requirement is located
that the vendor must provide a response to in the Response
column.
Response
(Y,Z,M,N,T)
Enter in this column a value listed above for each individual
specification.
Xrf
Enter in this column a reference code number where a comment
has been entered to provide additional clarification to the response.






35


6.1 SERVICE - MGR - Human Resource Management


6.1.1 PROCESS AREA - Organization & Position Management - Job Classification
and Specification


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

6.1.1.1.1 PROCEDURE - Review Job Specification
The purpose of this procedure is to conduct an internal review of existing job
specifications to ensure accuracy and identify if updates are required.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.1.1.1 The ability to electronically
notify defined users once a J ob
Specification has passed a
defined time frame
Procedure
Requirement

6.1.1.1.1.2 The ability to generate a report
based on J ob Specification
Review dates
Reporting
6.1.1.1.1.3 The ability to electronically
track and notify reviewers of
J ob Specification Review
process
Decision
Criteria/Business
Rule

6.1.1.1.1.4 The ability to electronically
create and edit J ob
Specifications
Business Form/User
Interface



6.1.1.1.2 PROCEDURE - Initiate Job Specification Request
The purpose of this procedure is to initiate a J ob Specification Request for a new job or
update to an existing job specification. J ob Specification refers to the specific duties and
responsibilities for a particular position.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
36


6.1.1.1.2.1 The ability to create and
complete an electronic J ob
Specification request.
Procedure
Requirement

6.1.1.1.2.2 The ability to electronically
capture the job specification
request, with the ability to
customize the job specification
template to capture specific
required information.
Business Form/User
Interface

6.1.1.1.2.3 The ability to electronically
send the J ob Specification
request to initiate
creations/revisions
Decision
Criteria/Business
Rule



6.1.1.1.3 PROCEDURE - Create Draft Job Specification
The purpose of this procedure is to draft proposed job specifications to be reviewed by
appropriate business partners, in preparation for an internal review.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.1.3.1 The ability to create comments
in the job specification request
without changing the
documentation
Procedure
Requirement


6.1.1.1.3.2
The ability to electronically
track and update status of J ob
Specifications under Review
Business Form/User
Interface

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


6.1.1.1.4 PROCEDURE - Update Job Spec Status
The purpose of this procedure is to update the J ob Specification Status
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.1.4.1 The ability to electronically
update existing job
specification status
Procedure
Requirement



37


6.1.1.1.5 PROCEDURE - Suggest Job Specification Revisions
The purpose of this procedure is to review a draft J ob Specification and provide
comments and feedback for modification.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.1.5.1 The ability to workflow job
specification changes to
appropriate users
Procedure
Requirement



6.1.1.1.6 PROCEDURE - Incorporate Revisions
The purpose of this procedure is to update the draft J ob Specification based on the
reviewers' comments and supply to the Civil Service Admin unit.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.1.6.1 The ability to electronically
edit the J ob Specification
documents and associated
forms
Procedure
Requirement

6.1.1.1.6.2 The ability to review
comments made within the
document by other users
Business Form/User
Interface

6.1.1.1.6.3 The ability to automatically
route J ob Specifications
Decision
Criteria/Business
Rule



6.1.1.1.7 PROCEDURE - Prepare for Civil Service Review
The purpose of this procedure is to complete the package of information to be presented
to the commission, including the 'abstract' (high level overview of changes).
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.1.7.1 The ability to electronically
send final proposed J ob
Specification to designated
user
Procedure
Requirement

6.1.1.1.7.2 The ability to print job
specification and associated
forms
Reporting
6.1.1.1.7.3 The ability to create, print and
electronically send a J ob
Specification summary report
Reporting

38



6.1.1.1.8 PROCEDURE - Notify Job Spec is Adopted or Denied
The purpose of this activity is to notify the participants of the decision of the Civil
Service Commission meeting
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.1.8.1 The ability to store the life of a
job specification description
Procedure
Requirement

6.1.1.1.8.2 The ability to electronically
notify designated users of
approval/rejection
Decision
Criteria/Business
Rule



6.1.1.1.9 PROCEDURE - Publish Job Specification
The purpose of this procedure is to publish the J ob Specification record in the applicant
tracking and recruitment (SIGMA) system and upload it to the employee portal.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.1.9.1 The ability to export final J ob
Specification documents in
multiple formats to designated
internal and external
locations/people (Word, RTF,
PDF)
Procedure
Requirement



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


6.1.1.2.1 PROCEDURE - Initiate Classification Request
The purpose of this procedure is to initiate a request for Classification / Reclassification
of a City Position. Classification refers to where a position fits within the broader
organizational structure.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.2.1.1 The ability to allow designated
users to request a change to an
existing classified position
(position classification include
Procedure
Requirement

39


job title, job description, wage
rate, department, bureau and
appropriate budget associations
(organization/object and fund).
6.1.1.2.1.2 The ability to allow designated
users to attach documents to
the classification request.
Security (User
Permissions/Access,
Compliance)

6.1.1.2.1.3 The ability to allow designated
users to request an existing
classified position be
abolished.
Security (User
Permissions/Access,
Compliance)

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



6.1.1.2.2 PROCEDURE - Make Classification Request Decision
The purpose of this procedure is to approve/deny a Less Than Full Time/Permanent
classification request; or make recommendations to the Budget Director about the Full
Time/Permanent classification request.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.2.2.1 The ability to provide
electronic workflow to route
and approve personnel requests
to the designated users.
Procedure
Requirement

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



6.1.1.2.3 PROCEDURE - Update Status
The purpose of this procedure is to capture the Budget decision of a position
classification request.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
40


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

6.1.1.2.3.2 The ability to provide a text
field for users to enter
comments and notes.
Business Form/User
Interface

6.1.1.2.3.3 The ability to flag position
classifications requests that are
on hold, incomplete.
Business Form/User
Interface

6.1.1.2.3.4 The ability to override position
classification requests and
make edits
Business Form/User
Interface



6.1.1.2.4 PROCEDURE - Inform Department of Decision
The purpose of this procedure is to inform City departments that their classification
request has been put on-hold or denied. Possible types of reasons: out-sourcing service
agreements, pending funding, budgetary, or timing. Department’s next steps depend on
the type.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.2.4.1 The ability to electronically
workflow position
classification decision to
appropriate users
Procedure
Requirement



6.1.1.2.5 PROCEDURE - Route Position Classification for Approval
The purpose of this procedure is to route full time permanent classification/requisition
requests to Hiring Freeze Committee (Budget Director, Director of Human Resources,
Staffing Manager, Mayor)
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.2.5.1 The ability to electronically
view the Civil Service Eligible
list, Preferred list, transfer list
Procedure
Requirement

6.1.1.2.5.2 The ability to integrate with
external systems holding
different lists and information
System
Interface/Data
Integration

6.1.1.2.5.3 The ability to provide
electronic workflow to route
position classification requests
Decision
Criteria/Business
Rule

6.1.1.2.5.4 The ability to generate report Reporting
41


of recommendations and non
recommendations


6.1.1.2.6 PROCEDURE - Recommend Classification Request
The purpose of this procedure is for approved authorities to review the draft
Classification change request for comments, questions, and approval.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.2.6.1 The ability to electronically
workflow position
classification recommendations
to next approvers
Procedure
Requirement

6.1.1.2.6.2 The ability to electronically
approve or deny classification
requests and deactivate those
that have been denied.
Business Form/User
Interface



6.1.1.2.7 PROCEDURE - Approve/ Deny Request
The purpose of this procedure is to approve or deny the proposed position classification
request and provide departments with mayoral approval to move forward with creating
the new position, filling budgeted vacancy.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.2.7.1 The ability to provide
electronic notification to
designated users (e.g. staffing,
department heads, and budget)
Procedure
Requirement



6.1.1.2.8 PROCEDURE - Notify Departments of Mayor's Determination
The purpose of this procedure is to communicate the Mayors determination to the
appropriate department(s), ensuring they are aware and can take the appropriate next
steps.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.2.8.1 The ability to electronically
notify all required parties
Procedure
Requirement

6.1.1.2.8.2 The ability to electronically
workflow PARFS
Decision
Criteria/Business
Rule


42



6.1.1.2.9 PROCEDURE - Summarize Classification Package
The purpose of this procedure is to incorporate additional documentation into the
classification/reclassification request package to be sent to the Civil Service Committee
for review.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.2.9.1 The ability to automatically
generate
classification/reclassification
Class Log for Civil Service
meeting
Procedure
Requirement

6.1.1.2.9.2 The ability to electronically
workflow position
classification requests
(including attached supporting
documents to Civil Service
Admin unit)
Decision
Criteria/Business
Rule

6.1.1.2.9.3 The ability to electronically
populate position classification
requests based on business
rules (required fields to be
defined by users)
Business Form/User
Interface



6.1.1.2.10 PROCEDURE - Prepare for Civil Service Review
The purpose of this procedure is to compile documentation for approved Classification
change requests to be reviewed by the Civil Service Commission.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.2.10.1 The ability to generate letters
notifying employees of
pending reclassifications.
Procedure
Requirement

6.1.1.2.10.2 The ability to attach electronic
documents to position
classifications.
Business Form/User
Interface



6.1.1.2.11 PROCEDURE - Document Approved/ Rejected Classification
The purpose of this procedure is to document the results of the Civil Service Commission
review of a proposed Classification change request.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.2.11.1 The ability to provide a text Procedure
43


field for entering notes and
comments
Requirement
6.1.1.2.11.2 The ability to electronically
notify designated users
Decision
Criteria/Business
Rule

6.1.1.2.11.3 The ability to electronically
workflow the classification
decision and automatically
update
Decision
Criteria/Business
Rule

6.1.1.2.11.4 The ability to restrict access on
comments – such as denoting
them as private/internal vs.
general
Decision
Criteria/Business
Rule



6.1.1.2.12 PROCEDURE - Notify Request is Approved/On-Hold
The purpose of this activity is to notify City Departments of decisions made regarding
approved and rejected Position Classification requests.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.2.12.1 The ability to electronically
notify designated users of
position classification status
Procedure
Requirement

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



6.1.1.2.13 PROCEDURE - Submit Position Classification Change to Local Civil
Service Commission
The purpose of this procedure is to request of the local Civil Service Commission the
approval to change jurisdictional class associated with the position.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.2.13.1 The ability to pre populate
classification information (e.g.
position name/title,
department, number of
positions, salary) to be defined
Procedure
Requirement

6.1.1.2.13.2 The ability to provide a text
field for entering notes and
Business Form/User
Interface

44


comments
6.1.1.2.13.3 The ability to electronically
attach documents to requests
Business Form/User
Interface

6.1.1.2.13.4 The ability to electronically
track status of requests
Reporting


6.1.1.2.14 PROCEDURE - Submit Position Classification Change to New York
State Civil Service
The purpose of this procedure is to request of the New York State Civil Service
Commission the approval to change jurisdictional class associated with the position.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.2.14.1 The ability to electronically
submit appendices to New
York State Civil Service
Commission.
Procedure
Requirement

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

6.1.1.2.14.3 The ability to provide a text
field for entering notes and
comments
Business Form/User
Interface

6.1.1.2.14.4 The ability to electronically
attach documents to requests
Business Form/User
Interface



6.1.1.2.15 PROCEDURE - Notify of New York State Civil Service Commission
Determination
The purpose of this procedure is to share the New York State Civil Service Commission
decision regarding the position classification request with key stakeholders as necessary.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.2.15.1 The ability to electronically
notify designated users/groups
Procedure
Requirement

6.1.1.2.15.2 The ability to electronically
workflow decisions and update
the job class code
Decision
Criteria/Business
Rule

6.1.1.2.15.3 The ability to electronically
update any active employee
with approved job class code
Business Form/User
Interface

45


based on business rules.
6.1.1.2.15.4 The ability to electronically
flag specified job class for
future updates
Business Form/User
Interface



6.1.1.2.16 PROCEDURE - Update Position Classification
The purpose of this procedure is to utilize the determination of the New York State civil
service commission to make the appropriate system updates to the impacted position.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.2.16.1 The ability to apply electronic
workflow for updating position
classification
Procedure
Requirement

6.1.1.2.16.2 The ability to automatically
update the position availability
report when a new position has
been created/classified.
Reporting
6.1.1.2.16.3 The ability to electronically
view in real time the position
availability report.
Reporting
6.1.1.2.16.4 The ability to apply user access
restriction.
Security (User
Permissions/Access,
Compliance)

6.1.1.2.16.5 The ability to electronically pre
populate the job class code.
Business Form/User
Interface

6.1.1.2.16.6 The ability to automatically
generate new position number.
Business Form/User
Interface

6.1.1.2.16.7 The ability to enter start and
end date of a position
Business Form/User
Interface



6.1.1.3 PROCESS - Position Action Administration (Position Create / Abolish)
The purpose of this process is to add or remove City positions from the operating budget
and the corresponding table of organization detailing all city positions, titles and their
status. Note that this process differs based on whether it is being completed during the
annual budget process or during the fiscal year.


6.1.1.3.1 PROCEDURE - Submit Abolish Only Request
The purpose of this activity is to submit a request to initiate the process of abolishing a
city position.
46


Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.3.1.1 The ability to electronically
submit request to abolish
position
Procedure
Requirement



6.1.1.3.2 PROCEDURE - Submit Position "Early" Creation Request
The purpose of this activity is to submit the required information in order to initiate the
process of early create for a city temp or seasonal position.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.3.2.1 The ability to electronically
submit the request for creating
or abolishing a position
Procedure
Requirement

6.1.1.3.2.2 The ability to provide
workflow approvals for
position creation request.
Decision
Criteria/Business
Rule

6.1.1.3.2.3 The ability to pre-populate the
job classification log (to be
defined)
System
Interface/Data
Integration



6.1.1.3.3 PROCEDURE - Submit Create / Abolish Enactment
The purpose of this procedure is to initiate a Create / Abolish Enactments for a City
position.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.3.3.1 The ability to allow designated
users to electronically enter
changes proposed in a
classification request.
Procedure
Requirement

6.1.1.3.3.2 The ability to workflow
changes to designated users for
approval.
Decision
Criteria/Business
Rule

6.1.1.3.3.3 The ability to electronically
view position availability in
real time based on budgetary
table of organization.
Business Form/User
Interface

6.1.1.3.3.4 The ability to electronically
track positions whether
budgeted or not budgeted.
Business Form/User
Interface

6.1.1.3.3.5 The ability to allow existing Business Form/User
47


titles to be abolished. Retain
all information and history
associated with job title but
mark as abolished and prevent
any employee from occupying
job title.
Interface
6.1.1.3.3.6 The ability to allow new titles
to be created with an
associated job description, job
class, wage rate, union
association, bureau, sub-bureau
and appropriate budget
associations
(organization/object and fund).
Business Form/User
Interface

6.1.1.3.3.7 The ability to associate
budgeted funds for a position.
Decision
Criteria/Business
Rule

6.1.1.3.3.8 The ability to electronically
workflow position create or
abolish appropriate approver
Business Form/User
Interface



6.1.1.3.4 PROCEDURE - Approve Create / Abolish Enactment
The purpose of this activity is to obtain approval from the Budget Director for a Position
Create / Abolish Enactment.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.3.4.1 The ability to allow designated
individuals to reject or approve
classification changes
Procedure
Requirement

6.1.1.3.4.2 The ability to electronically
capture create/abolish form to
be defined.
Business Form/User
Interface



6.1.1.3.5 PROCEDURE - Update Status
The purpose of this activity is to update the status of Budget approval for a Position
Create / Abolish Enactment.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.3.5.1 The ability to electronically
workflow the approval process
for position create/abolish
requests to appropriate
designated individuals.
Procedure
Requirement

48


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


6.1.1.3.6 PROCEDURE - Approve Create / Abolish Enactment
The purpose of this activity is to obtain approval from the DHRM Director for a Position
Create / Abolish Enactment.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.3.6.1 The ability to electronically
workflow position create or
abolish to appropriate approver
Procedure
Requirement



6.1.1.3.7 PROCEDURE - Approve Request - Abolish Only
The purpose of this activity is to obtain approval from the Director of Human Resources,
Budget Director and Mayor and for an abolish only request.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.3.7.1 The ability to electronically
workflow position create or
abolish appropriate approver
Procedure
Requirement



6.1.1.3.8 PROCEDURE - Approve Early Create Request
The purpose of this procedure is to approve a Position Early Create request.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.3.8.1 The ability to provide
capability for electronic
signature
Procedure
Requirement

6.1.1.3.8.2 The ability to electronically
populate early create request
Business Form/User
Interface

6.1.1.3.8.3 The ability to electronically
workflow for approval
Decision
Criteria/Business
Rule



6.1.1.3.9 PROCEDURE - Distribute Create / Abolish Enactment
The purpose of this activity is to distribute the completely signed Create / Abolish
Position Enactment of newly created / abolished positions.
49


Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.3.9.1 The ability to electronically
view all approvals
Procedure
Requirement

6.1.1.3.9.2 The ability to electronically
notify designated users
Decision
Criteria/Business
Rule

6.1.1.3.9.3 The ability to automatically
update position availability
based on defined procedure
rules
Business Form/User
Interface

6.1.1.3.9.4 The ability to electronically
view enactments by designated
users.
Security (User
Permissions/Access,
Compliance)

6.1.1.3.9.5 The ability to prompt the
Requisition process/request to
fill.
Business Form/User
Interface



6.1.1.3.10 PROCEDURE - Create/ Abolish City Position
The purpose of this activity is to create or abolish a City position in the HRS system.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.1.1.3.10.1 The ability to electronically
update/view position
availability based on the
budgeted table of organization.
Procedure
Requirement

6.1.1.3.10.2 The ability to disallow abolish
of occupied positions.
Business Form/User
Interface



6.2 SERVICE - MGR - Human Resource Management


6.2.2 PROCESS AREA - Organization & Position Management - Organization
Evaluation & Administration


6.2.2.1 PROCESS - Organization Evaluation & Administration
The purpose of this process is to assess, develop, implement and control the City's
organization and position structure, which is governed by the City's Budget, position
requirements and competencies, in a framework that both advances the City's mission and
50


serves city's human capital needs.

6.2.2.1.2 PROCEDURE - Assess Organizational Impact
The purpose of this process is to assess the impact that the proposed personnel budget
will have on the organization and to aid in the development of the organization and
position management program. This program establishes the Organizational structure
(i.e. Departments, Bureaus, Sub-bureaus), the positions within the organization and the
salary schedules for all positions.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.2.2.1.2.1 The ability to assess the impact
that the proposed personnel
budget will have on the
organization and to aid in the
development of the
organization and position
management program.
Procedure
Requirement

6.2.2.1.2.2 The ability to electronically
post initial recommended
organizational improvements
Business Form/User
Interface

6.2.2.1.2.3 The ability to electronically
scan and store grant documents
Business Form/User
Interface



6.2.2.1.3 PROCEDURE - Develop Organization and Position Management
Program
The purpose of this procedure is to create and update organizational tables and positions
based on projections or other pre-defined criteria (i.e. contract changes, wage increases,
etc.)
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.2.2.1.3.1 The ability to automatically
create and update
organizational tables and
positions based on projections
or other pre-defined criteria
(i.e. contract changes, wage
increases, etc.)
Procedure
Requirement

6.2.2.1.3.2 The ability to associate a
budget code to all positions
defined in the organization and
position management program
Business Form/User
Interface

6.2.2.1.3.3 The ability to provide complete
integration between budgeting
and human resources
System
Interface/Data
Integration

51


processes, position and budget
control


6.2.2.1.4 PROCEDURE - Propose Organization and Position Management
Program
The purpose of this procedure is to propose and seek approval of the Organization and
Position Management program. This program establishes the Organizational structure
(i.e. Departments, Bureaus, Sub-bureaus), the positions within the organization and the
salary schedules for all positions.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.2.2.1.4.1 The ability to propose and seek
approval of the Organization
and Position Management
program
Procedure
Requirement

6.2.2.1.4.2 The ability to automate
workflow approvals and
notifications to pre-defined
stakeholders
Decision
Criteria/Business
Rule

6.2.2.1.4.3 The ability to electronically
attach support document to the
proposal
Business Form/User
Interface



6.2.2.1.5 PROCEDURE - Approve/Reject Organization and Position Management
Program
The purpose of this procedure is to approve or reject the Organization and Position
Management program.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.2.2.1.5.1 The ability to approve or reject
the Organization and Position
Management program
Procedure
Requirement

6.2.2.1.5.2 The ability to automate
workflow approvals and
notifications to pre-defined
stakeholders
Decision
Criteria/Business
Rule

6.2.2.1.5.3 The ability to provide a text
field for entering notes and
comments supporting decision
Business Form/User
Interface



6.2.2.1.6 PROCEDURE - Publish Organization and Position Management
52


Program
The purpose of this procedure is to publish and make available for use Organization,
Position and Salary tables
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.2.2.1.6.1 The ability to publish and
make available for use
Organization, Position and
Salary tables
Procedure
Requirement

6.2.2.1.6.2 The ability to restrict creation
or fulfillment of positions prior
to the approval of the
Organization, Position and
Salary tables
Decision
Criteria/Business
Rule

6.2.2.1.6.3 The ability to provide complete
integration between budgeting
and human resources
processes, position and budget
control
System
Interface/Data
Integration



6.3 SERVICE - MGR - Human Resource Management


6.3.3 PROCESS AREA - Personnel Management - Recruitment


6.3.3.1 PROCESS - Exam Development
The purpose of this process is to develop exams to be used for the Exam Administration
process.

6.3.3.1.1 PROCEDURE - Initiate Exam Need
The purpose of this procedure is to initiate the request or need for an exam to be
developed.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.3.3.1.1.1 The ability to electronically
select exam dates
Procedure
Requirement



6.3.3.1.2 PROCEDURE - Develop Exam
The purpose of this procedure is to develop an exam for a City position that needs the
requirements of New York Civil Service.
53


Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.3.3.1.2.1 The ability to upload exam
materials online
Procedure
Requirement

6.3.3.1.2.2 The ability to electronically
access exam
Business Form/User
Interface



6.3.3.2 PROCESS - Exam Administration
The purpose of this process is to publish and administer a civil service exam for an open
City position. Process participants ensure all recruitment efforts are completed according
to applicable laws, agreements, contractual agreements (etc), administrative
policies/procedures.

6.3.3.2.1 PROCEDURE - Initiate Exam
The purpose of this is to announce the vacancy or upcoming exam for a City position.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.3.3.2.1.1 The ability to electronically
select exam dates
Procedure
Requirement



6.3.3.2.2 PROCEDURE - Submit Exam Application
The purpose of this procedure is for a candidate to apply for a City position by
completing an exam application.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.3.3.2.2.1 The ability to allow online
submissions of exam
applications via the City web
site.
Procedure
Requirement

6.3.3.2.2.2 The ability to automatically
create an applicant record for
the individual applying.
Business Form/User
Interface

6.3.3.2.2.3 The ability to scan and attach
hard copy application,
supporting documents into
personnel record
Business Form/User
Interface

6.3.3.2.2.4 The ability to provide
electronic workflow for
review, approve, or reject
veterans credit by designated
individuals
Decision
Criteria/Business
Rule

54


6.3.3.2.2.5 The ability to calculate
veteran's credit based on
defined business rules
Decision
Criteria/Business
Rule

6.3.3.2.2.6 The ability to assign a
jurisdiction code to applicant
record based on cross filer
application.
Decision
Criteria/Business
Rule

6.3.3.2.2.7 The ability to generate reports
in various formats (excel, pdf,
csv, rtf, etc)
Reporting
6.3.3.2.2.8 The ability to generate a report
based on selected criteria such
as applicants requesting
Individualized Education Plan
(IEP).
Reporting
6.3.3.2.2.9 The ability to generate
electronic notification letter to
candidate of IEP approval or
rejection.
Decision
Criteria/Business
Rule



6.3.3.2.3 PROCEDURE - Qualify or Disqualify Candidate
The purpose of this procedure is to review exam applications and disqualify or allow
candidates to continue the exam administration process.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.3.3.2.3.1 The ability to generate
admission letters for all
approved exam candidates
containing the date, time, and
location of exam as well as
instructions on what to bring
and other preparations.
Procedure
Requirement

6.3.3.2.3.2 The ability to generate mailing
labels for all approved
candidates on demand.
Business Form/User
Interface



6.3.3.2.4 PROCEDURE - Conduct Exam
The purpose of this procedure is to oversee exams being taken by applicants for a City
position.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.3.3.2.4.1 The ability to electronically Procedure
55


generate admission letters to all
approved candidates
Requirement
6.3.3.2.4.2 The ability to generate mailing
labels for all approved
candidates
Business Form/User
Interface

6.3.3.2.4.3 The ability to provide text field
for recording notes
Business Form/User
Interface



6.3.3.2.5 PROCEDURE - Score & Grade Exam
The purpose of this procedure is the review and grading of all exams done by applicants
for a City position.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.3.3.2.5.1 The ability to indicate whether
candidates have passed or
failed within their personnel
record
Procedure
Requirement

6.3.3.2.5.2 The ability to report on
candidates passing or failing
the exam.
Reporting


6.3.3.3 PROCESS - Recruitment - Civilian
The purpose of this process is to announce the vacancy or upcoming exam, sourcing and
evaluating candidates against the minimum qualifications and special requirements for
the position. Participants in this process ensure all recruitment efforts are completed
according to applicable laws, agreements, contractual agreements (etc), administrative
policies/procedures.

6.3.3.3.1 PROCEDURE - Administer Job Requisition
The purpose of this procedure is to announce the vacancy or upcoming exam. Participants
ensure all recruitment efforts are completed according to applicable laws, agreements,
contractual agreements (etc), administrative policies/procedures.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.3.3.3.1.1 The ability to upload job
specification into
organization's website.
Procedure
Requirement

6.3.3.3.1.2 The ability to electronically
update specific requirements
for a position
Business Form/User
Interface


56



6.3.3.3.2 PROCEDURE - Source Candidate
The purpose of this procedure is the sourcing and evaluating candidates against the
minimum qualifications and special requirements for the position.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.3.3.3.2.1 The ability to allow designated
individuals to electronically
submit requests for approval to
hire into an existing classified
position.
Procedure
Requirement

6.3.3.3.2.2 The ability to allow documents
to be attached to position fill
request.
Business Form/User
Interface

6.3.3.3.2.3 The ability to route request to
appropriate individuals based
on full-time or part-time
position fill.
Decision
Criteria/Business
Rule

6.3.3.3.2.4 The ability to allow designated
individuals to electronically
review and either approve or
reject requests to fill an
existing classified position.
Allow comments to be
included with approval or
rejection
Decision
Criteria/Business
Rule

6.3.3.3.2.5 The ability to produce list of all
applicants for a particular
recruitment.
Reporting
6.3.3.3.2.6 The ability to produce reports
of approved applications.
Reporting


6.3.3.3.3 PROCEDURE - Nominate Candidate
The purpose of this procedure is to nominate one or multiple candidates based on the
sourcing and evaluation efforts.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.3.3.3.3.1 The ability to allow designated
individuals to electronically
select a candidate nomination
Procedure
Requirement

6.3.3.3.3.2 The ability to provide text field
for documenting interview
notes.
Business Form/User
Interface

57


6.3.3.3.3.3 The ability to route candidate
nominations to designated
individuals.
Decision
Criteria/Business
Rule



6.3.3.4 PROCESS - Recruitment - Fire
The purpose of this process is to announce the vacancy or upcoming exam, sourcing and
evaluating candidates against the minimum qualifications and special requirements for
the position. Participants in this process ensure all recruitment efforts are completed
according to applicable laws, agreements, contractual agreements (etc), administrative
policies/procedures.

6.3.3.4.1 PROCEDURE - Administer Job Requisition
The purpose of this procedure is to announce the vacancy or upcoming exam. Participants
ensure all recruitment efforts are completed according to applicable laws, agreements,
contractual agreements (etc), administrative policies/procedures.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.3.3.4.1.1 The ability to allow designated
individuals to electronically
submit requests for approval to
hire into an existing classified
position.
Procedure
Requirement

6.3.3.4.1.2 The ability to allow documents
to be attached to position fill
request.
Business Form/User
Interface

6.3.3.4.1.3 The ability to route request to
appropriate individuals based
on full-time or part-time
position fill.
Decision
Criteria/Business
Rule

6.3.3.4.1.4 The ability to allow designated
individuals to electronically
review and either approve or
reject requests to fill an
existing classified position.
Allow comments to be
included with approval or
rejection.
Decision
Criteria/Business
Rule

6.3.3.4.1.5 The ability to indicate
candidates as ineligible who
decline the position in a
canvass.
Business Form/User
Interface



6.3.3.4.2 PROCEDURE - Source Candidate
58


The purpose of this procedure is the sourcing and evaluating candidates against the
minimum qualifications and special requirements for the position.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.3.3.4.2.1 The ability to electronically
store and view list of eligible
candidates.
Procedure
Requirement

6.3.3.4.2.2 The ability to generate canvass
letters and mailing labels for
all candidates on any eligible
list. Canvass letters include
instructions for replying
interested/not interested.
Business Form/User
Interface



6.3.3.4.3 PROCEDURE - Nominate Candidate
The purpose of this procedure is to nominate one or multiple candidates based on the
sourcing and evaluation efforts.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.3.3.4.3.1 The ability to allow designated
individuals to enter notes about
recruit progress on personnel
record.
Procedure
Requirement

6.3.3.4.3.2 The ability to route to
designated individual for
review.
Decision
Criteria/Business
Rule



6.3.3.5 PROCESS - Recruitment - Police
The purpose of this process is to announce the vacancy or upcoming exam, sourcing and
evaluating candidates against the minimum qualifications and special requirements for
the position. Participants in this process ensure all recruitment efforts are completed
according to applicable laws, agreements, contractual agreements (etc), administrative
policies/procedures.

6.3.3.5.1 PROCEDURE - Administer Job Requisition
The purpose of this procedure is to announce the vacancy or upcoming exam. Participants
ensure all recruitment efforts are completed according to applicable laws, agreements,
contractual agreements (etc), administrative policies/procedures.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.3.3.5.1.1 The ability to allow documents
to be attached to position fill
Procedure
Requirement

59


request.
6.3.3.5.1.2 The ability to allow designated
individuals to electronically
submit requests for approval to
hire into an existing classified
position.
Decision
Criteria/Business
Rule

6.3.3.5.1.3 The ability to route request to
appropriate individuals based
on full-time or part-time
position fill.
Decision
Criteria/Business
Rule



6.3.3.5.3 PROCEDURE - Evaluate Candidate
The purpose of this procedure is to evaluate one or multiple candidates based on the
sourcing and evaluation efforts.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.3.3.5.3.1 The ability to allow designated
individuals to enter notes about
recruit progress on personnel
record.
Procedure
Requirement

6.3.3.5.3.2 The ability to allow designated
individuals to enter
Observation Reports on a
recruit's personnel record.
Decision
Criteria/Business
Rule

6.3.3.5.3.3 The ability to route to
designated individual for
review.
Decision
Criteria/Business
Rule

6.3.3.5.3.4 The ability to allow Police
recruits to electronically
submit transfer requests.
Business Form/User
Interface



6.4 SERVICE - MGR - Human Resource Management


6.4.4 PROCESS AREA - Personnel Management - Hiring


6.4.4.1 PROCESS - Hiring - Civilian
The purpose of this process is to accurately and efficiently fill approved vacancies. This
includes new, existing or re-hire employees. Process participants ensure the hiring
process is completed according to applicable laws, contractual agreements, and
60


administrative policies/procedures.

6.4.4.1.1 PROCEDURE - Nominate candidates for Position Assignment
The purpose of this procedure is to select and nominate a potential new employee for an
available position assignment.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.1.1 The ability to electronically
nominate candidates for
employment based on
predefined business rules (e.g.
classified as job ad, job
posting, recruitment, eligible
list)
Procedure
Requirement

6.4.4.1.1.2 The ability to electronically
capture interview notes within
employee application
Business Form/User
Interface



6.4.4.1.2 PROCEDURE - Notification of failed Pre-Qualification
The purpose of this procedure is to notify Nominated employee of their failed back
ground check.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.2.1 The ability to electronically
notify candidates of decision
Procedure
Requirement



6.4.4.1.3 PROCEDURE - Disqualify Candidate
The purpose of this procedure is to notify the candidate and the hiring department that the
candidate has been disqualified due to failure of the Background Check.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.3.1 The ability to allow designated
individuals to update a
candidate record as
"Disqualified" and include
notes explaining
disqualification.
Procedure
Requirement

6.4.4.1.3.2 The ability to electronically
distribute notifications to the
appropriate individuals.
Decision
Criteria/Business
Rule


61



6.4.4.1.4 PROCEDURE - Submit Salary Exception Request
The purpose of this procedure is to request a salary exception for eligible civilian
employees.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.4.1 The ability to electronically
request salary exception
Procedure
Requirement

6.4.4.1.4.2 The ability to electronically
attach prior earning statements
(e.g. prior W2s)
Business Form/User
Interface



6.4.4.1.5 PROCEDURE - Approve/Reject Salary Exception
The purpose of this procedure is to determine whether Salary Exception request is
approved or rejected. Whether approved or rejected, the process will continue to the next
step.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.5.1 The ability to electronically
notify of decisions.
Decision
Criteria/Business
Rule

6.4.4.1.5.2 The ability to provide approval
workflow.
Decision
Criteria/Business
Rule



6.4.4.1.6 PROCEDURE - Verify Candidate and Assignment Information
The purpose of this procedure is to ensure that all the required candidate and assignment
information is accurate and complete (e.g. position details, pay rates, civil service
information, etc).
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.6.1 The ability to display all
required fields within the
employee position
management
Procedure
Requirement

6.4.4.1.6.2 The ability to cross reference
with position classification
plan to ensure budgeted
vacancy
System
Interface/Data
Integration



62


6.4.4.1.7 PROCEDURE - Identify Existing Personnel Records
The purpose of this procedure is to locate and research any existing personnel records for
employees that are re-hires.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.7.1 The ability to query historical
personnel records of
individuals who left City
employment
Procedure
Requirement



6.4.4.1.8 PROCEDURE - Disqualify Candidate
The purpose of this procedure is to notify the candidate that they have been disqualified
due to civil service exam score not being high enough (i.e., not being "reachable" on the
list of candidates).
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.8.1 The ability to allow designated
individuals to update a
candidate record as
"Disqualified" and include
notes explaining
disqualification.
Procedure
Requirement

6.4.4.1.8.2 The ability to electronically
distribute notifications to the
appropriate individuals.
Decision
Criteria/Business
Rule



6.4.4.1.9 PROCEDURE - Review of Non-Competitive Position
The purpose of this procedure is to identify non-competitive positions that are being
filled and ensure that the nomination is appropriate. Non-competitive positions do not
require review of civil service eligible list but do require candidates meet minimum
qualifications and appointment complies with contractual agreement if applicable.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.9.1 The ability to electronically
review the non competitive
position
Procedure
Requirement



6.4.4.1.10 PROCEDURE - Produce Conditional Offer Letter
The purpose of this procedure is to create a conditional offer letter for a potential new
employee based on the assignment they are in consideration for.
63


Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.10.1 The ability to generate
conditional offer letter
containing conditions specific
to the position.
Procedure
Requirement

6.4.4.1.10.2 The ability to store conditions
specific to each job title.
Decision
Criteria/Business
Rule

6.4.4.1.10.3 The ability to track
test/conditional results (e.g.
drug test)
Business Form/User
Interface

6.4.4.1.10.4 The ability to automatically
flag candidates who have failed
previous pre-employment
conditions within past 12
months.
Decision
Criteria/Business
Rule

6.4.4.1.10.5 The ability to generate a check
list of forms required for each
conditional offer.
Reporting


6.4.4.1.11 PROCEDURE - Create Personnel File
The purpose of this procedure is to generate a new Personnel file for a potential new
employee. This personnel file will be used for the duration of the candidate’s
employment and after separation to retain all pertinent materials.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.11.1 The ability to create an
electronic personnel file
Procedure
Requirement

6.4.4.1.11.2 The ability to maintain Medical
information in a separate
personnel file.
Regulatory
6.4.4.1.11.3 The ability to electronically
produce labels for new
personnel files
Reporting


6.4.4.1.12 PROCEDURE - Compile Required Pre-Employment Forms
The purpose of this procedure is to create the pre-employment paperwork package
specific to candidate and potential assignment in order to complete the on-site completion
of the necessary paperwork.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
64


6.4.4.1.12.1 The ability to generate a check
list of required forms based on
business rules (e.g. position
specific requirements, length of
employee separation,
termination code)
Procedure
Requirement



6.4.4.1.13 PROCEDURE - Review Health History
The purpose of this procedure is to review candidate medical questionnaire (if required
based on position) to determine whether medical services review is required. Candidate
responses will dictate the need for physical exam. (e.g. no medical history, minor issues,
consistent with previously disclosed ailments (rehires), etc).
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.13.2 The ability to electronically
scan documents to employee
personnel record
Business Form/User
Interface



6.4.4.1.14 PROCEDURE - Determine Medical Qualification
The purpose of this procedure is for the medical services vendor to qualify or disqualify
candidates as a result of the physical examination. Medical services vendor will
reference job specific details to make an informed decision on whether a medical issue
might prevent them from meeting the minimum health requirements.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.14.1 The ability to automatically
send updated job description to
medical service providers
based on revised date.
Procedure
Requirement



6.4.4.1.15 PROCEDURE - Disqualify Candidate
The purpose of this procedure is to notify the candidate that they have been disqualified
due to failure of the physical exam.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.15.1 The ability to electronically
notify candidates of decisions.
Procedure
Requirement



6.4.4.1.16 PROCEDURE - Perform Background Check
65


The purpose of this procedure is to conduct background checks for identified candidates
and produce the background report for each candidate. Fingerprint based background
checks are collected by RPD accident/criminal record unit and electronically sent to NYS
Dept of Criminal J ustice Svcs (DCJ S) & FBI for processing. Staffing unit accesses
results on the DCJ S website.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.16.1 The ability to electronically
link background check results
to employee record.
Procedure
Requirement



6.4.4.1.17 PROCEDURE - Disqualify Candidate
The purpose of this procedure is to notify the candidate that they have been disqualified
due to failure of the Background Check.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.17.1 The ability to electronically
notify candidates of a decision
to disqualify them.
Procedure
Requirement



6.4.4.1.18 PROCEDURE - Review Drug Test Results
The purpose of this procedure is to receive the results of a candidate's drug test to
determine whether they pass specified requirement.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.18.1 The ability to provide user
interface based on business
rules (e.g. pass/fail and date of
results)
Procedure
Requirement



6.4.4.1.19 PROCEDURE - Disqualify Candidate
The purpose of this procedure is to notify the candidate that they have been disqualified
due to failure of the Drug Test.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.19.1 The ability to electronically
notify candidates of a decision
to disqualify candidate
Procedure
Requirement



66


6.4.4.1.20 PROCEDURE - Verify Drivers License Status
The purpose of this procedure is to verify class and status of driver's license.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.20.1 The ability to electronically
download driver's abstract
from New York State
Department of Motor Vehicles
and append to candidate's
personnel record
Procedure
Requirement

6.4.4.1.20.2 The ability to provide
workflow for routing driver's
abstract to DMV based on
business rules and legal
mandates
Decision
Criteria/Business
Rule



6.4.4.1.21 PROCEDURE - Disqualify Candidate
The purpose of this procedure is to notify the candidate that they have been disqualified
due to failure of the Driver's License Check. If disqualified for specific position that
requires a license, candidate is removed from eligibility list for specific position
(exception: same position may or may not require DL; Security Guard, Library, RHA).
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.21.1 The ability to electronically
notify candidates and
department of decision
Decision
Criteria/Business
Rule



6.4.4.1.22 PROCEDURE - Verify Professional Licenses and Certifications
The purpose of this procedure is to confirm that a candidate has the appropriate Licenses
and Certifications to perform their jobs.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.22.1 The ability to electronically
append professional licenses
and certification to personnel
record.
Business Form/User
Interface

6.4.4.1.22.2 The ability to provide user
interface to check off required
docs
Business Form/User
Interface



67


6.4.4.1.23 PROCEDURE - Disqualify Candidate
The purpose of this procedure is to notify the candidate that they have been disqualified
due to failure of the license/certification Check.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.23.1 The ability to electronically
notify candidates of a decision
to disqualify candidate
Procedure
Requirement



6.4.4.1.24 PROCEDURE - Schedule Benefits Orientation
The purpose of this procedure is to ensure all full time candidates who have been
confirmed to start are included in the next available scheduled New Hire Benefits
Orientation.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.24.1 The ability to electronically
populate orientation log based
on start date.
Procedure
Requirement



6.4.4.1.25 PROCEDURE - Identify Probationary Information
The purpose of this procedure is to determine (if applicable) the probationary period
required for the newly appointed city employee. Specific probationary period rules differ
for each position based on recruiting methods (e.g. union, promotional, transfer,
reinstatement, etc).
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.25.1 The ability to set
predetermined probational
period based on business rules
(.e.g. union contracts)
Procedure
Requirement



6.4.4.1.26 PROCEDURE - Schedule New Employee Orientation
The purpose of this procedure is to ensure all full time new hires and applicable part time
new hires that have been confirmed to start are included in the next available scheduled
New Hire City Orientation.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.26.1 The ability to electronically pre
populate the orientation roster
based on start date (e.g. yes or
Procedure
Requirement

68


no)


6.4.4.1.27 PROCEDURE - Send Confirmation Letter
The purpose of this procedure is to confirm with the candidate the details of the position
for which they are hired, including probation information and orientation schedules.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.27.1 The ability to electronically
generate confirmation letter for
review, signature, and
distribution. Detailed
information of letter to be
defined
Procedure
Requirement



6.4.4.1.28 PROCEDURE - Track Exam Needs
The purpose of this process is to ensure that the Civil Service Administrator is notified of
all appointments including new provisional appointments and from civil service eligible
lists.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.28.1 The ability to electronically
notify civil service exam
administrator
Procedure
Requirement

6.4.4.1.28.2 The ability to electronically
notify candidates when an
exam is available
Procedure
Requirement



6.4.4.1.29 PROCEDURE - Initiate Probationary Period
The purpose of this procedure is to document the initiation of the probationary period for
newly onboarded candidates within their personnel record to allow tracking of period.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.29.1 The ability to electronically
generate probationary forms
for completion
Procedure
Requirement

6.4.4.1.29.2 The ability to automatically
notify supervisors based on
business rules (e.g. start date
and probationary period)
Decision
Criteria/Business
Rule


69



6.4.4.1.30 PROCEDURE - Fill Position
The purpose of this procedure is to create the new hire Personnel Folder and employee
record, indicating the available position has been filled by the candidate.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.30.1 The ability to electronically
generate position filled letters
Procedure
Requirement

6.4.4.1.30.2 The ability to update candidate
status (e.g. applicant to
employee)
Business Form/User
Interface



6.4.4.1.31 PROCEDURE - Update Employee Probation Status
The purpose of this procedure is to process the completed probationary forms and update
the candidate's status to appropriately reflect their probation information.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.1.31.1 The ability to electronically
update employee probationary
status
Procedure
Requirement

6.4.4.1.31.2 The ability to allow designated
individuals to electronically
complete probationary forms
and submit
Business Form/User
Interface



6.4.4.2 PROCESS - Hiring - Police
The purpose of this process is to accurately and efficiently fill approved vacancies. This
includes new, existing or re-hire employees. Process participants ensure the hiring
process is completed according to applicable laws, contractual agreements, and
administrative policies/procedures.

6.4.4.2.1 PROCEDURE - Identify Qualifying Candidates
The purpose of this procedure is to identify qualifying groups of candidates for the Police
Academy based on exam scores. Identified candidates are grouped into qualifying groups
& these groups must be invited in their entirety.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.1.1 The ability to identify
qualifying scoring groups from
candidates' civil service exam
test scores
Procedure
Requirement

70




6.4.4.2.2 PROCEDURE - Generate List of Physical Agility Invitees
The purpose of this procedure is to generate a list of agility test invitees.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.2.1 The ability to electronically
generate an admission letter or
notice with mailing labels.
Procedure
Requirement

6.4.4.2.2.2 The ability to electronically
generate a list of physical
agility test invitees.
Reporting
6.4.4.2.2.3 The ability to identify
candidates eligible to retake the
physical agility exam based on
scoring criteria
Reporting


6.4.4.2.3 PROCEDURE - Generate Agility Admission Notification
The purpose of this procedure is to generate an admission notification which includes
materials for agility testing (medical waiver, notices of standing, admission letters, cover
letter and background packet, information sheet with map to site).
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.3.1 The ability to electronically
generate letter of admissions
Procedure
Requirement

6.4.4.2.3.2 The ability to electronically
generate mailing labels for
each eligible candidate
Reporting
6.4.4.2.3.3 The ability to electronically
generate admission letters for
all approved exam candidates
containing the date, time, and
location of exam as well as
instructions on what to bring
and other preparations.
Reporting


6.4.4.2.4 PROCEDURE - Resolve Undeliverable Admission Materials
The purpose of this procedure is to record returned Agility packets (undeliverable).
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
71


6.4.4.2.4.1 The ability to electronically
notify candidates of
undeliverable admission
materials using e-mail address
or other electronic
communication methods on
record
Procedure
Requirement



6.4.4.2.5 PROCEDURE - Approve/Reject Request for Alternate Date
The purpose of this procedure is to approve / deny a request for an alternate Agility Test
date and if approved, schedule for next holding.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.5.1 The ability to electronically
notify candidates of
approval/rejection of alternate
agility test dates
Procedure
Requirement



6.4.4.2.6 PROCEDURE - Track Receipt of Admission Material
The purpose of this procedure is to record who returned completed admission packets.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.6.1 The ability to electronically
track candidates who have
completed the admission
material
Procedure
Requirement

6.4.4.2.6.2 The ability to make note of
agility admission packages
returned to sender
Business Form/User
Interface



6.4.4.2.7 PROCEDURE - Generate Scoring Materials
The purpose of this procedure is to generate scoring materials for Agility Testing.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.7.1 The ability to electronically
generate score sheets for each
candidate pre-printed with
candidate's name
Procedure
Requirement

6.4.4.2.7.2 The ability to electronically Reporting
72


generate score sheets for each
candidate pre-printed with
candidate's name, date of
birth, gender, and agility test
requirements needed to pass


6.4.4.2.8 PROCEDURE - Grade Agility Exams
The purpose of this procedure is to grade the Agility Test results (pass / fail)
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.8.1 The ability to electronically
indicate whether candidates
have passed or failed an agility
exam
Procedure
Requirement



6.4.4.2.9 PROCEDURE - Update Background Information
The purpose of this procedure is to provide candidates an opportunity to review and
update their background information prior to the initiation of the background
investigation. This is done to identify early in the process candidates who want to amend
their background forms, which may result in preliminary disqualification.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.9.1 The ability to edit background
information by the employee
after it has been entered
initially
Procedure
Requirement

6.4.4.2.9.2 The ability to restrict when and
by whom updates are made to
the background information.
Business Form/User
Interface



6.4.4.2.10 PROCEDURE - Disqualify Candidate
The purpose of this procedure is to formally record a candidate as being disqualified from
the eligible hiring candidate list.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.10.1 The ability to flag candidate's
record for disqualification
Procedure
Requirement

6.4.4.2.10.2 The ability to electronically
notify candidates of decision.
Reporting
73




6.4.4.2.11 PROCEDURE - Confirm Medical Appointments
The purpose of this procedure is to confirm medical appointments with Candidates
passing the Agility Test and the initial Background Review. Appointment reminders and
following ups are performed as needed.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.11.1 The ability to generate a report
displaying all candidates and
medical appointments
Procedure
Requirement

6.4.4.2.11.2 The ability to flag a status for
medical and psychological
exams on applicant record.
Business Form/User
Interface

6.4.4.2.11.3 The ability to flag a status
indicating scheduled, passed,
failed exam.
Business Form/User
Interface

6.4.4.2.11.4 The ability to allow space for
notes and dates entry.
Business Form/User
Interface

6.4.4.2.11.5 The ability to generate
electronic notification
confirming medical
appointments
Business Form/User
Interface



6.4.4.2.12 PROCEDURE - Generate Exam Report
The purpose of this procedure is to generate an exam report of how many candidates
attended, how many passed/failed, what time Rural Metro showed up and left, issues with
candidates/critical incident reports and medical and psych appointment info. (Summary
report of candidates)
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.12.1 The ability to generate a report
of all candidates reporting to
Police physical agility exam,
the number that passed, and the
number that failed.
Procedure
Requirement

6.4.4.2.12.2 The ability to flag whether a
candidate passed or failed the
agility exam.
Business Form/User
Interface



6.4.4.2.13 PROCEDURE - Enter Agility Exam Scores
74


The purpose of this procedure is to update the candidate's record in the candidate tracking
system with physical agility exam scores.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.13.1 The ability to enter exam
scores against the associated
candidate record
Procedure
Requirement

6.4.4.2.13.2 The ability to generate a report
with the number of candidates
who attended a physical agility
exam
Reporting
6.4.4.2.13.3 The ability to generate a report
of each candidate's eligibility
Reporting


6.4.4.2.14 PROCEDURE - Record Candidate Medical Results
The purpose of this procedure is to receive the results of candidate’s medical evaluation.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.14.1 The ability to indicate a pass or
fail of medical exam on
candidate's record.
Procedure
Requirement

6.4.4.2.14.2 The ability to allow restriction
of access to documents with
personal/confidential
information.
Security (User
Permissions/Access,
Compliance)

6.4.4.2.14.3 The ability to attach copies of
medical evaluation results to a
candidate record.
System
Interface/Data
Integration



6.4.4.2.15 PROCEDURE - Notify of Failed Medical Screening
The purpose of this procedure is to notify police background investigators and the
candidate of a failed medical exam.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.15.1 The ability to electronically
notify the Police Department of
any candidates who failed the
medical exam.
Procedure
Requirement

6.4.4.2.15.2 The ability to generate a letter
to candidates who have failed
detailing the appeals process
Business Form/User
Interface

75


requirements.
6.4.4.2.15.3 The ability to provide a text
field for entering
notes/comments within the
disqualification letter
Business Form/User
Interface



6.4.4.2.16 PROCEDURE - Disqualify Candidate
The purpose of this procedure is to formally record a candidate as being disqualified from
the eligible hiring candidate list.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.16.1 The ability to flag candidate's
record for disqualification
Procedure
Requirement

6.4.4.2.16.2 The ability to electronically
notify candidates of decision.
Business Form/User
Interface



6.4.4.2.17 PROCEDURE - Update Eligible List
The purpose of this procedure is to capture updates to the civil service eligible list to
ensure most current information is available to all interested parties
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.17.1 The ability to update the list of
eligible candidates with
disqualifications and
overturned disqualifications
Procedure
Requirement



6.4.4.2.18 PROCEDURE - Notify of Drug Exam Fail
The purpose of this procedure is to notify police background investigators and the
candidate of a failed drug exam.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.18.1 The ability to electronically
notify Rochester Police
Department of any candidates
failing medical exam.
Decision
Criteria/Business
Rule

6.4.4.2.18.2 The ability to generate a letter
to candidate outlining reasons
for disqualification.
Business Form/User
Interface

6.4.4.2.18.3 The ability to provide a text
field for entering
Business Form/User
Interface

76


notes/comments within the
disqualification letter


6.4.4.2.19 PROCEDURE - Record Candidate Psych Results
The purpose of this procedure is to receive and review the psych evaluation results.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.19.1 The ability to generate and
electronically view the list
(civil service list) by
designated users
Procedure
Requirement

6.4.4.2.19.2 The ability to allow copies of
psychological evaluation
results to be attached to
candidate record.
Business Form/User
Interface

6.4.4.2.19.3 The ability to allow restriction
of access to documents with
personal/confidential
information.
Security (User
Permissions/Access,
Compliance)

6.4.4.2.19.4 The ability to provide a text
field for entering
notes/comments within the
disqualification letter
Business Form/User
Interface



6.4.4.2.20 PROCEDURE - Disqualify Candidate
The purpose of this procedure is to formally record a candidate as being disqualified from
the eligible hiring candidate list.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.20.1 The ability to indicate a letter
grade for psychological exam
on candidate record.
Procedure
Requirement

6.4.4.2.20.2 The ability to electronically
notify candidates of decision.
Decision
Criteria/Business
Rule

6.4.4.2.20.3 The ability to flag candidate's
record for disqualification
Business Form/User
Interface



6.4.4.2.21 PROCEDURE - Update Eligible List
77


The purpose of this procedure is to capture updates to the civil service eligible list to
ensure most current information is available to all interested parties
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.21.1 The ability to update the list of
eligible candidates with
overturned disqualifications
Procedure
Requirement



6.4.4.2.22 PROCEDURE - Conduct Full Background Check
The purpose of this activity is to conduct full background checks on candidates including:
credit, employment, reference, military, family, criminal, driving, etc..(The initial
background check started as soon as the agility test is completed. Staffing - HR
Consultant is informed every time candidate is rejected.)
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.22.1 The ability to indicate whether
candidates passed or failed the
polygraph exam
Procedure
Requirement

6.4.4.2.22.2 The ability to allow designated
users to enter notes explaining
disqualification
Security (User
Permissions/Access,
Compliance)

6.4.4.2.22.3 The ability to electronically
notify appropriate individuals
of candidates who have been
disqualified.
Decision
Criteria/Business
Rule

6.4.4.2.22.4 The ability to allow designated
individuals to flag a candidate
record as disqualified
Security (User
Permissions/Access,
Compliance)

6.4.4.2.22.5 The ability to allow summary
report of polygraph results to
be attached to candidate
record.
Reporting


6.4.4.2.23 PROCEDURE - Recommend Candidates
The purpose of this procedure is to review list of candidates and (if approved) provides
recommendation to Chief's Office or (if unacceptable) send to civil service commission
office
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.23.1 The ability to electronically
flag a candidate for
recommendation (e.g. review
Procedure
Requirement

78


committee to Police Chief's
office)


6.4.4.2.24 PROCEDURE - Update Eligible List
The purpose of this procedure is to capture updates to the civil service eligible list to
ensure most current information is available to all interested parties
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.24.1 The ability to update the list of
eligible candidates with
overturned disqualifications
Procedure
Requirement



6.4.4.2.25 PROCEDURE - Certify Eligible List
The purpose of this procedure is to certify that the candidate list contains only certified
and eligible candidates.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.25.1 The ability to generate a
certified list of all reachable
candidates (e.g. the top three
scores of interested candidates
and any candidates tied with
the third score).
Procedure
Requirement

6.4.4.2.25.2 The ability to not allow a
certification to be generated if
canvass responses have been
partially entered.
Decision
Criteria/Business
Rule



6.4.4.2.26 PROCEDURE - Select Candidates for Hire
The purpose of this activity is to review and select candidates.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.26.1 The ability to interface with
external system in order to
import/export approved
candidates
Procedure
Requirement

6.4.4.2.26.2 The ability to generate canvass
letters and mailing labels for
all candidates on any eligible
list (e.g. letters should include
Reporting
79


instructions for replying
interested/not interested)
6.4.4.2.26.3 The ability to allow restriction
of access to documents with
personal/confidential
information.
Security (User
Permissions/Access,
Compliance)



6.4.4.2.27 PROCEDURE - Communicate Formal Offer
The purpose of this procedure is to provide candidates with formal offer of employment,
including details of position (e.g. title, rate of pay)
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.27.1 The ability to generate offer
letters (conditional and formal)
for confirmed candidates
including dates, times, and
location of Police Academy
orientation if applicable. (e.g.
Procedure
Requirement



6.4.4.2.28 PROCEDURE - Submit Withdrawal Form
The purpose of this activity is to generate candidate withdrawal forms.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.28.1 The ability to indicate
applicant record as with
"withdrawal" and set to
inactive.
Procedure
Requirement

6.4.4.2.28.2 The ability to generate a letter
confirming withdrawal.
Reporting


6.4.4.2.29 PROCEDURE - Notify Candidate of Formal Offer Decision
The purpose of this procedure is to communicate with Staffing and RPD Personnel the
formal offer decision of candidates.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.29.1 The ability to generate a formal
letter for each new hire
Procedure
Requirement



80


6.4.4.2.30 PROCEDURE - Update Certification
The purpose of this procedure is for Personnel to update the personnel record with the
Police Chief's hiring decisions.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.30.1 The ability to electronically
update personnel records after
they have been initially entered
Procedure
Requirement



6.4.4.2.31 PROCEDURE - Create Final Offer Letter
The purpose of this procedure is to send out Final Offer Packages to Candidates who
accepted a Formal Offer.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.31.1 The ability to generate offer
letters (e.g. information related
to orientation, benefits, etc)
Procedure
Requirement



6.4.4.2.32 PROCEDURE - Update Eligible List
The purpose of this procedure is to capture updates to the civil service eligible list to
ensure most current information is available to all interested parties.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.32.1 The ability to electronically
track and update eligible list
Procedure
Requirement



6.4.4.2.33 PROCEDURE - Submit New Employee Record Request
The purpose of this procedure is to submit a request to add a new employee after being
hired.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.33.1 The ability to electronically
enter and track employee
records
Procedure
Requirement

6.4.4.2.33.2 The ability to provide
electronic workflow (e.g.
routing submitted forms to
designated approver)
Decision
Criteria/Business
Rule


81



6.4.4.2.34 PROCEDURE - Approve New Employee Record Request
The purpose of this procedure is to approve a new personnel record request and the
supporting documentation.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.34.1 The ability to generate and
update employee records (e.g.
Personnel Action and Position
management reports)
Procedure
Requirement

6.4.4.2.34.2 The ability to electronically
attach documents to personnel
record
Business Form/User
Interface

6.4.4.2.34.3 The ability to electronically
notify designated users
System
Interface/Data
Integration

6.4.4.2.34.4 The ability to provide
electronic signature capabilities
Security (User
Permissions/Access,
Compliance)



6.4.4.2.35 PROCEDURE - Update Probation Information
The purpose of this procedure is to document probation information.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.2.35.1 The ability to electronically
update probation information
Procedure
Requirement

6.4.4.2.35.2 The ability to provide
electronic workflow
notification
Decision
Criteria/Business
Rule



6.4.4.3 PROCESS - Hiring - Fire
The purpose of this process is to accurately and efficiently fill approved vacancies. This
includes new, existing or re-hire employees. Process participants ensure the hiring
process is completed according to applicable laws, contractual agreements, and
administrative policies/procedures.

6.4.4.3.1 PROCEDURE - Identify Fire Academy Dates
The purpose of this procedure is to identify the appropriate timelines for the next Fire
Academy class based on business needs.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
82


6.4.4.3.1.1 The ability to generate a report
displaying qualifying bands
and open positions
Procedure
Requirement



6.4.4.3.2 PROCEDURE - Publish Hiring Schedule
The purpose of this procedure is to identify the timelines available to complete the
required hiring activities leading up to the start of the next Fire Academy class.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.2.1 The ability to generate the
hiring schedule
Procedure
Requirement



6.4.4.3.3 PROCEDURE - Generate Orientation Materials
The purpose of this process is to generate and distribute orientation materials for the fire
candidate orientation that will be held by police background investigators.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.3.1 The ability to generate a report
or roster of identified
candidates to attend the
orientation
Procedure
Requirement



6.4.4.3.4 PROCEDURE - Schedule Background Orientation
The purpose of this procedure is to schedule a candidate orientation for eligible
candidates who have passed the exam and are within an eligible band
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.4.1 The ability to generate
orientation invitation letters
(e.g. date, time, and location)
to candidates eligible based on
scores of written exam.
Procedure
Requirement



6.4.4.3.5 PROCEDURE - Conduct Orientation
The purpose of this procedure is to explain in detail the hiring process to prepare
candidates for the next steps. This may result in candidates asking questions and
determining whether they want to continue with the hiring process.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
83


6.4.4.3.5.1 The ability to electronically
maintain a list of orientation
session invitees.
Procedure
Requirement



6.4.4.3.6 PROCEDURE - Communicate Withdrawal
The purpose of this procedure is to capture candidates who wish to withdraw themselves
from consideration from the hiring process. This can be done formally with a withdrawal
form, verbally or by 'absence' from required appointments, residency changes, etc.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.6.1 The ability to generate
notifications to designated
individuals who did not attend
the orientation session and
orientation waiver is not
received by a specified date
Procedure
Requirement



6.4.4.3.7 PROCEDURE - Confirm Withdrawal
The purpose of this procedure is to formally acknowledge candidates withdrawal from
the hiring processing.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.7.1 The ability to generate a
withdrawal confirmation letter
for each candidate failing to
attend orientation or submit a
waiver.
Procedure
Requirement



6.4.4.3.8 PROCEDURE - Update Eligible List
The purpose of this procedure is to capture updates to the civil service eligible list to
ensure most current information is available to all interested parties.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.8.1 The ability to update the list of
eligible candidates
Procedure
Requirement

6.4.4.3.8.2 The ability query and view a
list of eligible candidates
Reporting


6.4.4.3.9 PROCEDURE - Submit Background Waiver
84


The purpose of this procedure is to submit background waivers by the deadline.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.9.1 The ability to allow candidates
submit background check
releases to the City
Procedure
Requirement



6.4.4.3.10 PROCEDURE - Initiate Background Investigation
The purpose of this activity is for the RPD Backgrounds Unit to perform a thorough
background investigation and interview with Firefighter candidates. Results of both are
then documented in the candidate background package.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.10.1 The ability to indicate a pass or
fail for the background check
on a candidate's record.
Procedure
Requirement

6.4.4.3.10.2 The ability to allow text field
for entering notes on candidate
record
Business Form/User
Interface



6.4.4.3.11 PROCEDURE - Check Criminal History
The purpose of this procedure is to conduct a criminal history background check.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.11.1 The ability to allow text field
for entering notes on candidate
record
Procedure
Requirement



6.4.4.3.12 PROCEDURE - Schedule Interview
The purpose of this procedure is to schedule and hold an interview with firefighter
candidates.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.12.1 The ability to allow text field
for entering notes on candidate
record
Procedure
Requirement



85


6.4.4.3.13 PROCEDURE - Disqualify Candidate
The purpose of this procedure is to formally remove candidates from the hiring process
that have failed to meet residency requirements.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.13.1 The ability to generate a notice
of pending disqualification to
each candidate that does not
meet requirements
Procedure
Requirement

6.4.4.3.13.2 The ability to flag candidate's
record for disqualification
Business Form/User
Interface



6.4.4.3.14 PROCEDURE - Track Background Status
The purpose of this procedure is to continuously monitor candidate backgrounds to
comply with city regulations.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.14.1 The ability to electronically
attach/scan background
document to personnel record
Procedure
Requirement



6.4.4.3.15 PROCEDURE - Generate Background Investigation Report
The purpose of this procedure is to complete and deliver the background investigation
package, which includes all the details returned during the investigation, as well as
notations of 'favorable' and 'unfavorable' traits.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.15.1 The ability to electronically
attach/scan background
document to personnel record
Procedure
Requirement



6.4.4.3.16 PROCEDURE - Generate Background Package
The purpose of this procedure is to produce the background check package for candidate
evaluation and selection.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.16.1 The ability to electronically
attach/scan background
document to personnel record
Procedure
Requirement

86


6.4.4.3.16.2 The ability to electronically
send background check
package to review committee.
Reporting


6.4.4.3.17 PROCEDURE - Update Eligible List
The purpose of this procedure is to capture updates to the civil service eligible list to
ensure most current information is available to all interested parties.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.17.1 The ability to electronically
update and view eligible list
Procedure
Requirement

6.4.4.3.17.2 The ability to provide a text
field for entering notes and
comments
Business Form/User
Interface

6.4.4.3.17.3 The ability to allow restriction
of access to documents with
personal/confidential
information.
Security (User
Permissions/Access,
Compliance)



6.4.4.3.18 PROCEDURE - Identify Recommended Candidates
The purpose of this procedure is to develop recommendations for firefighter candidates to
submit to the Review Board and ultimately to identify qualified candidates to move
forward in the hiring process and disqualified candidates to be presented to the Civil
Service Commission.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.18.1 The ability to generate a
list/report of recommended
candidates
Procedure
Requirement

6.4.4.3.18.2 The ability to allow restriction
of access to documents with
personal/confidential
information.
Security (User
Permissions/Access,
Compliance)



6.4.4.3.19 PROCEDURE - Affirm Candidate Recommendations
The purpose of this procedure is to provide a formal acknowledgement of the receipt of
committee candidate recommendations and affirmation of evaluation procedures and
results.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
87


6.4.4.3.19.1 The ability to electronically
affirm the recommended and
disqualified candidate
Procedure
Requirement



6.4.4.3.20 PROCEDURE - Communicate Pending Disqualification
Recommendations to Civil Service
The purpose of this procedure is to provide a listing of the pending disqualified
candidates, along with each background investigation package and signed resolution to
the Civil Service Admin unit.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.20.1 The ability to electronically
notify pending disqualified
candidates
Procedure
Requirement



6.4.4.3.21 PROCEDURE - Conduct Candidate Interview
The purpose of this procedure is to interview and recommend Fire Department
Candidates.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.21.1 The ability to electronically
attach/scan background
document to personnel record
Procedure
Requirement

6.4.4.3.21.2 The ability to provide a text
field for entering
notes/comments
Business Form/User
Interface



6.4.4.3.22 PROCEDURE - Nominate Candidates
The purpose of this procedure is to use the candidate package information in order to
nominate candidates and trainees to be hired as firefighters.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.22.1 The ability to generate the list
of recommended candidates.
Procedure
Requirement



6.4.4.3.23 PROCEDURE - Distribute Conditional Offer Package
The purpose of this procedure is to generate and distribute conditional offer letters for
nominated candidates, as well as medical screening paperwork package.
88


Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.23.1 The ability to generate medical
paperwork
Procedure
Requirement

6.4.4.3.23.2 The ability to generate
conditional offer letter
Procedure
Requirement



6.4.4.3.24 PROCEDURE - Fingerprint Candidates
The purpose of this procedure is to coordinate an appointment for fingerprinting.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.24.1 The ability to identify whether
a candidate has been
fingerprinted in the candidate
record.
Procedure
Requirement



6.4.4.3.25 PROCEDURE - Notify Candidate of Disqualification
The purpose of this procedure is to notify firefighter candidates of disqualification
resulting from the commission meeting and appeals process.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.25.1 The ability to electronically
notify firefighter candidate of
disqualification.
Procedure
Requirement



6.4.4.3.26 PROCEDURE - Conduct Medical Evaluations
The purpose of this procedure is to conduct a medical evaluation for firefighter
candidates and provide results to City DHRM.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.26.1 The ability to allow copies of
medical evaluation results to be
attached to candidate record.
Procedure
Requirement



6.4.4.3.27 PROCEDURE - Notify of Failed Medical Screening
The purpose of this procedure is to notify the candidate that the medical evaluation was
failed.
89


Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.27.1 The ability to generate letter to
candidates who have failed,
allowing 10 days to have
evaluation overturned.
Procedure
Requirement

6.4.4.3.27.2 The ability to flag candidates
as passed or failed medical
evaluation.
Business Form/User
Interface

6.4.4.3.27.3 The ability to enter
notes/comments within a
disqualification letter template.
Business Form/User
Interface



6.4.4.3.28 PROCEDURE - Resolve Failed Medical Screenings
The purpose of this procedure is to allow candidates the opportunity to resolve medical
screening failures.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.28.1 The ability to flag candidates
as passed or failed medical
evaluation.
Procedure
Requirement



6.4.4.3.29 PROCEDURE - Review Resolution Documents
The purpose of this procedure is to ensure that the resolution documentation has been
properly filled out.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.29.1 The ability to electronically
attach/scan medical documents
to candidate's file
Procedure
Requirement



6.4.4.3.30 PROCEDURE - Produce Civil Service Certification
The purpose of this procedure is to utilize the results of all preceding candidate
evaluation, selection and screenings to produce a final certification report of eligible
candidates for appointment. Scores, names, veteran credits, contact info are included in
the candidate tracking solution.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.30.1 The ability to generate an
electronic certification of
Procedure
Requirement

90


eligible candidates.


6.4.4.3.31 PROCEDURE - Appoint Candidates
The purpose of this procedure is to select qualified candidates to become part of the Fire
Department.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.31.1 The ability to electronically
submit candidates for
appointment.
Procedure
Requirement



6.4.4.3.32 PROCEDURE - Send Final Offer Package
The purpose of this activity is to generate & distribute a final offer letter to candidates
with instructions for Fire academy. Several City officials or groups receive copies,
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.32.1 The ability to generate offer
letters for confirmed
candidates including dates,
times, and location of Police
Academy or Fire orientation if
applicable.
Procedure
Requirement

6.4.4.3.32.2 The ability to generate a final
offer letters.
Reporting
6.4.4.3.32.3 The ability to attach/scan
documents to candidate's
personnel file
Business Form/User
Interface



6.4.4.3.33 PROCEDURE - Create New Personnel Record
The purpose of this procedure is to create an employee record for all new hires in the Fire
personnel management solutions.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.33.1 The ability to electronically
update employee personnel
record
Procedure
Requirement

6.4.4.3.33.2 The ability to integrate with
outside system (e.g. Rochester
Fire Department’s Red Alert)
System
Interface/Data
Integration


91



6.4.4.3.34 PROCEDURE - Set Up Pay Increase Flag
The purpose of this activity is to set up a reminder to give new hires a raise at his/her one
year hire anniversary.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.34.1 The ability to electronically
flag/indicate employees
eligible for the one year
increase in pay.
Procedure
Requirement

6.4.4.3.34.2 The ability to provide
workflow for new personnel
records for new fire employees
Decision
Criteria/Business
Rule



6.4.4.3.35 PROCEDURE - Update Eligible List
The purpose of this procedure is to capture updates to the civil service eligible list to
ensure most current information is available to all interested parties.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.4.4.3.35.1 The ability to electronically
update and view eligible list
Procedure
Requirement



6.5 SERVICE - MGR - Human Resource Management


6.5.5 PROCESS AREA - Personnel Management - Personnel Additions & Changes


6.5.5.1 PROCESS - Personnel Additions & Changes - Personnel Record Update
The purpose of this process is to update an employee's Personnel Record based on input
from various other processes and appropriately file the supporting documentation

6.5.5.1.1 PROCEDURE - Validate Employee Status
The purpose of this procedure is to validate a need for change to the employee's
personnel record due to a change in the employee's status
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.5.5.1.1.1 The ability to electronically
view, accept, reject/return, or
amend employee status change
Procedure
Requirement

92


requests individually or in
mass. For example,
addition/changes to the
employee status change codes.
6.5.5.1.1.2 The ability to have a dashboard
to view, sort, and manage a log
of employee status change
request
Business Form/User
Interface

6.5.5.1.1.3 The ability to customize
electronic form for employee
status requests.
Business Form/User
Interface



6.5.5.1.2 PROCEDURE - Validate General Record
The purpose of this activity is to validate a need for change to the employee's personnel
record due to one of a number of potential triggers related to the employee's position or
personal events
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.5.5.1.2.1 The ability to electronically
view, accept, reject/return, or
amend employee status change
requests individually or in
mass. For example,
addition/changes to the
employee various record
update.
Procedure
Requirement

6.5.5.1.2.2 The ability to allow the
initiator of a personnel change
request to make updates to a
rejected request and re-submit.
Decision
Criteria/Business
Rule

6.5.5.1.2.3 The ability to apply workflow
to route Personnel Record
Update requests to designated
individual(s).
Decision
Criteria/Business
Rule

6.5.5.1.2.4 The ability to allow electronic
documents to be attached to
personnel record change
requests.
Business Form/User
Interface



6.5.5.1.3 PROCEDURE - Validate Employee Position/Title
The purpose of this procedure is to validate J ob Class / Position / Title changes request
and communicate need for update to the employee's Personnel Record.
93


Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.5.5.1.3.1 The ability to electronically
view, accept, reject/return, or
amend employee status change
requests individually or in
mass. For example,
addition/changes to the
employee various record
update.
Procedure
Requirement

6.5.5.1.3.2 The ability to allow the
initiator of a personnel change
request to make updates to a
rejected request and re-submit.
Decision
Criteria/Business
Rule

6.5.5.1.3.3 The ability to apply workflow
to route Personnel Record
Update requests to designated
individual(s).
Decision
Criteria/Business
Rule

6.5.5.1.3.4 The ability to allow electronic
documents to be attached to
personnel record change
requests.
Business Form/User
Interface



6.5.5.1.4 PROCEDURE - Validate Payroll Compensation
The purpose of this procedure is to review and validate a need for changes to an
employee's personnel record triggered by a change to the employee's compensation rate.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.5.5.1.4.1 The ability to electronically
view, accept, reject/return, or
amend employee status change
requests individually or in
mass. For example,
addition/changes to the
employee various record
update.
Procedure
Requirement

6.5.5.1.4.2 The ability to allow the
initiator of a personnel change
request to make updates to a
rejected request and re-submit.
Decision
Criteria/Business
Rule

6.5.5.1.4.3 The ability to apply workflow
to route Personnel Record
Update requests to designated
individual(s).
Decision
Criteria/Business
Rule

94


6.5.5.1.4.4 The ability to allow electronic
documents to be attached to
personnel record change
requests.
Business Form/User
Interface

6.5.5.1.4.5 The ability to allow designated
individual to approve or reject
personnel change request and
add notes.
Decision
Criteria/Business
Rule

6.5.5.1.4.6 The ability to generate a
notification to designated
individuals when a personnel
change request status changes
(approved, denied, on
hold/review).
Decision
Criteria/Business
Rule



6.5.5.1.5 PROCEDURE - Validate Benefits Change
The purpose of this procedure is to validate employee benefit changes that may impact
the personnel record.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.5.5.1.5.1 The ability to electronically
view, accept, reject/return, or
amend employee status change
requests individually or in
mass. For example,
addition/changes to the
employee various record
update.
Procedure
Requirement

6.5.5.1.5.2 The ability to apply workflow
to route Personnel Record
Update requests to designated
individual(s).
Decision
Criteria/Business
Rule

6.5.5.1.5.3 The ability to allow electronic
documents to be attached to
personnel record change
requests.
Business Form/User
Interface

6.5.5.1.5.4 The ability to allow designated
individual to approve or reject
personnel change request and
add notes.
Decision
Criteria/Business
Rule

6.5.5.1.5.5 The ability to generate a
notification to designated
individuals when a personnel
change request status changes
(approved, denied, on
Decision
Criteria/Business
Rule

95


hold/review).


6.5.5.1.6 PROCEDURE - Identify Required Personnel Record Changes
The purpose of this activity is to review and evaluate what system updates are required to
implement the approved request for personnel record change.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.5.5.1.6.1 The ability to electronically
view, accept, reject/return, or
amend employee status change
requests individually or in
mass. For example,
addition/changes to the
employee various record
update.
Procedure
Requirement



6.5.5.1.7 PROCEDURE - Identify Required Payroll Information Changes and
Timing
The purpose of this activity is to review and evaluate what payroll related system updates
are required to implement the approved request for personnel record change.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.5.5.1.7.1 The ability to electronically
view, accept, reject/return, or
amend employee status change
requests individually or in
mass. For example,
addition/changes to the
employee various record
update.
Procedure
Requirement



6.5.5.1.8 PROCEDURE - Update Personnel Record
The purpose of this procedure is to update the personnel record with changed employee
information from various sources.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.5.5.1.8.1 The ability to update the
employee personnel record
based on any change to
employee status
Procedure
Requirement

6.5.5.1.8.2 The ability to limit or control Security (User
96


access to employee personnel
record and specific fields or
views based on roles
Permissions/Access,
Compliance)
6.5.5.1.8.3 The ability to make direct
updates without going through
the department approval
process
Decision
Criteria/Business
Rule

6.5.5.1.8.4 The ability for integration in
recruitment and applicant data
with personnel and payroll
when predefined
activities/actions occur.
System
Interface/Data
Integration

6.5.5.1.8.5 The ability to track any
changes made to personnel
records for audit purposes.
Reporting


6.5.5.1.9 PROCEDURE - Update Employee Compensation
The purpose of this procedure is to update the personnel record with payroll specific
compensation related changes.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.5.5.1.9.1 The ability to update the
employee personnel record
relating to payroll information
such as wage rates, tax
withholdings, garnishments
and levies
Procedure
Requirement

6.5.5.1.9.2 The ability to limit or control
access to employee personnel
record and specific fields or
views based on roles
Security (User
Permissions/Access,
Compliance)

6.5.5.1.9.3 The ability for integration in
recruitment and applicant data
with personnel and payroll
when predefined
activities/actions occur.
System
Interface/Data
Integration



6.5.5.1.10 PROCEDURE - Update Veteran Status
The purpose of this procedure is to update the employee's Veteran Status on the
personnel record.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
97


6.5.5.1.10.1 The ability to update the
employee personnel record
relating to benefit information
such as veteran status
information.
Procedure
Requirement

6.5.5.1.10.2 The ability to limit or control
access to employee personnel
record and specific fields or
views based on roles
Security (User
Permissions/Access,
Compliance)



6.5.5.1.11 PROCEDURE - Update Longevity Pay Rates
The objective of this procedure is to update longevity pay rates after identifying
employees who are eligible for longevity based rate increases. This update is completed
monthly for weekly, bi-weekly and police pay cycles and semi-annually for fire pay
cycles. Longevity pay is apportioned by pay period and included in the employee’s
regular paycheck.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.5.5.1.11.1 The ability to automatically
calculate Longevity Pay Rates
based on select code,
anniversary date and pay type
Procedure
Requirement

6.5.5.1.11.2 The ability to notify selected
users of upcoming anniversary
dates and new rates
Decision
Criteria/Business
Rule

6.5.5.1.11.3 The ability to generate reports
in multiple formats (PDF,
Excel, RTF, etc.)
Reporting
6.5.5.1.11.4 The ability to generate future
longevity rate increase reports
for selected date ranges
Reporting


6.5.5.2 PROCESS - Personnel Additions & Changes - Step Increases
The purpose of this process is to complete annual / semi-annual pay increases for eligible
employees after obtaining manager approvals and update personnel records for approved
eligible employees.

6.5.5.2.1 PROCEDURE - Determine Step Increase Eligibility - Fiscal Year
The purpose of this activity is to create an eligible employee list for step increases. Fiscal
year step increases are effective in J uly. Employees are eligible for up to 2 steps per year.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
98


6.5.5.2.1.1 The ability to generate report
based on selection criteria such
as employees eligible for step
increase
Procedure
Requirement

6.5.5.2.1.2 The ability to apply step
increase for employees based
on business rules such as by
employee hire date, class,
status, assignment,
policy/contracts.
Decision
Criteria/Business
Rule

6.5.5.2.1.3 The ability to apply step
increase only to employees
hired or demoted after a
specified date
Decision
Criteria/Business
Rule

6.5.5.2.1.4 The ability to apply step
increase only to employees not
already at the top step within a
bracket
Decision
Criteria/Business
Rule

6.5.5.2.1.5 The ability to set up date for
step increase to take effect by
employee class
Decision
Criteria/Business
Rule



6.5.5.2.2 PROCEDURE - Determine Step Increase Eligibility - Calendar Year
The purpose of this activity is to create an eligible employee list for step increases.
Calendar year step increases are effective in J anuary. Employees are eligible for up to 2
steps per year.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.5.5.2.2.1 The ability to generate report
based on selection criteria such
as employees eligible for step
increase
Procedure
Requirement

6.5.5.2.2.2 The ability to apply step
increase by employee hire date,
class, status, and assignment
Decision
Criteria/Business
Rule

6.5.5.2.2.3 The ability to apply step
increase only to employees
hired after a specified date
Decision
Criteria/Business
Rule

6.5.5.2.2.4 The ability to apply step
increase only to employees not
already at the top step within a
bracket
Decision
Criteria/Business
Rule

6.5.5.2.2.5 The ability to set up date for
step increase to take effect by
Decision
Criteria/Business

99


employee class Rule


6.5.5.2.3 PROCEDURE - Approve / Reject Step Increases
The purpose of this procedure is to obtain departmental approval or rejection of Step
Increases for eligible employees.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.5.5.2.3.1 The ability to apply workflow
for step increase for approve or
reject decision
Procedure
Requirement

6.5.5.2.3.2 The ability to electronically
attach documents to personnel
record
Business Form/User
Interface

6.5.5.2.3.3 The ability to electronically
notify employees of decision
Decision
Criteria/Business
Rule

6.5.5.2.3.4 The ability to electronically
track receipt of step increase
decision as well as missing
approvals
Decision
Criteria/Business
Rule

6.5.5.2.3.5 The ability to electronically
notify step increase due date to
appropriate supervisors
Decision
Criteria/Business
Rule



6.5.5.2.4 PROCEDURE - Record Denial of Step Increase
The purpose of this procedure is to update the Step Increase Eligible List by removing
employees whose department denied the increase.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.5.5.2.4.1 The ability to receive
electronic response of step
denial decision
Procedure
Requirement

6.5.5.2.4.2 The ability to electronically
attach documents to personnel
record
Business Form/User
Interface

6.5.5.2.4.3 The ability to electronically
notify employees of decision
Decision
Criteria/Business
Rule



6.5.5.2.5 PROCEDURE - Update Wage Rates
100


The purpose of this procedure is to update the City's human resource management
application with new assignments based on the Step Increase approved list.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.5.5.2.5.1 The ability to automatically
update personnel record based
on effective date and changes
to their pay step
Procedure
Requirement

6.5.5.2.5.2 The ability to allow step
increase to be applied or
revoked manually by approved
personnel
Decision
Criteria/Business
Rule

6.5.5.2.5.3 The ability to store multiple
wage brackets and the
specified number of steps per
bracket
Business Form/User
Interface

6.5.5.2.5.4 The ability to limit or control
access to employee personnel
record and specific fields or
views based on roles
Security (User
Permissions/Access,
Compliance)

6.5.5.2.5.5 The ability to automatically
update wage rate upon
electronic receipt of approved
step increase based on effective
dates
Decision
Criteria/Business
Rule



6.5.5.2.6 PROCEDURE - Verify Step Update - Systems
The purpose of this procedure is to verify that all employees approved for a step increase
have been accurately updated and notify the employee's department.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.5.5.2.6.1 The ability to generate report
based on selection criteria such
as step increase pay changes
Procedure
Requirement



6.5.5.3 PROCESS - Personnel Additions & Changes - Out of Title Pay
The purpose of this process is to appropriately pay employees who substitute for other
employees in higher bracketed positions on a short term basis (illness, vacation, leave of
absence or working out of title for another employee). Employees wishing to be eligible
for Out of Title work must first apply for the position noting that application is for Out of
Title. Once the application is approved, they may work the higher bracket and submit an
Out of Title Pay Request with their normal timecard.
101



6.5.5.3.1 PROCEDURE - Submit Out of Title Application
The purpose of this procedure is to submit an application for approval to work Out of
Title in a specific job title.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.5.5.3.1.1 The ability to allow all
employees to electronically
complete and submit out of
title applications.
Procedure
Requirement

6.5.5.3.1.2 The ability to electronically
attach approved out of title
applications to employee
personnel record
Business Form/User
Interface



6.5.5.3.2 PROCEDURE - Approve / Deny Out of Title Application
The purpose of this procedure is to process and approve an Out of Title application for an
individual employee. An approved application is required if the employee is to be
scheduled temporarily in a higher title than his/her current assignment.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.5.5.3.2.1 The ability to electronically
notify department personnel
representatives, supervisors,
and time keepers of an
employee's approval to work in
a particular out of title role.
Procedure
Requirement

6.5.5.3.2.2 The ability to utilize workflow
for out of title pay for review
and approval
Decision
Criteria/Business
Rule

6.5.5.3.2.3 The ability to electronically
view the history of approved
out of title applications and
remove titles for which the
employee will no longer
receive out of title pay.
Business Form/User
Interface

6.5.5.3.2.4 The ability to generate a report
listing employees eligible for
out of title.
Reporting


6.5.5.3.3 PROCEDURE - Capture Out of Title Time
The purpose of this procedure is to capture the occurrence of time spent by employees
102


working in titles above their current position for the purpose of ensuring they are
compensated appropriately.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.5.5.3.3.1 The ability to ensure that the
out of title pay request was in
accordance with administrative
policy e.g. ensuring person
filling in for employee who
was utilizing other than duty
time in whole day increments.
Procedure
Requirement

6.5.5.3.3.2 The ability to workflow out of
title pay for review and
approval
Decision
Criteria/Business
Rule

6.5.5.3.3.3 The ability to indicate an
employee has been approved to
work out of title
Decision
Criteria/Business
Rule



6.5.5.3.4 PROCEDURE - Validate Out of Title Pay
The purpose of this procedure is to review and approve requests for Out of Title Pay for
an employee.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.5.5.3.4.1 The ability to determine rate of
pay for position for which
employees serve out of title
based on business rules
Procedure
Requirement

6.5.5.3.4.2 The ability to track and report
the amount of days an
employee serves for a
particular title.
Decision
Criteria/Business
Rule



6.5.5.3.5 PROCEDURE - Create Earn Code Transactions
The purpose of this procedure is to create an earning code transaction with the dollar
amount earned for an employee working out of title.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.5.5.3.5.1 The ability to check dates in
which the employee has been
paid for a particular out of title
position to prevent duplication.
Procedure
Requirement

6.5.5.3.5.2 The ability to automatically Business Form/User
103


create a payment transaction
for time worked in a particular
out of title position
Interface
6.5.5.3.5.3 The ability to define business
rules for out of title pay and
verify time worked out of title
by employee
Decision
Criteria/Business
Rule



6.5.5.4 PROCESS - Personnel Additions & Changes - Separation
The purpose of this process is the emptying or vacating of positions, potentially
eliminating them from the classification plan, and transitioning employees from active to
inactive status in accordance with all applicable laws, agreements, contractual agreements
(etc), and administrative policies/procedures. Also, completing and maintaining a
personnel record and the accurate disbursement of benefits and final compensation.

6.5.5.4.1 PROCEDURE - Separation Notification
The purpose of this milestone is to notify a City employee of separation of employment.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.5.5.4.1.1 The ability to generate a layoff
notification and mail to
employee.
Procedure
Requirement

6.5.5.4.1.2 The ability to store terminated
employees eligible for re-hire.
Business Form/User
Interface

6.5.5.4.1.3 The ability to rank re-hire list
based on seniority and other
predefined criteria
Decision
Criteria/Business
Rule

6.5.5.4.1.4 The ability to automatically
update personnel record with
new wage data after a step
increase is applied.
Business Form/User
Interface



6.5.5.4.2 PROCEDURE - Personnel Record Update
The purpose of this milestone is to complete and maintain a personnel record and the
accurate disbursement of benefits and final compensation.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.5.5.4.2.1 The ability to automatically
update personnel record with
new wage data after a step
increase is applied.
Procedure
Requirement

104


6.5.5.4.2.2 The ability to allow designated
individuals to request changes
to employee job titles/positions
and wage rates.
Decision
Criteria/Business
Rule

6.5.5.4.2.3 The ability to allow designated
individuals to indicate a
voluntary demotion in lieu of
layoff.
Decision
Criteria/Business
Rule

6.5.5.4.2.4 The ability to allow electronic
documents to be attached to
personnel change requests.
Business Form/User
Interface



6.6 SERVICE - MGR - Human Resource Management


6.6.6 PROCESS AREA - Benefits Mgmt - Enrollment


6.6.6.1 PROCESS - Enrollment Process
The purpose of this process is to educate, offer and enroll all eligible employees in city
offered benefit plans. Process participants ensure accurate and timely processing and
administration of employee benefit enrollment materials as a key input to the payroll
process and vendor systems. They also ensure all enrollment efforts are completed
according to applicable laws, contractual agreements, administrative policies/procedures.

6.6.6.1.1 PROCEDURE - Establish Medical Insurance Premium Equivalent
The purpose of this procedure is to establish the rates for medical insurance for the
upcoming plan year. The Benefits Administration Unit meets as part of the Labor
Management Health Care Committee (LMHC) to determine a Medical Insurance
Premium Equivalent with the Insurance Broker.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.1.1 The ability to electronically
submit request for medical
premium
Procedure
Requirement

6.6.6.1.1.2 The ability to generate a report
of total premium expense
incurred by the city
Reporting


6.6.6.1.2 PROCEDURE - Submit Request for Dental Insurance Premiums
The purpose of this procedure is to receive updated dental insurance premium rates and
105


plan information for the coming benefit year.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.2.1 The ability to electronically
submit request for dental
premium
Procedure
Requirement

6.6.6.1.2.2 The ability to generate a report
of total premium expense
incurred by the city
Reporting


6.6.6.1.3 PROCEDURE - Confirm Annual Maximums for Flexible Spending and
Parking Transit Reimbursement
The purpose of this procedure is to verify Federally mandated employee annual
maximum contributions for Flexible Spending Account (FSA) and Parking / Transit
Reimbursement Account (PTRA) for the upcoming year.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.3.1 The ability to update annual
maximum flexible spending
based on IRS regulations
Procedure
Requirement



6.6.6.1.4 PROCEDURE - Submit Request for Long Term Disability Premium
The purpose of this procedure is to receive updated Long Term Disability premium rates
and plan information for the coming benefit year.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.4.1 The ability to electronically
submit request for LTD
premium
Procedure
Requirement



6.6.6.1.5 PROCEDURE - Submit Request for Life Insurance Premium
The purpose of this procedure is to receive updated Life Insurance Buy-Up premium
rates and plan information for the coming benefit year. This is a pass-through amount
with no additional calculations required.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.5.1 The ability to electronically
submit request for life
insurance premium
Procedure
Requirement

106




6.6.6.1.6 PROCEDURE - Calculate Medical Insurance Contribution Rates
The purpose of this procedure is to calculate the employee / retiree contribution rates for
medical insurance based on the Medical Insurance Premium Equivalent and Bargaining
Unit contract specified contribution rates.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.6.1 The ability to calculate
contributions for each
employee/retiree group or
health definition code based on
benefit plan rates from
insurance vendors
Procedure
Requirement



6.6.6.1.7 PROCEDURE - Calculate Dental Insurance Contribution Rates
The purpose of this procedure is to compute the employee / retiree share for Dental
Insurance based on the Dental Insurance Rate Information from the vendor and
Bargaining Unit contract specified contribution rates.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.7.1 The ability to calculate
contributions for each
employee/retiree group or
health definition code based on
benefit plan rates from
insurance vendors
Procedure
Requirement



6.6.6.1.8 PROCEDURE - Generate Medical Insurance Enrollment Package
The purpose of this procedure is to create the information package to be communicated to
customers for medical coverage options and costs during the coming year.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.8.1 The ability to indicate which
employees are eligible to
receive which open enrollment
packages based on
employee/retiree group
Procedure
Requirement

6.6.6.1.8.2 The ability to upload federal
and state regulatory/mandated
forms for upcoming year
System
Interface/Data
Integration

6.6.6.1.8.3 The ability to generate a list of Reporting
107


employees/retirees to receive
enrollment package


6.6.6.1.9 PROCEDURE - Generate Dental Insurance Enrollment Material
The purpose of this procedure is to create the information package to be communicated to
customers for dental coverage options and costs during the coming year.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.9.1 The ability to indicate which
employees are eligible to
receive which open enrollment
packages based on
employee/retiree group
Procedure
Requirement

6.6.6.1.9.2 The ability to generate a list of
employees/retirees to receive
enrollment package
Reporting


6.6.6.1.10 PROCEDURE - Generate Flexible Spending Account Enrollment
Material
The purpose of this procedure is to prepare the flexible Spending information for
distribution.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.10.1 The ability to customize
vendor's enrollment form based
on business rules such as city
specific information (e.g. 24
deduction pay periods vs.
standard 26 pay periods)
Procedure
Requirement

6.6.6.1.10.2 The ability to update annual
maximum flexible spending
based on IRS regulations
Decision
Criteria/Business
Rule



6.6.6.1.11 PROCEDURE - Generate Long Term Disability Enrollment Material
The purpose of this procedure is to create an information and enrollment notice for Long
Term Disability Insurance.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.11.1 The ability to generate LTD
forms for enrollment
Procedure
Requirement

108




6.6.6.1.12 PROCEDURE - Generate Parking Transit Reimbursement Account
Enrollment Material
The purpose of this activity is to prepare the enrollment material for Parking Transit
Reimbursement Account, identifying those employees who are eligible based on work
location
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.12.1 The ability to generate Parking
Transit Reimbursement
Account (PTRA) form for
eligible employees based on
business rules (e.g. public
library, city hall, employees
working in the central business
district)
Procedure
Requirement



6.6.6.1.13 PROCEDURE - Generate Life Insurance Enrollment Material
The purpose of this procedure is to prepare Life Insurance information for the Enrollment
package.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.13.1 The ability to generate life
insurance form for enrollment
Procedure
Requirement



6.6.6.1.14 PROCEDURE - Distribute Parking Transit Reimbursement Account
Enrollment Material
The purpose of this procedure is to distribute Parking Transit Reimbursement Account
(PTRA) enrollment material. This procedure is separate from all other enrollment
material.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.14.1 The ability to electronically fill
out and submit Parking/Transit
Reimbursement enrollment
forms
Procedure
Requirement

6.6.6.1.14.2 The ability to generate mailing
labels for each eligible
employee
Decision
Criteria/Business
Rule



109


6.6.6.1.15 PROCEDURE - Prepare Packages for Mailing
The purpose of this procedure is to duplicate the benefit packages for mailing to
employees and retirees.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.15.1 The ability to sign up for
electronic enrollment and
benefit notification (e.g. during
offer letter, indication option to
enroll electronically for
benefits)
Procedure
Requirement



6.6.6.1.16 PROCEDURE - Qualifying Event Status Change
The purpose of this procedure is to initiate a change in benefit coverage based on a
change in employee status that has benefits implications.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.16.1 The ability for employee self
service qualifying event status
change
Procedure
Requirement

6.6.6.1.16.2 The ability to automate
workflow based on qualifying
events (e.g. indicate what
employees are now qualified
for)
Decision
Criteria/Business
Rule

6.6.6.1.16.3 The ability to electronically
attach supporting qualifying
event documents to employee
file (e.g. birth certificate,
marriage certificate)
Business Form/User
Interface



6.6.6.1.17 PROCEDURE - Prepare Orientation Materials
The purpose of this procedure is to complete preparation for an employee orientation
meeting, including identifying the attendee population (employee type, bargaining unit,
etc) and the required materials for each meeting.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.17.1 The ability to generate a check
list of forms required for each
enrollment type (e.g.
AFSCME, APT, etc)
Procedure
Requirement

6.6.6.1.17.2 The ability to electronically Business Form/User
110


track required enrollment
forms from employees
Interface


6.6.6.1.18 PROCEDURE - Conduct Employee Benefits Orientation
The purpose of this procedure is to complete enrollment of new employees in the various
benefit programs.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.18.1 The ability to generate a report
of all new employees,
including name, address, title,
effective date, and Social
Security number
Procedure
Requirement

6.6.6.1.18.2 The ability to electronically
generate notifications when
new employees have not
attended benefits orientation
within a specified time period.
Decision
Criteria/Business
Rule

6.6.6.1.18.3 The ability to electronically
track employees who have
gone through orientation
Business Form/User
Interface



6.6.6.1.19 PROCEDURE - Select Benefit Options
The purpose of this procedure is to select benefit options and provide proper supporting
documentation.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.19.1 The ability to sign up for
electronic enrollment and
benefit notification (e.g. during
offer letter, indication option to
enroll electronically for
benefits)
Procedure
Requirement

6.6.6.1.19.2 The ability to generate a report
indicator which employees
opted for life insurance and
which have not.
Reporting
6.6.6.1.19.3 The ability to electronically
track required enrollment
forms for each employees
Business Form/User
Interface

6.6.6.1.19.4 The ability to allow employees
to indicate plan or coverage
Business Form/User
Interface

111


level changes
6.6.6.1.19.5 The ability to automatically
enroll with existing plan and
coverage when employees do
not select coverage/plan
options during open enrollment
Business Form/User
Interface

6.6.6.1.19.6 The ability to electronically
assign benefits plan and
coverage level to each
employee
Decision
Criteria/Business
Rule

6.6.6.1.19.7 The ability to create record for
each identified dependent and
link to employee.
Decision
Criteria/Business
Rule



6.6.6.1.20 PROCEDURE - Employee Benefit Enrollment Elections
The purpose of this procedure is to complete enrollment of employees in the various
benefit programs.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.20.1 The ability to electronically
attach a copy of benefit
enrollment paperwork to
employee personnel file
Procedure
Requirement



6.6.6.1.21 PROCEDURE - Employee Elections Processing
The purpose of this procedure is to communicate the completed elections to the
appropriate unit for final processing/entry.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.21.1 The ability to electronically
complete enrollment forms
(e.g. tax forms, parking, fsa,
demographic information, ltd
buy up, medical, dental)
Procedure
Requirement

6.6.6.1.21.2 The ability to allow multiple
bank accounts, potentially
setting a limit.
Business Form/User
Interface

6.6.6.1.21.3 The ability to electronically
attach documents to employee
personnel file
Business Form/User
Interface

6.6.6.1.21.4 The ability to allow employees
to update their direct deposit
Business Form/User
Interface

112


information
6.6.6.1.21.5 The ability to store bank
routing numbers, account
numbers, and a
checking/savings designation
for each direct deposit set up.
Business Form/User
Interface

6.6.6.1.21.6 The ability to provide
electronic workflow (e.g.
medical, dental, long term
disability, life insurance)
Decision
Criteria/Business
Rule

6.6.6.1.21.7 The ability to place restrictions
on tax exemption/deduction
actions if lock in letter issued
by IRS or NYS.
Reporting
6.6.6.1.21.8 The ability to store personal
data in an encrypted format
Regulatory


6.6.6.1.22 PROCEDURE - Enroll with New York State Retirement System
The purpose of this procedure is to complete enrollment with the State Retirement
System.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.22.1 The ability to enter NYS
retirement system codes with
effective dates (e.g. registration
numbers, tier and plan
numbers, and arrears amount)
Procedure
Requirement

6.6.6.1.22.2 The ability to enter both
mandatory and optional arrears
based on federal and state
regulations
Decision
Criteria/Business
Rule

6.6.6.1.22.3 The ability to generate a report
of all retirement contribution
changes for any designated
time period
Reporting
6.6.6.1.22.4 The ability to generate a report
of all retirement contribution
changes for any designated
group of employees.
Reporting
6.6.6.1.22.5 The ability to override a
default deduction (e.g. override
3% to 4%)
Decision
Criteria/Business
Rule

6.6.6.1.22.6 The ability to set what Decision
113


deductions reduce various
taxable grosses
Criteria/Business
Rule


6.6.6.1.23 PROCEDURE - Enroll in Voluntary Defined Contribution
The purpose of this procedure is to enroll eligible employees (non union hired after
7/1/13 with starting salary greater than $75,000 in the Voluntary Defined Contribution if
employee elects.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.23.1 The ability to electronically
notify of new hires that are
eligible for VDC and allow for
their enrollment.
Procedure
Requirement

6.6.6.1.23.2 The ability to provide
electronic workflow for
reporting
Decision
Criteria/Business
Rule

6.6.6.1.23.3 The ability to automatically
calculate contribution amount
based on salary
Decision
Criteria/Business
Rule

6.6.6.1.23.4 The ability to generate an
electronic file containing VDC
contributions based on
business rules (e.g. comma
delimited, deductions, benefits,
last name, first name, hire date)
System
Interface/Data
Integration

6.6.6.1.23.5 The ability to generate a report
based on information received
from various investment
vendors (e.g. TIACREF)
Reporting
6.6.6.1.23.6 The ability to flag when
employees are vested.
Decision
Criteria/Business
Rule



6.6.6.1.24 PROCEDURE - Update Medical / Dental Deductions & Benefits
The purpose of this procedure is process the medical and dental deductions and benefits
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.24.1 The ability to automatically
update the deduction and
benefit amounts based on
group, plan cost, pay type, hire
Procedure
Requirement

114


date, union, retirement date,
size of plan – and have the
update occur on a specified
date.
6.6.6.1.24.2 The ability to flag qualified
medical child support orders.
Business Form/User
Interface

6.6.6.1.24.3 The ability to flag any
employees and spouse reaching
a predetermined age (e.g. 65
years old)
Decision
Criteria/Business
Rule

6.6.6.1.24.4 The ability to link employees
and their spouse
Decision
Criteria/Business
Rule

6.6.6.1.24.5 The ability to bill employees
who are on leave and owe
deductions (e.g. military leave)
Decision
Criteria/Business
Rule

6.6.6.1.24.6 The ability to electronically
flag and track employees who
are on leave based on
activation date
Decision
Criteria/Business
Rule

6.6.6.1.24.7 The ability to generate a report
indicating who is on medical
leave (e.g. set up automatic
monthly report)
Reporting
6.6.6.1.24.8 The ability to generate a report
based on military activation
code
Reporting
6.6.6.1.24.9 The Ability to generate a report
of medical by employee with
their spouse/domestic partner
to compare the costs.
Reporting
6.6.6.1.24.10 The ability to create record for
each identified dependent and
link to employee.
Business Form/User
Interface

6.6.6.1.24.11 The ability to split deductions
into pre-tax and post tax for
domestic partners
Decision
Criteria/Business
Rule

6.6.6.1.24.12 The ability to have taxable
benefits for domestic partner
Decision
Criteria/Business
Rule

6.6.6.1.24.13 The ability to link domestic
partner’s and their dependents
to the employee
Decision
Criteria/Business
Rule

6.6.6.1.24.14 The ability to take extra (or
early) deductions/benefits if
Decision
Criteria/Business

115


the employee will be leaving
employment before last pay
date of the month
Rule


6.6.6.1.25 PROCEDURE - Update Flexible Spending
The purpose of this procedure is to update and process different types of flex spending
accounts.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.25.1 The ability to electronically
enter individual FSA into
system
Procedure
Requirement

6.6.6.1.25.2 The ability to provide
electronic workflow (update
and notify payroll, benefits,
and vendor)
Decision
Criteria/Business
Rule

6.6.6.1.25.3 The ability to electronically
submit FSA form to eliminate
calculation errors
Decision
Criteria/Business
Rule

6.6.6.1.25.4 The ability for employees to
indicate they would like to
receive electronic notification
Decision
Criteria/Business
Rule

6.6.6.1.25.5 The ability to create electronic
file to send to FSA vendor(s)
System
Interface/Data
Integration

6.6.6.1.25.6 The ability to electronically
attach a copy of flexible
spending enrollment
paperwork to employee
personnel file
Business Form/User
Interface

6.6.6.1.25.7 The ability to update
FSA/PTRA when eligible for
qualifying events.
Business Form/User
Interface

6.6.6.1.25.8 The ability to take extra (or
early) deduction/benefit if an
employee is leaving
employment before last pay
date of the month
Decision
Criteria/Business
Rule



6.6.6.1.26 PROCEDURE - Update Long Term Disability
The purpose of this procedure is to process LTD coverage.
116


Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.26.1 The ability to update rates
based on business rules (e.g.
salary as of specified date)
Procedure
Requirement

6.6.6.1.26.2 The ability to flag when
employee's salary changes due
to different jobs, cost of living
adj, step increase, etc
Decision
Criteria/Business
Rule

6.6.6.1.26.3 The ability to stop deductions
at end of month of termination
(apply to other form of
deductions if applicable)
Decision
Criteria/Business
Rule

6.6.6.1.26.4 The ability to provide
electronic workflow for long
term disability
Decision
Criteria/Business
Rule

6.6.6.1.26.5 The ability to notify Benefits
Group of employees who are
eligible for long term disability
Decision
Criteria/Business
Rule

6.6.6.1.26.6 The ability to take extra (or
early) deduction/benefit if an
employee is leaving
employment before last pay
date of the month
Business Form/User
Interface



6.6.6.1.27 PROCEDURE - Update Life Insurance Forms
The purpose of this procedure is to process employee Life Insurance elections.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.27.1 The ability to electronically
attach a copy of life insurance
enrollment paperwork to
employee personnel file
Procedure
Requirement

6.6.6.1.27.2 The ability to generate a report
indicator which employees buy
up life insurance.
Reporting
6.6.6.1.27.3 The ability to flag employees
who have signed up for life
insurance coverage during
open enrollment.
Decision
Criteria/Business
Rule

6.6.6.1.27.4 The ability to flag employees
who buy up during the year.
Decision
Criteria/Business
Rule

117


6.6.6.1.27.5 The ability to calculate the buy
up rate based on age and
amount of buy up.
Decision
Criteria/Business
Rule

6.6.6.1.27.6 The ability to flag employees
who are eligible for waiver of
premiums based on length of
disability.
Decision
Criteria/Business
Rule



6.6.6.1.28 PROCEDURE - Update Miscellaneous New Hire Paperwork
The purpose of this procedure is to process misc new hire orientation paperwork.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.28.1 The ability to electronically
attach property ownership
verification to personnel record
Procedure
Requirement

6.6.6.1.28.2 The ability to electronically
update verification of property
ownership
Business Form/User
Interface

6.6.6.1.28.3 The ability to electronically
notify designated business
units of personnel address
change
Decision
Criteria/Business
Rule



6.6.6.1.29 PROCEDURE - Update Direct Deposit and Tax Info
The purpose of this procedure is to process new employee Direct Deposit and tax
elections.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.1.29.1 The ability to electronically
update direct deposit and tax
information
Procedure
Requirement



6.6.6.2 PROCESS - Enrollment - Retiree
The purpose of this process is to educate, offer and enroll all eligible employees in city
offered benefit plans. Ensure accurate and timely processing and administration of
employee benefit enrollment materials as a key input to the payroll process and vendor
systems. Ensure all enrollment efforts are completed according to applicable laws,
contractual agreements, administrative policies/procedures.

6.6.6.2. PROCEDURE -
118



Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.2..1 The ability to electronically
notify medical/dental vendors
of changes in employee status
(e.g. active to retiree group,
split contract)
Procedure
Requirement

6.6.6.2..2 The ability to generate Cobra
list based on changes made to
retiree medical/dental
Reporting
6.6.6.2..3 The ability to electronically
notify FSA/PTRA/HRA
vendors of cancellation
System
Interface/Data
Integration

6.6.6.2..4 The ability to electronically
track and link the coverage for
each retiree, spouse, and
dependent
Business Form/User
Interface

6.6.6.2..5 The ability to indicate which
employees/spouses are
reaching the age of 65
Business Form/User
Interface

6.6.6.2..6 The ability to indicate if
dependents are disabled
Business Form/User
Interface

6.6.6.2..7 The ability to indicate if
employee qualifies for
subsidized contribution
Business Form/User
Interface



6.6.6.2.1 PROCEDURE - Notify Benefits of Employee Retirement
The purpose of this procedure is to initiate the retirement process leading to a successful
transition from employee to retiree.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.2.1.1 The ability to provide
electronic workflow (from
Director of Human Resources
to employee's department head
and other designated business
users)
Procedure
Requirement



6.6.6.2.2 PROCEDURE - Send Congratulatory Letter to Employee
119


The purpose of this procedure is to send a congratulatory letter to the employee who is
about to retire and notify the Benefits unit of the employee's pending status change.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.2.2.1 The ability to electronically
notify city designated users
Procedure
Requirement

6.6.6.2.2.2 The ability to electronically
send letter to employee with
exit interview information
Reporting


6.6.6.2.3 PROCEDURE - Employee Retains Benefits Notices
The purpose of this procedure is to provide retiring employee benefits related notices and
information for his/her records.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.2.3.1 The ability to electronically
provide retirement benefit
information to retiring
employees
Procedure
Requirement



6.6.6.2.4 PROCEDURE - Update Personnel and Payroll Records
The purpose of this procedure is to update retiree's personnel and payroll records. The
updates will end the retiring employee's benefits related payroll deductions, update their
personnel record for Health Group and Health Definition Code, and create a final
Medical Insurance Deduction.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.2.4.1 The ability to electronically
update the Life Code
(Rochester Fire Department &
Rochester Police Department),
Health Definition Code and
Medical Group to retiree
number
Procedure
Requirement

6.6.6.2.4.2 The ability to electronically
stop payroll deductions (e.g.
life insurance, dental, long
term disability)
Business Form/User
Interface

6.6.6.2.4.3 The ability to electronically
add dental benefits for RFD
retiree
Business Form/User
Interface

6.6.6.2.4.4 The ability to schedule 3 Business Form/User
120


months of retiree health
contribution from the final
paycheck
Interface
6.6.6.2.4.5 The ability to exclude the 3
months of retiree health
contribution from W2.
Business Form/User
Interface

6.6.6.2.4.6 The ability to generate a list of
changes to retiree health
contribution
Reporting
6.6.6.2.4.7 The ability to track missed
deductions by the state
Reporting
6.6.6.2.4.8 The ability to electronically
change an employee's status
Decision
Criteria/Business
Rule

6.6.6.2.4.9 The ability to calculate the
difference between the
previous contribution rate and
the new contribution.
Business Form/User
Interface

6.6.6.2.4.10 The ability to link employee,
spouse, and dependents when
calculating total contribution
rate for New York State
Business Form/User
Interface



6.6.6.2.5 PROCEDURE - File Retirement Paperwork
The purpose of this procedure is to file the following signed forms completed during the
Retiree Exit Interview.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.2.5.1 The ability to electronically
maintain beneficiary
designation (if vendors are able
to accept electronic signature)
Procedure
Requirement

6.6.6.2.5.2 The ability to electronically
sign a waiver indicating
retirement information was
provided during exit interview.
Business Form/User
Interface




6.6.6.2.6 PROCEDURE - Update Medical/Dental Insurance
The purpose of this procedure is to update the vendors with the retired employee's benefit
change.

Reference Requirement Requirement Response Xrf
121


# Type (Y,Z,T,N)
6.6.6.2..1 The ability to
electronically notify
medical/dental vendors of
changes in employee
status (e.g. active to retiree
group, split contract)
Procedure
Requirement

6.6.6.2..2 The ability to generate
Cobra list based on
changes made to retiree
medical/dental
Reporting
6.6.6.2..3 The ability to
electronically notify
FSA/PTRA/HRA vendors
of cancellation
System
Interface/Data
Integration

6.6.6.2..4 The ability to
electronically track and
link the coverage for each
retiree, spouse, and
dependent
Business
Form/User
Interface

6.6.6.2..5 The ability to indicate
which employees/spouses
are reaching the age of 65
Business
Form/User
Interface

6.6.6.2..6 The ability to indicate if
dependents are disabled
Business
Form/User
Interface

6.6.6.2..7 The ability to indicate if
employee qualifies for
subsidized contribution
Business
Form/User
Interface




6.6.6.2.7 PROCEDURE - Notify Retirement System of Medical Insurance
Deduction
The purpose of this procedure is to notify the New York State Retirement System of the
medical insurance deduction for the newly retired employee.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.6.6.2.7.1 The ability to generate a list of
changes to retiree health
contribution (monthly and
annually) and notify
Retirement System
Procedure
Requirement

6.6.6.2.7.2 The ability to electronically
link split contracts and add
retiree's health deductions
Business Form/User
Interface

6.6.6.2.7.3 The ability to report in various Reporting
122


formats (excel, pdf, csv, rtf,
etc)


6.7 SERVICE - MGR - Human Resource Management


6.7.7 PROCESS AREA - Benefits Mgmt - Benefits Claim Management


6.7.7.1 PROCESS - Benefits Claim Management - Unemployment
The purpose of this process is to administer unemployment claims initiated by employee
who have been laid off or terminated.

6.7.7.1.1 PROCEDURE - Unemployment Claim
The purpose of this procedure is to initiate unemployment claims
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.7.7.1.1.1 The ability to electronically
complete form for employment
information
Procedure
Requirement



6.7.7.1.2 PROCEDURE - Approve or Deny Invoice
The purpose of this procedure is to approve quarterly invoice paid to third party vendors.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.7.7.1.2.1 The ability to generate a report
of all employees listed as
eligible to receive
unemployment compensation
for any specified time period.
Procedure
Requirement



6.7.7.1.3 PROCEDURE - Generate Employment Verification Report
The purpose of this procedure is to validate employment status of former employees and
report back to NYS Department of Labor
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.7.7.1.3.1 The ability to generate a report Procedure
123


of all employees listed as
eligible to receive
unemployment compensation
for any specified time period.
Requirement
6.7.7.1.3.2 The ability to generate reports
by department, bureau, or sub-
bureau containing employees,
titles, salary, and other
demographic information.
Procedure
Requirement

6.7.7.1.3.3 The ability to generate reports
in various formats (excel, pdf,
csv, rtf, etc)
Reporting


6.8 SERVICE - MGR - Human Resource Management


6.8.8 PROCESS AREA - Benefits Mgmt - Benefits Administration


6.8.8.1 PROCESS - Benefits Administration - Alternate Health Reimbursement
The purpose of this process is to identify employees eligible for the Alternative Health
Reimbursement Benefit (did not participate in City Health Insurance for all or part of the
year), calculate the benefit amount and transmit the information to Finance - Payroll for
payment to the employee as part of their regular payroll after the end of the calendar year.

6.8.8.1.1 PROCEDURE - Identify Eligible Employees
The purpose of this procedure is to identify employees who are eligibility for the
Alternative Health Benefit.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.8.8.1.1.1 The ability to generate a report
who are eligible for health care
monthly, but do not participate
Procedure
Requirement

6.8.8.1.1.2 The ability to generate period
specific reports for employees
not utilizing the CoR's health
care
Reporting
6.8.8.1.1.3 The ability to group employees
by select code. (Union based,
Full time/Part time)
Business Form/User
Interface

6.8.8.1.1.4 The ability to generate a report
by select code for the total
number of employees opting
Reporting
124


out of health coverage


6.8.8.1.2 PROCEDURE - Generate Eligible Employee Report
The purpose of this procedure is to generate a report of all full time and part time city
assigned employee groups and Inactive employees who have not enrolled in Health
Insurance during the past calendar year or part of the year for eligibility for the
Alternative Health Benefit.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.8.8.1.2.1 The ability to generate report
on employees eligible for
alternative health
reimbursement
Procedure
Requirement



6.8.8.1.3 PROCEDURE - Calculate Alternate Healthcare Payment Amounts
The purpose of this procedure is to calculate each eligible employee's Alterative Health
Benefit amount based on full or partial year enrollment in health insurance.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.8.8.1.3.1 The ability to create
transactions based on the
number of months eligible,
select code and total payment
amount per select code.
Procedure
Requirement

6.8.8.1.3.2 The ability to create
transactions based on an
effective date
Business Form/User
Interface

6.8.8.1.3.3 The ability to use aggregate or
supplemental taxes for this
payment
Business Form/User
Interface

6.8.8.1.3.4 The ability to pay terminated
employees
Business Form/User
Interface

6.8.8.1.3.5 The ability to generate current
and historical reports
Reporting


6.8.8.2 PROCESS - Benefits Administration - Life and Long Term Disability
Insurance Administration
The purpose of this process is to identify employees enrolled in Life Insurance and Long
Term Disability Insurance Benefits, calculate premiums due to the vendors for each
benefit, generate monthly invoices, and submit those invoices for payment to the vendors.
125



6.8.8.2.1 PROCEDURE - Generate Life Insurance Participant List
The purpose of this procedure is to generate the participant lists for Life Insurance
including employees who have "bought up" to higher coverage life insurance.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.8.8.2.1.1 The ability to generate a report
generate a list of employees
utilizing Life Insurance
through the City
Procedure
Requirement

6.8.8.2.1.2 The ability to run a report of
people who have been either
added or removed from the
participant list
Reporting
6.8.8.2.1.3 The ability to generate a report
based on salary/wage updates
Reporting
6.8.8.2.1.4 The ability to sort reports by
benefit plan
Reporting
6.8.8.2.1.5 The ability to designate
employees based on what level
of benefits an employee has
Reporting


6.8.8.2.2 PROCEDURE - Generate Long Term Disability Participant List
The purpose of this procedure is to generate the participant lists for Long Term Disability
Insurance including employees who have "bought up" to higher coverage long term
disability insurance.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.8.8.2.2.1 The ability to generate a report
of employees utilizing Life
Insurance through the City
Procedure
Requirement

6.8.8.2.2.2 The ability to sort reports by
benefit plan
Reporting
6.8.8.2.2.3 The ability to run a report of
people who have been either
added or removed from the
participant list
Reporting
6.8.8.2.2.4 The ability to generate a report
based on salary/wage updates
Reporting


6.8.8.2.3 PROCEDURE - Generate Invoice for Life Insurance
126


The purpose of this procedure is to produce the vendor invoices for Life Insurance.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.8.8.2.3.1 The ability to generate a report
by benefit plan, employee type
and set time
Procedure
Requirement

6.8.8.2.3.2 The ability to generate the
report in multiple formats
(PDF, Excel, RTF, etc)
Reporting
6.8.8.2.3.3 The ability to generate a report
based on the buy ups by birth
date/age.
Reporting


6.8.8.2.4 PROCEDURE - Generate Invoice for Long Term Disability
The purpose of this procedure is to produce the vendor invoices for Long Term Disability
Insurance.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.8.8.2.4.1 The ability to generate a report
by benefit plan, employee type
and set time
Procedure
Requirement

6.8.8.2.4.2 The ability to generate the
report in multiple formats
(PDF, Excel, RTF, etc)
Reporting


6.9 SERVICE - MGR - Human Resource Management


6.9.9 PROCESS AREA - Benefits Mgmt - Compliance and Reporting


6.9.9.1 PROCESS - Compliance Administration
The purpose of this process is to ensure certain city managed benefits are administered
accurately (including payment to vendors and employees) in accordance with contractual
and legal requirements, as well as city policy.

6.9.9.1.2 PROCEDURE - Gather Compliance Data
The purpose of this procedure is to compile all required compliance data for reporting
purposes from Federal and State agencies.
127


Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.9.9.1.2.1 The ability to electronically
collect and store compliance
data
Procedure
Requirement



6.9.9.1.3 PROCEDURE - Update Compliance & Reporting Guidelines
The purpose of this procedure is to update compliance guidelines towards City policies,
legal and contractual obligations relating to benefits.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.9.9.1.3.1 The ability to update
compliance guidelines as
needed to meet standards set
by state and federal
laws/mandates
Procedure
Requirement



6.10 SERVICE - MGR - Human Resource Management


6.10.10 PROCESS AREA - Compensation Mgmt - Regular (On Cycle) Payroll
Processing


6.10.10.1 PROCESS - Regular (On Cycle) Payroll Processing - Uniform/Union
RPD Payroll
The purpose of this process is to complete the accurate and timely payment to employees,
vendors, tax authorities of normal wages and earnings. This includes key components of
pay calculations - deductions, garnishments, benefits, taxes, retirements, time bank
updates, time/attendance data and accruals - adhering to all contractual and legal
requirements, as well as City policy.

Only unique procedures and requirements are included for Regular (On Cycle) Payroll
Processing - RFD Payroll. For a complete listing of shared procedures and requirements
see X.X All Scenarios.



6.10.10.1.1 PROCEDURE - Report Shift and Wheel Changes
The purpose of this procedure is to document any shift/wheel changes to the schedule
128


Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.1.1.1 The ability to report changes to
employee shifts and work
wheels.
Procedure
Requirement



6.10.10.1.2 PROCEDURE - Generate Schedule
The purpose of this procedure is to schedule officers’ assignments for the upcoming year
based on seniority and established staffing thresholds.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.1.2.1 The ability to schedule
officers’ assignments for the
upcoming year based on
seniority and established
staffing thresholds.
Procedure
Requirement



6.10.10.1.3 PROCEDURE - Request Time Off
The purpose of this procedure is to request time off from an employee's supervisor.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.1.3.1 The ability for employees to
request time off
Procedure
Requirement

6.10.10.1.3.2 The ability to have requests
automatically check against
available employee time banks
before being submitted
Decision
Criteria/Business
Rule



6.10.10.1.4 PROCEDURE - Approve/Deny Request
The purpose of this procedure is to approve or deny an employee request for time off.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.1.4.1 The ability to query or look up
time off requests by supervisor
and employees assigned to
them
Procedure
Requirement

6.10.10.1.4.2 The ability to approve a time
off request for an employee
Procedure
Requirement

129


6.10.10.1.4.3 The ability to reject a time off
request for an employee
Procedure
Requirement



6.10.10.1.5 PROCEDURE - Complete Monthly Special Event Calendar
The purpose of this procedure is to identify availability for special events scheduling in
order to complete the monthly special event calendar.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.1.5.1 The ability to identify
employee availability for the
purpose of scheduling.
Procedure
Requirement



6.10.10.1.6 PROCEDURE - Categorize Officers for Special Events
The purpose of this procedure is to categorize officers for scheduling of potential special
events duty based on evaluation of seniority, rank and availability.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.1.6.1 The ability to categorize
officers for scheduling of
potential special events duty
based on evaluation of
seniority, rank and availability.
Procedure
Requirement



6.10.10.1.7 PROCEDURE - Assign Officers to Special Event
The purpose of this procedure is to assign Police Officers to work a special event.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.1.7.1 The ability to assign Police
Officers to work a special
event, and document the
schedule accordingly.
Procedure
Requirement



6.10.10.1.8 PROCEDURE - Create Special Event Schedule Orders
The purpose of this procedure is to create the special event schedule for officers.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.1.8.1 The ability to create the special Procedure
130


event scheduling
orders/notification for officers.
Requirement


6.10.10.1.9 PROCEDURE - Assign Replacement Officer to Special Event
The purpose of this procedure is to assign a replacement Officer for a special event when
another is unable to work
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.1.9.1 The ability to assign a
replacement Officer for a
special event when another is
unable to work.
Procedure
Requirement



6.10.10.1.10 PROCEDURE - Submit Transfer Request
The purpose of this procedure is to initiate the transfer of an officers personnel file when
their job assignment changes.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.1.10.1 The ability to electronically
initiate the transfer of an
officers personnel file when
their job assignment changes.
Procedure
Requirement



6.10.10.1.11 PROCEDURE - Approve/Deny Transfer Request
The purpose of this procedure is to review and approve or deny personnel transfer
requests.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.1.11.1 The ability to review and
approve or deny transfer
requests
Procedure
Requirement

6.10.10.1.11.2 The ability to automatically
update roster information with
assignment changes and
include in scheduling.
Procedure
Requirement



6.10.10.1.12 PROCEDURE - Generate Table of Organization
The purpose of this procedure is to generate a table of officers by platoon including
ranks, names, assignment & wheel.
131


Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.1.12.1 The ability to generate a table
of officers by platoon including
ranks, names, assignment &
wheel.
Procedure
Requirement



6.10.10.1.13 PROCEDURE - Generate Platoon Rundown
The purpose of this procedure is to show who is currently working and what assignment
they are on.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.1.13.1 The ability to show who is
currently working and what
assignment they are on.
Procedure
Requirement



6.10.10.1.14 PROCEDURE - Generate Division Readiness Chart
The purpose of this procedure is to create a chart detailing which officers are available to
work within a division.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.1.14.1 The ability to use scheduling
information to detail which
officers are available to work
within a division.
Procedure
Requirement



6.10.10.1.15 PROCEDURE - Update Schedule
The purpose of this procedure is to update schedule information for police employees
based on inputs from special events scheduling, transfers, training assignments, time off
requests, etc.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.1.15.1 The ability to automatically
update schedule information
for police employees based on
inputs from special events
scheduling, transfers, training
assignments, time off requests,
etc.
Procedure
Requirement


132



6.10.10.1.16 PROCEDURE - Generate Time Card Template
The purpose of this procedure is to generate electronic time card templates for employees
based on information from their personnel record and assignment details.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.1.16.1 The ability to automatically
distribute electronic time cards.
Procedure
Requirement

6.10.10.1.16.2 The ability to have access to an
electronic time sheet to record
time
Business Form/User
Interface

6.10.10.1.16.3 The ability to track who made
changes to the timesheet
Security (User
Permissions/Access,
Compliance)

6.10.10.1.16.4 The ability for a designated
supervisor/admin to access the
employee time sheet to record
time
Security (User
Permissions/Access,
Compliance)

6.10.10.1.16.5 The ability to use electronic
time cards
Procedure
Requirement

6.10.10.1.16.6 The ability to pre-populate
electronic time cards with
approved time off (planned
vacation, sick, jury duty,
military, etc).
Business Form/User
Interface



6.10.10.1.17 PROCEDURE - Complete Time Card
The purpose of this procedure is to complete the officer's time card with worked hours.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.1.17.1 The ability for the employee to
complete their time cards
electronically
Procedure
Requirement

6.10.10.1.17.2 The ability for the
supervisor/admin to complete
employee timecards
electronically
Business Form/User
Interface

6.10.10.1.17.3 The ability to alert employees
that timecards are due through
email/text message
Decision
Criteria/Business
Rule

6.10.10.1.17.4 The ability to restrict the time
entered based on availability
Security (User
Permissions/Access,

133


Compliance)
6.10.10.1.17.5 The ability to restrict time
entered based on earn code
Security (User
Permissions/Access,
Compliance)

6.10.10.1.17.6 The ability to restrict time used
based on defined business rules
(Military Time, Mammogram)
Security (User
Permissions/Access,
Compliance)

6.10.10.1.17.7 The ability to remotely access
the employee timesheet
Business Form/User
Interface

6.10.10.1.17.8 The ability to flag a time card
that has not reached the
established minimum hours
Decision
Criteria/Business
Rule

6.10.10.1.17.9 The ability to restrict use of
specific earn codes by
employee group, assignment,
work location and other to be
defined criteria.
Decision
Criteria/Business
Rule

6.10.10.1.17.10 The ability to notify employees
and supervisors of missing
time cards, as well as view
status of all time cards.
Decision
Criteria/Business
Rule



6.10.10.1.18 PROCEDURE - Capture Overtime Hours
The purpose of this procedure is to submit overtime hours worked.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.1.18.1 The ability to restrict the
ability to approve or deny OT
based on security access and
group restrictions
Procedure
Requirement

6.10.10.1.18.2 The ability to electronically
submit overtime worked for
approval through workflow
Business Form/User
Interface

6.10.10.1.18.3 The ability to attach supporting
documentation to overtime
entered
Business Form/User
Interface

6.10.10.1.18.4 The ability to set up business
rules (Minimum Time, Comp
or cash)
Decision
Criteria/Business
Rule

6.10.10.1.18.5 The ability to assign cost
centers to overtime hours
worked
Business Form/User
Interface

134


6.10.10.1.18.6 The ability for electronic
review by designated system
admin prior to submittal
Business Form/User
Interface

6.10.10.1.18.7 The ability to generate reports
with detailed time tracking
Reporting
6.10.10.1.18.8 The ability to automatically
approve or deny overtime
submittal based on set business
rules
Decision
Criteria/Business
Rule



6.10.10.1.19 PROCEDURE - Approve/Deny Time Cards
The objective of this activity is to ensure the accurate completion and provide
supervisory approval of employee time cards.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.1.19.1 The ability to electronically
approve or deny time card
submissions
Procedure
Requirement

6.10.10.1.19.2 The ability to electronically
review time entered
Business Form/User
Interface

6.10.10.1.19.3 The ability to generate an audit
trail of all changes made
Security (User
Permissions/Access,
Compliance)

6.10.10.1.19.4 The ability to electronically
notify employee of approved
and denied time cards, and
reasoning for denial (email,
text, phone)
Decision
Criteria/Business
Rule

6.10.10.1.19.5 The ability to generate
exception report based on
hours worked, time submittal
and other business rules
Reporting
6.10.10.1.19.6 The ability to capture reason
codes for any denied
timesheets
Business Form/User
Interface

6.10.10.1.19.7 The ability to stage time card
data for creation of payroll
transactions in appropriate
payroll cycle.
System
Interface/Data
Integration

6.10.10.1.19.8 The ability to enter free form
text notes when reviewing
timecards, which is visible to
employee and authorized
Business Form/User
Interface

135


personnel.


6.10.10.2 PROCESS - Regular (On Cycle) Payroll Processing - Uniform/Union
RFD Payroll
The purpose of this process is to complete the accurate and timely payment to employees,
vendors, tax authorities of normal wages and earnings. This includes key components of
pay calculations - deductions, garnishments, benefits, taxes, retirements, time bank
updates, time/attendance data and accruals - adhering to all contractual and legal
requirements, as well as City policy.

6.10.10.2.1 PROCEDURE - Set Annual Line Group/Staff Schedule
The purpose of this procedure is to set the fire group and staff schedules for the upcoming
year.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.2.1.1 The ability to create a recurring
schedule for all employees for
a period of a year (plus)
Procedure
Requirement

6.10.10.2.1.2 The ability to report on
scheduled employees and
attendance
Reporting
6.10.10.2.1.3 The ability to manually update
an employee work schedule
Business Form/User
Interface

6.10.10.2.1.4 The ability to update schedule
rotations at any time
Business Form/User
Interface



6.10.10.2.2 PROCEDURE - Schedule Vacation (Furlough)
The purpose of this procedure is to submit vacation requests for the next year to RFD
management.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.2.2.1 The ability to electronically
submit a vacation (furlough)
request for approval/denial for
a years time
Procedure
Requirement

6.10.10.2.2.2 The ability to electronically
request a vacation (furlough)
time/date change
Business Form/User
Interface

6.10.10.2.2.3 The ability restrict access to
vacation approvals based on
security/group access
Decision
Criteria/Business
Rule

136




6.10.10.2.3 PROCEDURE - Approve/Deny Vacation Request
The purpose of this procedure is approve or deny an employee request for time off based
on department needs, laws, mandates and union requirements.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.2.3.1 The ability to approve a
vacation time off request for an
employee
Procedure
Requirement

6.10.10.2.3.2 The ability to reject a vacation
time off request for an
employee
Procedure
Requirement

6.10.10.2.3.3 The ability to query or look up
vacation time off requests by
supervisor and employees
assigned to them
Business Form/User
Interface



6.10.10.2.4 PROCEDURE - Generate Overtime Seniority List
The purpose of this procedure is to establish an overtime seniority list for the upcoming
year.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.2.4.1 The ability to generate a report
based on rank, title, application
date and time
Procedure
Requirement

6.10.10.2.4.2 The ability to publish the
overtime seniority list and
allow visibility based on
defines security access.
Reporting


6.10.10.2.5 PROCEDURE - Schedule Cycle Time
The purpose of this procedure is to identify available cycle time for employees and create
specific assignments that will impact the base group schedule
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.2.5.1 The ability to enter shift Cycle
time electronically for the
purposes of completing
schedule.
Procedure
Requirement

6.10.10.2.5.2 The ability to enter adjustments Business Form/User
137


to shift cycle time
electronically
Interface


6.10.10.2.6 PROCEDURE - Propose Schedule
The purpose of this procedure is to propose a general order that will communicate
schedule and cycle times, as well as define the steps for selecting furlough days off.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.2.6.1 The ability to send generated
reports in multiple formats to
designated recipients
electronically.
Procedure
Requirement

6.10.10.2.6.2 The ability to generate reports
based on cycle and vacation
time.
Reporting


6.10.10.2.7 PROCEDURE - Approve/Deny Schedule
The purpose of this procedure is to approve or deny the general order detailing the
proposed schedule and cycle time information for the Fire Department.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.2.7.1 The ability to approve
generated general order
Procedure
Requirement

6.10.10.2.7.2 The ability to deny a generated
general order
Procedure
Requirement



6.10.10.2.8 PROCEDURE - Revise Schedule
The purpose of this procedure is to revise the schedule (General Order) after the union
has rejected the initial submission.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.2.8.1 The ability to make
adjustments to furlough and
cycle time as needed
electronically
Procedure
Requirement



6.10.10.2.9 PROCEDURE - Generate Time Card Template
The purpose of this procedure is to generate electronic time card templates for employees
based on information from their personnel record and assignment details.
138


Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.2.9.1 The ability to pre-populate
employee time for a defined set
of time (i.e. year) where
employees will only enter
exceptions
Procedure
Requirement

6.10.10.2.9.2 The ability to generate reports
based on time worked
Reporting
6.10.10.2.9.3 The ability to pre-populate
electronic time cards with
approved time off (planned
vacation, sick, jury duty,
military, etc).
Business Form/User
Interface



6.10.10.2.10 PROCEDURE - Submit Line Overtime Form
The purpose of this procedure is to submit overtime details electronically into time card.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.2.10.1 The ability to electronically
submit overtime into the time
tracking system
Procedure
Requirement

6.10.10.2.10.2 The ability to edit entered
overtime
Business Form/User
Interface



6.10.10.2.11 PROCEDURE - Submit Extra Duty Report
The purpose of this procedure is to submit an extra duty report for all overtime done
outside of the Line division.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.2.11.1 The ability to have a supervisor
electronically enter employee
extra duty (overtime) as needed
Procedure
Requirement

6.10.10.2.11.2 The ability to have a supervisor
electronically assign work to a
specified job code for reporting
purposes
Decision
Criteria/Business
Rule

6.10.10.2.11.3 The ability to have a supervisor
electronically enter comp time
to a benefit bank in lieu of
overtime
Decision
Criteria/Business
Rule

139




6.10.10.2.12 PROCEDURE - Record Personal Leave
The purpose of this procedure is to enter Personal time taken onto the timesheets.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.2.12.1 The ability to automatically
load personal time at
established times, with
multiple load amounts in hours
Procedure
Requirement

6.10.10.2.12.2 The ability generate a personal
time bank pay out
Reporting


6.10.10.2.13 PROCEDURE - Record Military Orders & Time Off
The purpose of this procedure is to enter time off requests, including Military time on to
the employee exception time sheets.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.2.13.1 The ability for employee to
electronic record time off
requests (including military
time).
Procedure
Requirement

6.10.10.2.13.2 The ability to electronically
attached documentation to time
off submission
Procedure
Requirement

6.10.10.2.13.3 The ability to create time off
limits for selected time off
codes
Decision
Criteria/Business
Rule



6.10.10.2.14 PROCEDURE - Enter Out of Title Eligibility
The purpose of this procedure is to enter out of title time onto the employee timesheets.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.2.14.1 The ability to document out of
title eligibility within the
employee record.
Procedure
Requirement

6.10.10.2.14.2 The ability to do out of title
pay calculations in the payroll
system (same pay period)
Decision
Criteria/Business
Rule

140


6.10.10.2.14.3 The ability to calculate
individual out of title pay
based on job position,
education and business rules
Decision
Criteria/Business
Rule

6.10.10.2.14.4 The ability to integrate with
3rd party software, providing
personnel details related to out
of title eligibility.
System
Interface/Data
Integration



6.10.10.2.15 PROCEDURE - Record Exception Time
The purpose of this procedure record all time and work codes outside of the standard
worked hours on employee time sheets.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.2.15.1 The ability to electronically
document exception time
within employee time card.
Procedure
Requirement

6.10.10.2.15.2 The ability to generate reports
based on type of time and date
used
Reporting
6.10.10.2.15.3 The ability to define what earn
codes are available to be
utilized as exception time
based on employee type,
assignment detail, work
location, etc.
Decision
Criteria/Business
Rule

6.10.10.2.15.4 The ability to restrict exception
time usage where minimum
balances are exceeded.
Decision
Criteria/Business
Rule



6.10.10.3 PROCESS - Regular (On Cycle) Payroll Processing - Bi-Weekly
The purpose of this process is to complete the accurate and timely payment to employees,
vendors, tax authorities of normal wages and earnings. This includes key components of
pay calculations - deductions, garnishments, benefits, taxes, retirements, time bank
updates, time/attendance data and accruals - adhering to all contractual and legal
requirements, as well as City policy.

6.10.10.3. PROCEDURE -

Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
141


6.10.10.3..1 The ability to track vehicle
usage by day per employee
Procedure
Requirement

6.10.10.3..2 The ability to define a form
template and paper stock for
paper checks which align with
the City of Rochester
requirements
Business Form/User
Interface

6.10.10.3..3 The ability to automatically
calculate taxable benefit
amounts based on vehicle
usage and established dollar
amount per day
System
Interface/Data
Integration

6.10.10.3..4 The ability to define the order
which deductions are taken
Decision
Criteria/Business
Rule

6.10.10.3..5 The ability to generate a report
of vehicles being used by
decision maker
Reporting
6.10.10.3..6 The ability to define whether a
partial deduction’s balance
goes into arrears
Decision
Criteria/Business
Rule

6.10.10.3..7 The ability to integrate with the
City's Financial System (Tyler
MUNIS) for deductions
resulting in payment to
Vendors (i.e. Garnishments)
System
Interface/Data
Integration

6.10.10.3..8 The ability to generate custom
reports based on deduction
related criteria
Reporting
6.10.10.3..9 The ability to automatically
end a garnishment once the
goal has been met and begin
the next.
Decision
Criteria/Business
Rule

6.10.10.3..10 The ability to automatically
modify contributions based on
pay schedule
Decision
Criteria/Business
Rule

6.10.10.3..11 The ability to create a report or
export file by deduction code
or type
Reporting
6.10.10.3..12 The ability to integrate with the
City’s Financial System (Tyler
MUNIS) for deductions
resulting in payment to
Vendors (i.e. Garnishments)
System
Interface/Data
Integration

6.10.10.3..13 The ability to define whether a Decision
142


deduction can or cannot be
partially taken
Criteria/Business
Rule
6.10.10.3..14 The ability to automate
workflow notifications to pre-
defined stakeholders
Decision
Criteria/Business
Rule

6.10.10.3..15 The ability to determine
whether deductions are pretax
or after tax
Decision
Criteria/Business
Rule

6.10.10.3..16 The ability to automate
workflow notifications to pre-
defined stakeholders
Decision
Criteria/Business
Rule

6.10.10.3..17 The ability to create a report or
export file by deduction code
or type
Reporting


6.10.10.3.1 PROCEDURE - Request Time Off
The purpose of this procedure is to allow employees to enter a request for time off.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.3.1.1 The ability to electronically
request time off
Procedure
Requirement

6.10.10.3.1.2 The ability to electronically
workflow time off request to
appropriate approver
Decision
Criteria/Business
Rule

6.10.10.3.1.3 The ability to view status of
time off requests.
Decision
Criteria/Business
Rule



6.10.10.3.2 PROCEDURE - Approve/Deny Time Off Request
The purpose of this procedure is approve or deny an employee request for time off.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.3.2.1 The ability to electronically
workflow time off request to
appropriate designated
approver.
Procedure
Requirement

6.10.10.3.2.2 The ability to electronically
notify users of time off request
decision
Decision
Criteria/Business
Rule

6.10.10.3.2.3 The ability to view schedule Business Form/User
143


details by user-defined
timeframe to provide visibility
into workforce availability.
Interface


6.10.10.3.3 PROCEDURE - Schedule Time Off
The purpose of this procedure gather and schedule requests for time off while adhering to
department needs, business rules and union contracts, agreements and City policy.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.3.3.1 The ability to request and track
time off
Procedure
Requirement

6.10.10.3.3.2 The ability to restrict time off
requests based on benefit
balances
Decision
Criteria/Business
Rule

6.10.10.3.3.3 The ability to automatically
populate a time cards based on
approved time off
System
Interface/Data
Integration

6.10.10.3.3.4 The ability to deny time off
requests
Procedure
Requirement

6.10.10.3.3.5 The ability to report on
workforce minimum
requirements
Decision
Criteria/Business
Rule

6.10.10.3.3.6 The ability to notify supervisor
of time bank balance changes
that would conflict with
preapproved time off
Decision
Criteria/Business
Rule

6.10.10.3.3.7 The ability to show future
benefit balances for future time
off requests
Procedure
Requirement

6.10.10.3.3.8 The ability to track employees
out on leave and apply
appropriate earn codes to time
card templates based on leave
rules.
Decision
Criteria/Business
Rule



6.10.10.3.4 PROCEDURE - Generate Time Card Template
The purpose of this procedure is to generate electronic time card templates for employees
based on information from their personnel record and assignment details.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.3.4.1 The ability to automatically Procedure
144


distribute time cards Requirement
6.10.10.3.4.2 The ability to use electronic
time cards
Procedure
Requirement

6.10.10.3.4.3 The ability to pre-populate
electronic time cards with
approved time off (planned
vacation, sick, jury duty,
military, etc).
Business Form/User
Interface

6.10.10.3.4.4 The ability to pre-populate
employee time for a defined set
of time (i.e. year) where
employees will only enter
exceptions
Procedure
Requirement



6.10.10.3.5 PROCEDURE - Capture Time
The purpose of this procedure is for employees to accurately document their time &
attendance details for specified payroll periods. This includes using specific earn codes
as allowed and identifying eligible holidays and time banks for usage.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.3.5.1 The ability to electronically
complete time cards
Procedure
Requirement

6.10.10.3.5.2 The ability to electronically
submit time card
Procedure
Requirement

6.10.10.3.5.3 The ability to edit time entered
on a time card
Business Form/User
Interface

6.10.10.3.5.4 The ability to restrict the
ability to edit a time card once
a pay period has ended
Security (User
Permissions/Access,
Compliance)

6.10.10.3.5.5 The ability to access the time
card remotely
Business Form/User
Interface

6.10.10.3.5.6 The ability to restrict access to
a time card based on location
Security (User
Permissions/Access,
Compliance)

6.10.10.3.5.7 The ability to integrate with
time clock hardware and
software
System
Interface/Data
Integration

6.10.10.3.5.8 The ability to restrict time
entry information based on
employee schedule details.
Decision
Criteria/Business
Rule

6.10.10.3.5.9 The ability to round time
entered based on employee
schedule details.
Decision
Criteria/Business
Rule

145


6.10.10.3.5.10 The ability to restrict earn code
usage based on pay type, select
code and predetermined dates
Decision
Criteria/Business
Rule

6.10.10.3.5.11 The ability for designated user
to update employee time cards
with attendance details (sick,
late, unauthorized absence,
etc).
Decision
Criteria/Business
Rule



6.10.10.3.6 PROCEDURE - Approve/Reject Time Cards
The purpose of this procedure is to ensure the accurate completion and provide
supervisory approval of employee time cards.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.3.6.1 The ability to electronically
approve or deny time card
submissions
Procedure
Requirement

6.10.10.3.6.2 The ability to lock down data
once it has been approved
Decision
Criteria/Business
Rule

6.10.10.3.6.3 The ability to restrict the
ability to approve based on
system security access
Security (User
Permissions/Access,
Compliance)

6.10.10.3.6.4 The ability to reject submitted
time and capture reason codes
for denial.
Decision
Criteria/Business
Rule

6.10.10.3.6.5 The ability to correct rejected
time
Security (User
Permissions/Access,
Compliance)

6.10.10.3.6.6 The ability to forward time
approval to supervising
individual for approval
Business Form/User
Interface

6.10.10.3.6.7 The ability to electronically
track and send notifications of
time cards not submitted
Decision
Criteria/Business
Rule

6.10.10.3.6.8 The ability to view an audit
trail of all changes made to
time cards
Business Form/User
Interface

6.10.10.3.6.9 The ability to electronically
notify employee of approved
and denied time cards, and
reasoning for denial (email,
text, phone)
Decision
Criteria/Business
Rule

146


6.10.10.3.6.10 The ability to generate
exception report based on
hours worked, time submittal
and other business rules
Business Form/User
Interface

6.10.10.3.6.11 The ability to stage time card
data for creation of payroll
transactions in appropriate
payroll cycle.
System
Interface/Data
Integration

6.10.10.3.6.12 The ability to enter free form
text notes when reviewing
timecards, which is visible to
employee and authorized
personnel.
Business Form/User
Interface



6.10.10.3.7 PROCEDURE - Record Time Card Data
The purpose of this procedure is to record employee time and attendance details.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.3.7.1 The ability to retain historical
payroll time card and earn
codes transactions
Procedure
Requirement

6.10.10.3.7.2 The ability to generate reports
of historical information
Reporting
6.10.10.3.7.3 The ability to stage time card
data for creation of payroll
transactions in appropriate
payroll cycle.
Procedure
Requirement



6.10.10.4 PROCESS - Regular (On Cycle) Payroll Processing - Weekly
The purpose of this process is to complete the accurate and timely payment to employees,
vendors, tax authorities of normal wages and earnings. This includes key components of
pay calculations - deductions, garnishments, benefits, taxes, retirements, time bank
updates, time/attendance data and accruals - adhering to all contractual and legal
requirements, as well as City policy.

6.10.10.4.1 PROCEDURE - Create Work Schedule
The purpose of this procedure is to create a work schedule for all weekly employees.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.4.1.1 The ability to assign a schedule Procedure
147


to an employee Requirement
6.10.10.4.1.2 The ability to reuse a pre-
existing schedule
Procedure
Requirement

6.10.10.4.1.3 The ability to use a schedule
rotation
Procedure
Requirement

6.10.10.4.1.4 The ability to assign a schedule
based on seniority
Decision
Criteria/Business
Rule

6.10.10.4.1.5 The ability to assign work
hours
Procedure
Requirement

6.10.10.4.1.6 The ability to generate reports Reporting
6.10.10.4.1.7 The ability to restrict schedule
assignment access based on
security level
Security (User
Permissions/Access,
Compliance)

6.10.10.4.1.8 The ability to assign an on call
shift
Decision
Criteria/Business
Rule

6.10.10.4.1.9 The ability to set a shift
differential
Decision
Criteria/Business
Rule

6.10.10.4.1.10 The ability to set up a shift
schedule
Decision
Criteria/Business
Rule



6.10.10.4.2 PROCEDURE - Request Time Off
The purpose of this procedure is to request time off from an employee's supervisor.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.4.2.1 The ability for employees to
request time off
Procedure
Requirement

6.10.10.4.2.2 The ability to have requests
automatically check against
available employee time banks
before being submitted
Decision
Criteria/Business
Rule



6.10.10.4.3 PROCEDURE - Approve/Deny Time Off Request
The purpose of this procedure is to approve or deny an employee request for time off.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
148


6.10.10.4.3.1 The ability to query or look up
time off requests by supervisor
and employees assigned to
them
Business Form/User
Interface

6.10.10.4.3.2 The ability to approve a time
off request for an employee
Procedure
Requirement

6.10.10.4.3.3 The ability to reject a time off
request for an employee
Decision
Criteria/Business
Rule



6.10.10.4.4 PROCEDURE - Schedule Time Off
The purpose of this procedure gather and schedule requests for time off while adhering to
department needs, business rules and union contracts, agreements and City policy.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.4.4.1 The ability to request and track
time off
Procedure
Requirement

6.10.10.4.4.2 The ability to restrict time off
requests based on benefit
balances
Decision
Criteria/Business
Rule

6.10.10.4.4.3 The ability to automatically
populate a time cards based on
approved time off
Decision
Criteria/Business
Rule

6.10.10.4.4.4 The ability to deny time off
requests
Business Form/User
Interface

6.10.10.4.4.5 The ability to report on
workforce minimum
requirements
Reporting
6.10.10.4.4.6 The ability to notify supervisor
of time bank balance changes
that would conflict with
preapproved time off
Decision
Criteria/Business
Rule

6.10.10.4.4.7 The ability to show future
benefit balances for future time
off requests
Procedure
Requirement



6.10.10.4.5 PROCEDURE - Request Holiday Time
The purpose of this procedure is to request Holiday time off.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
149


6.10.10.4.5.1 The ability for employees to
request time off
Procedure
Requirement

6.10.10.4.5.2 The ability to have requests
check against current holiday
availability
Decision
Criteria/Business
Rule



6.10.10.4.6 PROCEDURE - Approve/Deny Holiday Time Off Request
The purpose of this procedure is to approve/deny holiday time off requests based on
department needs, business rules and union contracts, agreements and City policy.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.4.6.1 The ability to query or look up
holiday time off requests by
supervisor and employees
assigned to them
Procedure
Requirement

6.10.10.4.6.2 The ability to approve a time
off request for an employee
Business Form/User
Interface

6.10.10.4.6.3 The ability to reject a time off
request for an employee
Business Form/User
Interface



6.10.10.4.7 PROCEDURE - Schedule Holiday Time Off
The purpose of this procedure is to schedule approved Holiday time off.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.4.7.1 The ability to generate holiday
pay based on scheduled time
Procedure
Requirement

6.10.10.4.7.2 The ability to assign floating
holidays based on workforce
minimums in lieu of holiday
time
Decision
Criteria/Business
Rule

6.10.10.4.7.3 The ability to set requirements
that must be met in order to be
eligible for a holiday
Decision
Criteria/Business
Rule

6.10.10.4.7.4 The ability to define holiday
eligibility based on seniority
Decision
Criteria/Business
Rule

6.10.10.4.7.5 The ability to track floating
holiday usage
Reporting


150


6.10.10.4.8 PROCEDURE - Offer Extra Work/OT Opportunities

Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.4.8.1 The ability to offer extra work
and overtime opportunities to
employees based on unique
rules ("Spent Time" =
historical acceptance/refusal of
Overtime opportunities;
provides basis (along with
seniority) for order of
Overtime Call List)
Procedure
Requirement

6.10.10.4.8.2 The ability to track responses
for extra work and overtime
opportunities presented to
employees.
Business Form/User
Interface



6.10.10.4.9 PROCEDURE - Generate Time Card Template
The purpose of this procedure is to ensure the timely receipt of the appropriate time card
template by selected employees.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.4.9.1 The ability to electronically
distribute employee time cards
Procedure
Requirement

6.10.10.4.9.2 The ability to pre-populate
employee time for a defined set
of time (i.e. year) where
employees will only enter
exceptions
Procedure
Requirement



6.10.10.4.10 PROCEDURE - Capture Overtime Worked
The purpose of this procedure is to submit overtime worked during the pay period.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.4.10.1 The ability to electronically
enter over time
Procedure
Requirement

6.10.10.4.10.2 The ability to track overtime
through user defined reporting.
Reporting
6.10.10.4.10.3 The ability to electronically Business Form/User
151


edit overtime entered Interface
6.10.10.4.10.4 The ability to generate an audit
trail report of changes made to
overtime
Reporting
6.10.10.4.10.5 The ability to restrict the
ability to enter/edit overtime
based on defined security
access
Security (User
Permissions/Access,
Compliance)

6.10.10.4.10.6 The ability flag unpaid
absences for employees who
have overtime on their
timecard
Decision
Criteria/Business
Rule

6.10.10.4.10.7 The ability to change pay rate
from straight time to overtime
using employee’s assigned
schedule
Decision
Criteria/Business
Rule



6.10.10.4.11 PROCEDURE - Complete Snow Time Card
The purpose of this procedure is to complete time cards for snow related work.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.4.11.1 The ability to track worked
snow patrol time
Procedure
Requirement

6.10.10.4.11.2 The ability to restrict benefit
codes immediately following
snow patrol time
Security (User
Permissions/Access,
Compliance)

6.10.10.4.11.3 The ability to manually adjust
whether a time entry is over
time or straight time
Procedure
Requirement

6.10.10.4.11.4 The ability to generate a report
based on snow patrol time
logged
Reporting
6.10.10.4.11.5 The ability to split the time
cards for snow and regular
time
Procedure
Requirement

6.10.10.4.11.6 The ability to manually enter
snow time on the employee
time card by a
supervisor/admin
Business Form/User
Interface

6.10.10.4.11.7 The ability to track worked
hours of snow patrol based on
defined dates
Decision
Criteria/Business
Rule

152


6.10.10.4.11.8 The ability to enter allowed
travel time between regular and
snow duty as snow duty time.
Decision
Criteria/Business
Rule



6.10.10.4.12 PROCEDURE - Complete Time Card
The purpose of this procedure is for employees to accurately document their time &
attendance details for specified payroll periods. This includes using specific earn codes
as allowed and identifying eligible holidays and time banks for usage.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.4.12.1 The ability for the employee to
complete their time cards
electronically
Procedure
Requirement

6.10.10.4.12.2 The ability to electronically
submit time card
Procedure
Requirement

6.10.10.4.12.3 The ability to edit time entered
on a time card
Procedure
Requirement

6.10.10.4.12.4 The ability to restrict the
ability to edit a time card once
a pay period has ended
Security (User
Permissions/Access,
Compliance)

6.10.10.4.12.5 The ability to remotely access
the employee timesheet
Business Form/User
Interface

6.10.10.4.12.6 The ability to restrict access to
a time card based on location
Security (User
Permissions/Access,
Compliance)

6.10.10.4.12.7 The ability to integrate with
time clock hardware and
software
System
Interface/Data
Integration

6.10.10.4.12.8 The ability to restrict time
entry information based on
employee schedule details.
Security (User
Permissions/Access,
Compliance)

6.10.10.4.12.9 The ability to round time
entered based on employee
schedule details.
Security (User
Permissions/Access,
Compliance)

6.10.10.4.12.10 The ability to restrict use of
specific earn codes by
employee group, assignment,
work location and other to be
defined criteria.
Security (User
Permissions/Access,
Compliance)

6.10.10.4.12.11 The ability to enter time (in /
out) using a time clock, badge
or similar.
Hardware/Equipment
6.10.10.4.12.12 The ability to flag a time card Business Form/User
153


that has not reached the
established minimum hours
Interface
6.10.10.4.12.13 The ability to notify employees
and supervisors of missing
time cards, as well as view
status of all time cards.
Business Form/User
Interface

6.10.10.4.12.14 The ability for designated user
to update employee time cards
with attendance details (sick,
late, unauthorized absence,
etc).
Decision
Criteria/Business
Rule

6.10.10.4.12.15 The ability to pay employee on
incentive system (employee
shift can end after work is
completed).
Decision
Criteria/Business
Rule

6.10.10.4.12.16 The ability to identify "missed
punch" immediately when
employee next interacts with
system and allow corrections to
be made.
Business Form/User
Interface

6.10.10.4.12.17 The ability to import time
worked from project time
accounting system
System
Interface/Data
Integration

6.10.10.4.12.18 The ability to capture time by
activity code.
Decision
Criteria/Business
Rule

6.10.10.4.12.19 The ability to capture overtime
for employees on incentive
system
Decision
Criteria/Business
Rule

6.10.10.4.12.20 The ability to capture extra
work (additional shift or partial
shift) on incentive system
Decision
Criteria/Business
Rule



6.10.10.4.13 PROCEDURE - Submit Time Card
The purpose of this procedure is to complete the employee time card with all applicable
time and earn codes.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.4.13.1 The ability to calculate on call
time based on business rules
Decision
Criteria/Business
Rule

6.10.10.4.13.2 The ability to electronically
enter time for an employee
Procedure
Requirement

154


6.10.10.4.13.3 The ability to electronically
enter time for a supervisor
Procedure
Requirement

6.10.10.4.13.4 The ability to electronically
edit time by a user based on
system access
Security (User
Permissions/Access,
Compliance)

6.10.10.4.13.5 The ability to electronically
approve time cards by
employee
Business Form/User
Interface

6.10.10.4.13.6 The ability to electronically
approve time cards by a
supervisor
Business Form/User
Interface

6.10.10.4.13.7 The ability to generate an audit
trail of all changes made, when
and by who
Security (User
Permissions/Access,
Compliance)

6.10.10.4.13.8 The ability to electronically
edit activity code for time
entered by user.
Business Form/User
Interface



6.10.10.4.14 PROCEDURE - Approve/Reject Time Cards
The purpose of this procedure is to ensure the accurate completion and provide
supervisory approval of employee time cards.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.4.14.1 The ability to electronically
approve time cards
Procedure
Requirement

6.10.10.4.14.2 The ability to lock down data
once it has been approved
Security (User
Permissions/Access,
Compliance)

6.10.10.4.14.3 The ability to restrict the
ability to approve based on
system security access
Security (User
Permissions/Access,
Compliance)

6.10.10.4.14.4 The ability to reject submitted
time
Business Form/User
Interface

6.10.10.4.14.5 The ability to correct rejected
time
Security (User
Permissions/Access,
Compliance)

6.10.10.4.14.6 The ability to forward time
approval to supervising
individual for approval
Security (User
Permissions/Access,
Compliance)

6.10.10.4.14.7 The ability to electronically
track and send notifications of
time cards not submitted
Decision
Criteria/Business
Rule

155




6.10.10.4.15 PROCEDURE - Record Time Card Data
The purpose of this procedure is to provide attested and approved time cards to payroll
for time entry.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.4.15.1 The ability to electronically
send Time Cards to Payroll
Procedure
Requirement

6.10.10.4.15.2 The ability to notify payroll
once time has been approved
Decision
Criteria/Business
Rule

6.10.10.4.15.3 The ability to stage time card
data for creation of payroll
transactions in appropriate
payroll cycle.
Procedure
Requirement



6.10.10.5 PROCESS - Regular (On Cycle) Payroll Processing - All Process Scenario
The purpose of this process is to complete the accurate and timely payment to employees,
vendors, tax authorities of normal wages and earnings. This includes key components of
pay calculations - deductions, garnishments, benefits, taxes, retirements, time bank
updates, time/attendance data and accruals - adhering to all contractual and legal
requirements, as well as City policy.

All procedures and requirements within this section are identical across the Regular (On-
Cycle) Payroll Processing Process Area for following milestones: Pre-Payroll Inputs,
Payroll Review and Validation, Payroll Generation and Distribution


6.10.10.5.1 PROCEDURE - Generate Payroll Schedule
The purpose of this procedure is to complete a comprehensive monthly schedule of
payroll activities for distribution to all interested departments/individuals.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.1.1 The ability to automate a
payroll cycle schedule based
on key dates defined by City.
Procedure
Requirement

6.10.10.5.1.2 The ability to automate the
generation of payroll schedule
based on City specific pre-
defined key dates
Procedure
Requirement

6.10.10.5.1.3 The ability to predefine holiday
dates and associate them with
Decision
Criteria/Business

156


pre-identified employee types
and status, which are
automatically factored into the
Payroll Schedule
Rule
6.10.10.5.1.4 The ability to generate a
Payroll Schedule for more than
one year at a time
Decision
Criteria/Business
Rule

6.10.10.5.1.5 The ability to allow multiple
people access to scheduling
based on security level
Security (User
Permissions/Access,
Compliance)

6.10.10.5.1.6 The ability to identify payroll
that will split fiscal year end
and ensure that all appropriate
financial reporting related to
budget is accommodated.
Decision
Criteria/Business
Rule



6.10.10.5.2 PROCEDURE - Enter Vehicle Use Taxable Benefit
The purpose of this procedure is to capture approved City vehicle usage among
employees and properly apply the benefit taxes.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.2.1 The ability to track vehicle
usage by day per employee
Procedure
Requirement

6.10.10.5.2.2 The ability to generate a report
based on vehicle usage for a set
time period
Reporting
6.10.10.5.2.3 The ability to automatically
calculate taxable benefit
amounts based on vehicle
usage and established dollar
amount per day
System
Interface/Data
Integration

6.10.10.5.2.4 The ability to generate the
dollar amounts by a defined
date range
Decision
Criteria/Business
Rule

6.10.10.5.2.5 The ability to generate a report
of vehicles being used by
decision maker
Reporting


6.10.10.5.3 PROCEDURE - Enter Domestic Partner Taxable Benefit
The purpose of this process is to correctly document the taxable benefits of a Domestic
Partner of a City employee and ensure the correct taxable amount is applied to their pay.
157


Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.3.1 The ability to assign pretax or
post tax to deduction codes
Procedure
Requirement

6.10.10.5.3.2 The ability to split medical and
dental premiums into pretax
and post tax for employees
with domestic partners
Decision
Criteria/Business
Rule

6.10.10.5.3.3 The ability to create a taxable
benefit for the domestic
partners
Procedure
Requirement



6.10.10.5.4 PROCEDURE - Create IRS Levy Deduction Transactions
The purpose of this procedure is to setup and calculate a Levy deduction.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.4.1 The ability to set a start and
end effective date for a
deduction and automatically
take effect within the
appropriate payroll cycle.
Procedure
Requirement

6.10.10.5.4.2 The ability to set a pre-defined
amount/goal or end effective
date for a deduction and
automatically stop a deduction
based on those criteria.
Decision
Criteria/Business
Rule

6.10.10.5.4.3 The ability to define the order
which deductions are taken
Reporting
6.10.10.5.4.4 The ability to define whether a
deduction can or cannot be
partially taken
System
Interface/Data
Integration

6.10.10.5.4.5 The ability to define whether a
partial deduction’s balance
goes into arrears
Decision
Criteria/Business
Rule

6.10.10.5.4.6 The ability to determine
whether deductions are pretax
or after tax
Decision
Criteria/Business
Rule

6.10.10.5.4.7 The ability to automatically set
the IRS Levy amounts based
on the minimum amount from
the IRS form submitted
Decision
Criteria/Business
Rule

6.10.10.5.4.8 The ability to designate which Decision
158


deductions come out after the
IRS levy
Criteria/Business
Rule
6.10.10.5.4.9 The ability to generate custom
reports based on deduction
related criteria
Reporting
6.10.10.5.4.10 The ability to integrate with the
City's Financial System (Tyler
MUNIS) for deductions
resulting in payment to
Vendors (i.e. Garnishments)
System
Interface/Data
Integration

6.10.10.5.4.11 The ability to create a report or
export file by deduction code
or type
Reporting
6.10.10.5.4.12 The ability to automate
workflow notifications to pre-
defined stakeholders
Decision
Criteria/Business
Rule

6.10.10.5.4.13 The ability to tag deductions as
to whether they were in place
before the IRS Levy came in or
were started afterward
(calculation uses only some
optional deductions already in
system)
Decision
Criteria/Business
Rule

6.10.10.5.4.14 The ability to designate IRS
Levy as either a calculated
amount based on maximum
amount of take home pay
computation, or as a set dollar
amount
Decision
Criteria/Business
Rule

6.10.10.5.4.15 The ability to use all IRS Levy
deduction information to create
accurate deduction
transactions.
Procedure
Requirement



6.10.10.5.5 PROCEDURE - Create Garnishment Deduction Transactions
The purpose of this procedure is to create Garnishment deduction transactions based on
rules of the garnishment notice and employee type.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.5.1 The ability to set up a
deduction with a percentage
while adhering to all state and
federal guidelines for
maximum deductions
Procedure
Requirement

159


6.10.10.5.5.2 The ability to adhere to
education loan garnishment
guidelines
Procedure
Requirement

6.10.10.5.5.3 The ability to reactivate paid
garnishments
Business Form/User
Interface

6.10.10.5.5.4 The ability to separate
garnishment interest
Decision
Criteria/Business
Rule

6.10.10.5.5.5 The ability to define the
garnishment payee
Decision
Criteria/Business
Rule

6.10.10.5.5.6 The ability to generate reports
based on payee and totals
Reporting
6.10.10.5.5.7 The ability to integrate with the
City's Financial System (Tyler
MUNIS) for deductions
resulting in payment to
Vendors (i.e. Garnishments)
System
Interface/Data
Integration

6.10.10.5.5.8 The ability to generate reports
based on garnishment
payments and deductions
Reporting
6.10.10.5.5.9 The ability to automatically
end a garnishment once the
goal has been met and begins
the next.
Decision
Criteria/Business
Rule

6.10.10.5.5.10 The ability to set a start and
end effective date for a
deduction and automatically
take effect within the
appropriate payroll cycle.
Decision
Criteria/Business
Rule

6.10.10.5.5.11 The ability to set a pre-defined
amount/goal or end effective
date for a deduction and
automatically stop a deduction
based on those criteria.
Decision
Criteria/Business
Rule

6.10.10.5.5.12 The ability to define the order
which deductions are taken
Decision
Criteria/Business
Rule

6.10.10.5.5.13 The ability to define whether a
deduction can or cannot be
partially taken
Decision
Criteria/Business
Rule



6.10.10.5.6 PROCEDURE - Create Child Support Transactions
160


The purpose of this procedure is to create Child Support deduction transactions for
Employees identified as requiring Child Support payments.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.6.1 The ability to set up a
deduction based on dollar
amount, percentage or other
pre-defined formula, while
adhering to all state and federal
guidelines for maximum
deductions
Procedure
Requirement

6.10.10.5.6.2 The ability to set a start and
end effective date for a
deduction and automatically
take effect within the
appropriate payroll cycle.
Procedure
Requirement

6.10.10.5.6.3 The ability to set a pre-defined
amount/goal or end effective
date for a deduction and
automatically stop a deduction
based on those criteria.
Decision
Criteria/Business
Rule

6.10.10.5.6.4 The ability to define the order
which deductions are taken
Decision
Criteria/Business
Rule

6.10.10.5.6.5 The ability to define whether a
deduction can or cannot be
partially taken
Decision
Criteria/Business
Rule

6.10.10.5.6.6 The ability to define whether a
partial deduction’s balance
goes into arrears and monitor
arrears
Decision
Criteria/Business
Rule

6.10.10.5.6.7 The ability to determine
whether deductions are pretax
or after tax
Decision
Criteria/Business
Rule

6.10.10.5.6.8 The ability to track docket
numbers associated with
deductions for Child Support
Decision
Criteria/Business
Rule

6.10.10.5.6.9 The ability to define the Child
Support payee
Decision
Criteria/Business
Rule

6.10.10.5.6.10 The ability to track whether or
not there is a second family
associated with deductions for
Child Support
Decision
Criteria/Business
Rule

6.10.10.5.6.11 The ability to generate custom Reporting
161


reports based on deduction
related criteria (i.e. Summary
Reports)


6.10.10.5.7 PROCEDURE - Create United Way Contribution Transactions
The purpose of this procedure is to setup an automatic payroll deduction for employee
contributions to the United Way.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.7.1 The ability to set up a
deduction based on dollar
amount, percentage or other
pre-defined formula.
Procedure
Requirement

6.10.10.5.7.2 The ability to set a start and
end effective date for a
deduction and automatically
take effect within the
appropriate payroll cycle.
Business Form/User
Interface

6.10.10.5.7.3 The ability to set a pre-defined
amount/goal or end effective
date for a deduction and
automatically stop a deduction
based on those criteria.
Decision
Criteria/Business
Rule

6.10.10.5.7.4 The ability to define the order
which deductions are taken
Business Form/User
Interface

6.10.10.5.7.5 The ability to determine
whether deductions are pretax
or after tax
Reporting
6.10.10.5.7.6 The ability to generate custom
reports based on deduction
related criteria.
Decision
Criteria/Business
Rule

6.10.10.5.7.7 The ability for Employees to
set up their contribution
elections online (i.e. self
service) and have deductions
automatically set up based on
elections.
Decision
Criteria/Business
Rule

6.10.10.5.7.8 The ability to load/stage
deductions using effective
dates for future transaction
creation (all deduction types).
Decision
Criteria/Business
Rule



6.10.10.5.8 PROCEDURE - Recover Tuition Payout
162


The purpose of this procedure is to recover tuition expenses provided to eligible
employees who do not complete the requirements but were already paid.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.8.1 The ability to set up a
deduction based on dollar
amount, percentage or other
pre-defined formula.
Procedure
Requirement

6.10.10.5.8.2 The ability to set a pre-defined
amount/goal or end effective
date for a deduction and
automatically stop a deduction
based on those criteria.
Decision
Criteria/Business
Rule

6.10.10.5.8.3 The ability to set a start and
end effective date for a
deduction and automatically
take effect within the
appropriate payroll cycle.
Decision
Criteria/Business
Rule

6.10.10.5.8.4 The ability to define the order
which deductions are taken
Decision
Criteria/Business
Rule

6.10.10.5.8.5 The ability to define whether a
deduction can or cannot be
partially taken
Decision
Criteria/Business
Rule

6.10.10.5.8.6 The ability to define whether a
partial deduction’s balance
goes into arrears
Decision
Criteria/Business
Rule

6.10.10.5.8.7 The ability to determine
whether deductions are pretax
or after tax
Decision
Criteria/Business
Rule

6.10.10.5.8.8 The ability to generate custom
reports based on deduction
related criteria
Reporting
6.10.10.5.8.9 The ability to automate
workflow notifications to pre-
defined stakeholders
Decision
Criteria/Business
Rule

6.10.10.5.8.10 The ability to define eligibility
by employee type.
Decision
Criteria/Business
Rule



6.10.10.5.9 PROCEDURE - Create Employee Fine Transaction
The purpose of this procedure is to create employee fine transactions based on a
Department policy infraction or violation.
163


Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.9.1 The ability to set up a
deduction based on dollar
amount, percentage or other
pre-defined formula.
Procedure
Requirement

6.10.10.5.9.2 The ability to set a pre-defined
amount/goal or end effective
date for a deduction and
automatically stop a deduction
based on those criteria.
Business Form/User
Interface

6.10.10.5.9.3 The ability to set a start and
end effective date for a
deduction and automatically
take effect within the
appropriate payroll cycle.
Business Form/User
Interface

6.10.10.5.9.4 The ability to define the order
which deductions are taken
Decision
Criteria/Business
Rule

6.10.10.5.9.5 The ability to define whether a
deduction can or cannot be
partially taken
Reporting
6.10.10.5.9.6 The ability to define whether a
partial deduction’s balance
goes into arrears
Decision
Criteria/Business
Rule

6.10.10.5.9.7 The ability to determine
whether deductions are pretax
or after tax
Decision
Criteria/Business
Rule

6.10.10.5.9.8 The ability to generate custom
reports based on deduction
related criteria
Reporting
6.10.10.5.9.9 The ability to automate
workflow notifications for
fines to pre-defined
stakeholders
Decision
Criteria/Business
Rule

6.10.10.5.9.10 The ability to define and report
on different fine types
Decision
Criteria/Business
Rule

6.10.10.5.9.11 The ability to define eligibility
by employee type.
Decision
Criteria/Business
Rule



6.10.10.5.10 PROCEDURE - Create Voluntary Defined Contribution Transactions
164


The purpose of this procedure is to create transactions to deduct a payment to the eligible
employee's Voluntary Defined Contribution plan. Note that employee type may dictate
eligibility.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.10.1 The ability to set up a
deduction based on dollar
amount, percentage or other
pre-defined formula.
Procedure
Requirement

6.10.10.5.10.2 The ability to set a pre-defined
amount/goal or end effective
date for a deduction and
automatically stop a deduction
based on those criteria.
Decision
Criteria/Business
Rule

6.10.10.5.10.3 The ability to set a start and
end effective date for a
deduction and automatically
take effect within the
appropriate payroll cycle.
Business Form/User
Interface

6.10.10.5.10.4 The ability to define the order
which deductions are taken
Decision
Criteria/Business
Rule

6.10.10.5.10.5 The ability to determine
whether deductions are pretax
or after tax
Decision
Criteria/Business
Rule

6.10.10.5.10.6 The ability to set up deductions
as a percentage of the
employees earnings.
Decision
Criteria/Business
Rule

6.10.10.5.10.7 The ability to automate
workflow notifications once
the investment period is
completed.
Reporting
6.10.10.5.10.8 The ability to create an export
file based on Investment
Company requirements which
includes employee deductions
and city contributions each
period
Business Form/User
Interface

6.10.10.5.10.9 The ability to set up benefit
percentage base
Decision
Criteria/Business
Rule

6.10.10.5.10.10 The ability to generate custom
reports based on deduction
related criteria
Reporting
6.10.10.5.10.11 The ability to automate Decision
165


workflow notifications to pre-
defined stakeholders
Criteria/Business
Rule
6.10.10.5.10.12 The ability to automate
workflow notifications of
program enrollment
Decision
Criteria/Business
Rule



6.10.10.5.11 PROCEDURE - Adjust Employee Compensation
The purpose of this procedure is to adjust employee compensation to resolve amounts an
employee owes to the City or other payroll discrepancies that occur where an employee is
overpaid because of demotions, rate adjustments, department audit, or a Data/Time entry
issue.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.11.1 The ability to set a start and
end effective date for
adjustments and automatically
take effect within the
appropriate payroll cycle.
Procedure
Requirement

6.10.10.5.11.2 The ability to set up a
adjustments based on dollar
amount, percentage or other
pre-defined formula (set
amount after a set amount of
days served)
Decision
Criteria/Business
Rule

6.10.10.5.11.3 The ability to set a pre-defined
amount/goal or end effective
date for an adjustment and
automatically stop an
adjustment based on those
criteria.
Decision
Criteria/Business
Rule

6.10.10.5.11.7 The ability to make rate
adjustments to correct
over/under Payment
Decision
Criteria/Business
Rule

6.10.10.5.11.8 The ability to automatically
calculate corrections amount
based on pay rate, hours
worked and effective date
Decision
Criteria/Business
Rule

6.10.10.5.11.9 The ability to automate
workflow notifications with
adjustment details to pre-
defined stakeholders.
Decision
Criteria/Business
Rule

6.10.10.5.11.10 The ability to define pay stub
codes and description
Decision
Criteria/Business
Rule

166




6.10.10.5.12 PROCEDURE - Create Jury Duty Adjustment
The purpose of this procedure is to identify City of Rochester employees that have been
serving J ury Duty for a period greater than 3 days and correctly deduct $40 a day there
after.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.12.1 The ability to set a start and
end effective date for an
adjustment and automatically
take effect within the
appropriate payroll cycle.
Procedure
Requirement

6.10.10.5.12.2 The ability to set up an
adjustment based on dollar
amount, percentage or other
pre-defined formula (set
amount after a set amount of
days served)
Decision
Criteria/Business
Rule

6.10.10.5.12.3 The ability to set a pre-defined
amount/goal or end effective
date for an adjustment and
automatically stop an
adjustment based on those
criteria.
Decision
Criteria/Business
Rule

6.10.10.5.12.4 The ability to automatically
deduct a defined amount after a
set amount of days served
Decision
Criteria/Business
Rule

6.10.10.5.12.5 The ability to flag and
employee personnel record
once the J ury Duty event has
ended
Decision
Criteria/Business
Rule

6.10.10.5.12.6 The ability to identify
eligibility for jury duty at the
employee personnel record
(employee type).
Decision
Criteria/Business
Rule

6.10.10.5.12.7 The ability to flag an employee
record once the J ury Duty
adjustment has ended
Decision
Criteria/Business
Rule

6.10.10.5.12.8 The ability to automate alerts
to pre-defined stakeholders
(i.e. Timekeeper) when
specific earn code events occur
(i.e. employee has passed a
defined amount of days using
the J ury Duty Code)
Decision
Criteria/Business
Rule

167


6.10.10.5.12.9 The ability to generate custom
reports based on jury duty
related criteria (i.e. J ury Duty
earn codes in use)
Reporting
6.10.10.5.12.10 The ability to automate
workflow notifications to pre-
defined stakeholders
Decision
Criteria/Business
Rule

6.10.10.5.12.11 The ability to automatically
deduct a defined amount after a
set amount of jury duty days
are served.
Decision
Criteria/Business
Rule



6.10.10.5.13 PROCEDURE - Complete Expense Reimbursement Request
The purpose of this procedure is to request reimbursement for approved work related
expenses.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.13.1 The ability to electronically
submit for review and approval
a expense reimbursement
request
Procedure
Requirement

6.10.10.5.13.2 The ability to electronically
attach supporting
documentation to expense
reimbursement request.
Business Form/User
Interface

6.10.10.5.13.3 The ability to automate
workflow notifications to pre-
defined stakeholders
Decision
Criteria/Business
Rule

6.10.10.5.13.4 The ability to define mileage
reimbursement rates and
calculate reimbursement
amounts.
Decision
Criteria/Business
Rule

6.10.10.5.13.5 The ability to define expense
eligibility by employee type
within personnel record and/or
based on assignment details.
Decision
Criteria/Business
Rule



6.10.10.5.14 PROCEDURE - Approve Reimbursement
The purpose of this procedure is to approve or reject the expense reimbursement request
of a City employee for their approved work related expenses.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
168


6.10.10.5.14.1 The ability to electronically
review, approve or reject with
comments reimbursement
requests
Procedure
Requirement

6.10.10.5.14.2 The ability to electronically
edit reimbursement forms
Business Form/User
Interface

6.10.10.5.14.3 The ability for notifications to
be delivered to Originator,
Approver or defined
Stakeholder based on steps in
the workflow process and
actions taken.
Decision
Criteria/Business
Rule

6.10.10.5.14.4 The ability to automate
workflow notifications to pre-
defined stakeholders
Decision
Criteria/Business
Rule



6.10.10.5.15 PROCEDURE - Create Expense Reimbursement Transaction
The purpose of this procedure is to reimburse City employees for their approved work
related expenses.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.15.1 The ability to automatically
create payroll transactions for
approved expense
reimbursement requests
Procedure
Requirement

6.10.10.5.15.2 The ability to change the set
dollar amount based on the IRS
rules/guidelines
Business Form/User
Interface

6.10.10.5.15.3 The ability to define eligibility
for expense reimbursements
based on employee type, work
location, assignment details,
union agreements, etc.
Decision
Criteria/Business
Rule



6.10.10.5.16 PROCEDURE - Create Transaction for Time Bank Pay Out
The purpose of this procedure is to properly pay out time bank amounts which exceed the
maximum allowance to employees as a result of Personnel Actions. Time over the time
bank maximums is paid out to employees based on Union contracts, agreements and City
policy (Vacation, Comp, Personal).
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.16.1 The ability to calculate Procedure
169


transaction for time bank
payout based on total hours
exceeding the maximum
allowance.
Requirement
6.10.10.5.16.2 The ability to calculate final
pay out amount aggregate taxes
Decision
Criteria/Business
Rule

6.10.10.5.16.3 The ability to calculate final
pay out amount supplemental
taxes
Decision
Criteria/Business
Rule

6.10.10.5.16.4 The ability to automate alerts
to pre-defined stakeholders
when specific earn code events
occur.
Decision
Criteria/Business
Rule



6.10.10.5.17 PROCEDURE - Create Probationary Termination Transaction
The purpose of this procedure is to create transactions which pay a minimum of two
weeks to any employee terminated at the end of a probationary term and adhere to union
contracts, as well as legal mandates.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.17.1 The ability to enter a
termination specific earn code
transaction for a predetermined
amount of time
Procedure
Requirement

6.10.10.5.17.2 The ability to automate alerts
to pre-defined stakeholders
when specific earn code events
occur (i.e. employee
termination during the
probationary period)
Decision
Criteria/Business
Rule

6.10.10.5.17.3 The ability to generate
probationary termination
specific reports
Reporting
6.10.10.5.17.4 The ability to define
probationary termination
eligibility by employee type.
Decision
Criteria/Business
Rule



6.10.10.5.18 PROCEDURE - Create Out of Title Work Transaction
The purpose of this procedure is to create a transaction which will compensate an
employee for performing the duties of a higher grade position for a majority of their
scheduled work time.
170


Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.18.1 The ability to automatically
calculate the amount of Out of
Title Pay based on hours
and/or days worked and Out of
Title business rules
Procedure
Requirement

6.10.10.5.18.2 The ability to electronically
submit an out of title form
Business Form/User
Interface

6.10.10.5.18.3 The ability to electronically
approve or deny the out of title
form
Decision
Criteria/Business
Rule

6.10.10.5.18.4 The ability to automate
workflow notifications to pre-
defined stakeholders
Decision
Criteria/Business
Rule

6.10.10.5.18.5 The ability to check in the
system that the employee
worked the full day they were
performing Out of Title
responsibilities and that the
Out of Title requirements were
met
Decision
Criteria/Business
Rule

6.10.10.5.18.6 The ability to automate alerts
to pre-defined stakeholders
when specific earn code events
occur.
Decision
Criteria/Business
Rule

6.10.10.5.18.7 The ability to define unique
Out of Title rules by employee
type.
Decision
Criteria/Business
Rule



6.10.10.5.19 PROCEDURE - Create Time Bank Payout Transaction
The purpose of this procedure is to create transactions for proper payment of time banks
to employees as a result of termination or employee assignment changes. Time banks are
paid out for Vacation and Comp time.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.19.1 The ability to calculate total
hours identified benefit
balances eligible for pay out at
termination
Procedure
Requirement

6.10.10.5.19.2 The ability to calculate final
pay out amount aggregate taxes
Decision
Criteria/Business
Rule

171


6.10.10.5.19.3 The ability to calculate final
pay out amount supplemental
taxes
Decision
Criteria/Business
Rule

6.10.10.5.19.4 The ability to define unique
calculations for time bank
payouts by employee type.
Decision
Criteria/Business
Rule

6.10.10.5.19.5 The ability to convert whole
days into hours for termination
payments for defined employee
types.
Decision
Criteria/Business
Rule



6.10.10.5.20 PROCEDURE - Create Arbitration Award Payment Transaction
The purpose of this procedure is to ensure the appropriate compensation for arbitration
awards is paid to City union employees based on the terms of each arbitration award.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.20.1 The ability to automatically
notify defined users of an
arbitration award
Procedure
Requirement

6.10.10.5.20.2 The ability to calculate an
arbitration award based on
dates awarded, then salary and
retro pay implications
Decision
Criteria/Business
Rule

6.10.10.5.20.3 The ability to set an arbitration
award flat amount payout
Decision
Criteria/Business
Rule

6.10.10.5.20.4 The ability to automate alerts
to pre-defined stakeholders
when specific earn code events
occur.
Decision
Criteria/Business
Rule



6.10.10.5.21 PROCEDURE - Create Perfect Attendance Bonus Transaction
The purpose of this procedure is to create transactions for perfect attendance bonuses
after identifying City employees who are eligible to receive the Perfect Attendance Bonus
based on specified policy criteria.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.21.1 The ability to generate flat
amount pay transactions for
designated employees
Procedure
Requirement

6.10.10.5.21.2 The ability to generate a report
based on identified work/earn
Reporting
172


codes for a set date range
6.10.10.5.21.3 The ability to generate a report
based on hire date
Reporting
6.10.10.5.21.4 The ability to generate a report
based on full time/part time
status for a defined date range
Reporting
6.10.10.5.21.5 The ability to calculate final
pay out amount aggregate taxes
Decision
Criteria/Business
Rule

6.10.10.5.21.6 The ability to calculate final
pay out amount supplemental
taxes
Decision
Criteria/Business
Rule

6.10.10.5.21.7 The ability to define perfect
attendance bonus eligibility by
employee type.
Decision
Criteria/Business
Rule



6.10.10.5.22 PROCEDURE - Create Transaction for Employee Underpayment
The purpose of this procedure is to pay an employee who was underpaid and needs to be
issued additional funds to compensate.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.22.1 The ability to automatically
calculate a payment correction
based on impacted date range
and updated pay rate
Procedure
Requirement

6.10.10.5.22.2 The ability to generate a total
hours report by defined date
per employee based on earn
codes
Reporting
6.10.10.5.22.3 The ability to load/stage
adjustments using effective
dates for future transaction
creation (all adjustment types).
Business Form/User
Interface



6.10.10.5.23 PROCEDURE - Create Safe Driver Bonus Transaction
The purpose of this procedure is pay eligible employees who have achieved a safe driving
record over the past year.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.23.1 The ability to generate flat
amount payroll transactions for
Procedure
Requirement

173


designated employees (safe
driver flat amount payout)
6.10.10.5.23.2 The ability to generate a report
with how many days have been
worked in a defined date range
Reporting
6.10.10.5.23.3 The ability to generate a report
of safe driving awards for the
previous 5 years (plus)
Reporting
6.10.10.5.23.4 The ability to create pay
transactions based on imported
data
System
Interface/Data
Integration

6.10.10.5.23.5 The ability to define safe driver
bonus eligibility by employee
type.
Decision
Criteria/Business
Rule



6.10.10.5.24 PROCEDURE - Create Alternative Health Payment Transaction
The purpose of this procedure is to create transactions to compensate employees who
utilize health care other than the City of Rochester's with additional pay.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.24.1 The ability to calculate final
pay out amount supplemental
taxes
Procedure
Requirement

6.10.10.5.24.2 The ability to calculate final
pay out amount aggregate taxes
Decision
Criteria/Business
Rule

6.10.10.5.24.3 The ability to generate flat
amount payroll transactions for
designated employees
Decision
Criteria/Business
Rule

6.10.10.5.24.4 The ability to create reports
detailing alternative health
payment transactions based on
user-defines criteria.
Reporting
6.10.10.5.24.5 The ability to flag alternative
health eligibility within an
employee personnel record and
utilize this flag to identify
those who require pay
transactions.
Business Form/User
Interface

6.10.10.5.24.6 The ability to pro-rate
alternative health payment
transactions.
Decision
Criteria/Business
Rule


174



6.10.10.5.25 PROCEDURE - Track Earn Code Eligibility
The purpose of this procedure is to accurately track and record the city employees who
are eligible for special assignments where unique earn codes might be used.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.25.1 The ability to validate and
restrict time card entries based
on assignment (Select Code,
J ob code position, etc)
Procedure
Requirement

6.10.10.5.25.2 The ability to generate earning
code use compared to
eligibility report
Reporting
6.10.10.5.25.3 The ability to track
compensation time across pay
periods for all employee
types/by employee type and
use this information to assist in
calculating earn code balances
(personal, sick, vacation,
comp).
Decision
Criteria/Business
Rule



6.10.10.5.26 PROCEDURE - Create Holiday Pay Transactions
The purpose of this procedure is to clearly identify, based on defined rules, all city
employees’ eligibility for holiday pay.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.26.1 The ability to define eligibility
and specific rules for holiday
pay within personnel record by
employee type and create
appropriate holiday pay
transactions.
Procedure
Requirement

6.10.10.5.26.2 The ability to generate a report
of part time employees who
have met all requirements
defined by business rules for
holiday eligibility
Reporting
6.10.10.5.26.3 The ability to restrict holidays
for part time employees based
on years of service and
eligibility
Decision
Criteria/Business
Rule

6.10.10.5.26.4 The ability to flag upcoming
holidays for eligible part time
Business Form/User
Interface

175


employees


6.10.10.5.27 PROCEDURE - Adjust Time for Leave Donations
The purpose of this procedure is to adjust time banks for Leave Donations, from one or
multiple employee to one or multiple other employees based on established agreement.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.27.1 The ability to transfer time
bank balances between
employees based on business
rules
Procedure
Requirement

6.10.10.5.27.2 The ability to track donated
time bank amounts.
Reporting
6.10.10.5.27.3 The ability to generate a report
of time donated based on
employee
Reporting
6.10.10.5.27.4 The ability to electronically
approve/deny time donations
Decision
Criteria/Business
Rule

6.10.10.5.27.5 The ability to define eligibility
to donate time bank amounts
and receive time bank
donations by within personnel
record by employee type.
Decision
Criteria/Business
Rule



6.10.10.5.28 PROCEDURE - Adjust Time Based on Assignment Change
The purpose of this procedure is to properly adjust time banks based on role/assignment
changes and ensure that the time banks are updated correctly.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.28.1 The ability to automatically
update time banks when
assignments change based on
specific calculations (e.g. OT
or wheel
assignments/conversion to
comp time) by employee type.
Procedure
Requirement

6.10.10.5.28.2 The ability to manually adjust
time banks based on business
rules, select code and hours per
day or daily amounts.
Decision
Criteria/Business
Rule

6.10.10.5.28.3 The ability to convert time Business Form/User
176


banks based on established
work days (From 7 to 8 hour
days) for applicable employee
types.
Interface
6.10.10.5.28.4 The ability to generate a
payout for hours over the
maximum benefit amount
Procedure
Requirement

6.10.10.5.28.5 The ability to manually adjust
time banks as needed based on
business rules
Business Form/User
Interface

6.10.10.5.28.6 The ability to define eligibility
for time bank adjustments
within personnel record by
employee type.
Decision
Criteria/Business
Rule

6.10.10.5.28.7 The ability to apply unique
calculations to time bank
adjustments based on
contractual agreements and
employee types.
Decision
Criteria/Business
Rule



6.10.10.5.29 PROCEDURE - Determine Personal Leave Bank Update
The purpose of this procedure is to accurately adjust the time banks eligible employees
who have returned from personal leave and require their time prorated and bank adjusted.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.29.1 The ability to update personal
Leave Banks based on adjusted
hire date, union type, hours per
day worked
Procedure
Requirement

6.10.10.5.29.2 The ability to update personal
Leave Banks based on leave of
absences taken (paid/unpaid)
and employee type.
Procedure
Requirement

6.10.10.5.29.3 The ability to delay an update
to personal Leave Banks if an
employee is on leave.
Decision
Criteria/Business
Rule

6.10.10.5.29.4 The ability to roll over
Personal Leave bank balances
to sick time and define
eligibility by employee type.
Decision
Criteria/Business
Rule

6.10.10.5.29.5 The ability to adjust time banks
based on unique calculations
per employee type.
Decision
Criteria/Business
Rule


177



6.10.10.5.30 PROCEDURE - Adjust Time for Military Leave
The purpose of this procedure is to adjust an employee’s time bank for Military Leave
(an employee is issued up to 66 days of paid leave).
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.30.1 The ability to set a maximum
usage for military leave
Decision
Criteria/Business
Rule

6.10.10.5.30.2 The ability to track the amount
of military time used by a
defined date range
Procedure
Requirement

6.10.10.5.30.3 The ability to apply military
time to different work codes
Business Form/User
Interface

6.10.10.5.30.4 The ability to exempt the time
from selected taxes
Business Form/User
Interface

6.10.10.5.30.5 The ability to set up which
earnings codes are part of
taxable grosses and which
aren’t.
Decision
Criteria/Business
Rule



6.10.10.5.34 PROCEDURE - Generate Payroll Gross Calculations
The purpose of this procedure is to generate a preliminary estimate of payroll gross
amounts and deductions in preparation for detailed review.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.34.1 The ability to generate reports
based on current and prior
payroll data
Procedure
Requirement

6.10.10.5.34.2 The ability to publish reports
and distribute electronically
Reporting
6.10.10.5.34.3 The ability to electronically
edit time input data
Business Form/User
Interface

6.10.10.5.34.4 The ability to have
notifications of established
time sheet issues/input errors
Decision
Criteria/Business
Rule



6.10.10.5.35 PROCEDURE - Verify Time for Military Leave Expiration
The purpose of this procedure is to adjust time for employees who have exceeded what is
allowable to be used towards Military Leave. The standard is 30 and a 66 days extension
is then allowed.
178


Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.35.1 The ability to adjust employees
who have exceeded allowable
military leave
Procedure
Requirement

6.10.10.5.35.2 The ability to generate reports
on employees who are on
military leave and the time
they have been on leave
Reporting


6.10.10.5.36 PROCEDURE - Correct Payroll
The purpose of this procedure is to correct any payroll discrepancies (abnormalities or
exceptions) found as a result of a comprehensive review and verification of payroll
transactions.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.36.1 The ability to notify defined
users that files have been
reviewed
Decision
Criteria/Business
Rule

6.10.10.5.36.2 The ability track the review
process
Decision
Criteria/Business
Rule

6.10.10.5.36.3 The ability to electronically
send corrections to appropriate
person/department
Decision
Criteria/Business
Rule

6.10.10.5.36.4 The ability to automatically
notify an employee that a
correction was made
Decision
Criteria/Business
Rule

6.10.10.5.36.5 The ability to restrict access to
time card corrections based on
business rules
Security (User
Permissions/Access,
Compliance)

6.10.10.5.36.6 The ability to require
additional electronic approval
based on business rules
Decision
Criteria/Business
Rule

6.10.10.5.36.7 The ability to electronically
submit corrections for approval
and allow for approval
workflow to be defined
Procedure
Requirement

6.10.10.5.36.8 The ability to automatically
identify errors in the payroll
process and present them to
defined business owners for
review and resolution.
Business Form/User
Interface

179




6.10.10.5.37 PROCEDURE - Correct Personnel Errors
The purpose of this procedure is to correct any personnel errors (abnormalities or
exceptions) found as a result of a comprehensive review and verification of payroll
transactions. As well, ensuring time bank updates have been updated accordingly.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.37.1 The ability to electronically
correct payroll entries
Procedure
Requirement

6.10.10.5.37.2 The ability to automatically
approve and apply error that
have been submitted to Payroll
Decision
Criteria/Business
Rule



6.10.10.5.38 PROCEDURE - Enter Garnishments & Levies
The purpose of this procedure is to review and modify (as necessary) Garnishment and
Levy amounts after a thorough review for accuracy is completed.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.38.1 The ability to generate reports
based on Maximums for
Garnishments and Levies
Reporting
6.10.10.5.38.2 The ability to generate reports
showing calculations amounts
for Garnishments and levies
Reporting
6.10.10.5.38.3 The ability to override
Garnishment and Levy
calculations
Procedure
Requirement



6.10.10.5.39 PROCEDURE - Generate Final Payroll
The purpose of this procedure is to use payroll gross calculations and corrected
transactions to generate final payroll.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.39.1 The ability to generate reports
based on current and prior
payroll data
Reporting
6.10.10.5.39.2 The ability to publish reports
and distribute electronically
Reporting
6.10.10.5.39.3 The ability to electronically
edit time input data
Procedure
Requirement

180


6.10.10.5.39.4 The ability to have
notifications of established
time sheet issues/input errors
Decision
Criteria/Business
Rule



6.10.10.5.40 PROCEDURE - Generate Payroll Reports
The purpose of this procedure is to generate the necessary payroll reports from final
payroll and distribute to key stakeholders efficiently
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.40.1 The ability to generate a lost
time register report
Reporting
6.10.10.5.40.2 The ability to generate a check
distribution report
Reporting
6.10.10.5.40.3 The ability to generate a detail
payroll register report as
defined by the City
Procedure
Requirement

6.10.10.5.40.4 The ability to generate a direct
deposit advices report
Reporting
6.10.10.5.40.5 The ability to generate payroll
detail and summary reports that
can be sorted and sub-totaled
by fund, department, bureau,
union, earnings code, etc.
Reporting
6.10.10.5.40.6 The ability to allow user
defined criteria to query
payroll data across employee
types, department, bureau,
earnings codes, pay cycles,
specific time frames, etc.
Reporting
6.10.10.5.40.7 The ability to integrate payroll
details data with the City's
financial system, including
fund, department, bureau,
union, earnings code, etc.
System
Interface/Data
Integration

6.10.10.5.40.8 The ability to show corrections
to historical payroll data that
occurred after the payroll has
run.
Reporting
6.10.10.5.40.9 The ability to retain payment
records for 50+years
Reporting


6.10.10.5.41 PROCEDURE - Import Garnishments by Marshall Payments
181


The purpose of this procedure is to process payments for all garnishments by Marshall
based on final payroll generation.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.41.1 The ability to integrate
garnishments into the City's
financial system as specified
by the City
Procedure
Requirement



6.10.10.5.42 PROCEDURE - Import and Post Payroll Expense File
The purpose of this procedure is to import and post the Payroll Expense amounts coming
from the Payroll System into the Financial System.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.42.1 The ability to integrate post
payroll expense information
with the City's finance system
Procedure
Requirement



6.10.10.5.43 PROCEDURE - Transmit Positive Pay File
The purpose of this procedure is to send and ensure receipt of a file of all payroll checks
issues to the City's bank. The file (Positive Pay) is utilized to ensure proper and valid
cashing of payroll check'
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.43.1 The ability to export a file and
automate transmission to the
City's Bank of all paper
paychecks issued.
Procedure
Requirement



6.10.10.5.44 PROCEDURE - Distribute Checks and Advices
The purpose of this procedure is to ensure proper handling of paychecks and advices,
ultimately distributing them to city employees.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.44.1 The ability to electronically
generate paystub history in an
employee self service account
Procedure
Requirement



6.10.10.5.45 PROCEDURE - Verify Payroll Deductions and Other Earning
182


The purpose of this procedure is to verify payroll deductions and other earnings.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.45.1 The ability to set defined
business rules based on
employee earn codes earn
codes for defined date range
Decision
Criteria/Business
Rule

6.10.10.5.45.2 The ability to generate a report
based on deduction code and
amount
Reporting
6.10.10.5.45.3 The ability to make changes to
deductions
Procedure
Requirement

6.10.10.5.45.4 The ability to flag a defined
dollar amount to be deducted
from an employee paycheck
Decision
Criteria/Business
Rule

6.10.10.5.45.5 The ability to generate a
prepayroll register report of
current data
Reporting
6.10.10.5.45.6 The ability to generate a
prepayroll register report of
current data
Reporting
6.10.10.5.45.7 The ability to remove longevity
pay from employees who do
not qualify
Procedure
Requirement

6.10.10.5.45.8 The ability to create a payment
bank/time bank of half pay for
eligible employees based on
employee type.
Decision
Criteria/Business
Rule

6.10.10.5.45.9 The ability to track workers
compensation usage
Reporting
6.10.10.5.45.10 The ability to flag employees
for the duration of workers
comp in employee assignment
history
Business Form/User
Interface



6.10.10.5.46 PROCEDURE - Certify Payroll
The purpose of this procedure is to certify payroll efficiently, ensuring all required
department/bureau certifications are documented and on file as required by
laws/mandates. Departments must have authorized certification on file in order for their
payroll to be distributed.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
183


6.10.10.5.46.1 The ability to certify a payroll's
completion
Procedure
Requirement

6.10.10.5.46.2 The ability to allow for payroll
information to be certified
electronically, using defined
workflow approvals and
ensuring record retention
requirements are met.
Business Form/User
Interface

6.10.10.5.46.3 The ability to review audit
information for historical
certified payrolls
Business Form/User
Interface



6.10.10.5.47 PROCEDURE - Post Pay Stubs to Self Service
The purpose of this procedure is to post all current check information on the employee
self service portal.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.47.1 The ability to upload pay check
information to an employee
self service site
Procedure
Requirement

6.10.10.5.47.2 The ability to have past check
stubs available on self service
portal. Potential to go back at
least one year.
Business Form/User
Interface

6.10.10.5.47.3 The ability to allow employees
access to historical payroll and
time bank information.
Business Form/User
Interface



6.10.10.5.48 PROCEDURE - Issue Checks and Pay Advices
The purpose of this procedure is the timely and accurate generation of pay
checks/advices, including printing of paychecks. As well, ensuring that the appropriate
sorting is completed based on time keeping location.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.10.10.5.48.1 The ability to print pay checks
and advices
Procedure
Requirement

6.10.10.5.48.2 The ability to retain payment
records for 50+years
Regulatory
6.10.10.5.48.3 The ability to define a form
template and paper stock for
paper checks which align with
the City of Rochester
Business Form/User
Interface

184


requirements


6.11 SERVICE - MGR - Human Resource Management


6.11.11 PROCESS AREA - Compensation Mgmt - Special (Off-Cycle) Payroll
Processing


6.11.11.1 PROCESS - Special (Off-Cycle) Payroll Processing - Retro Payroll
The purpose of this process is to complete the accurate and timely payment to employees
and tax authorities for compensation outside the regular pay cycles. This includes key
components of pay calculations (example: deductions, garnishments, taxes) adhering to
all contractual and legal requirements, as well as City policy.

6.11.11.1.1 PROCEDURE - Schedule Retro Pay Dates
The purpose of this procedure is to schedule retro pay dates by coming to an agreement
on the effective date and payment date of retro pay amounts.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.1.1.1 The ability to update/add a new
payroll cycle, including
deductions and benefits.
Procedure
Requirement



6.11.11.1.2 PROCEDURE - Calculate and Update New Rate Tables and
Assignments
The purpose of this procedure is to utilize the new retro rate calculations, the settlement
information to calculate new rates and the effective dates for the fiscal year for the
bracket and step table.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.1.2.1 The ability to update the
specified salary schedule based
on predefined formula (e.g.
2%)
Procedure
Requirement

6.11.11.1.2.2 The ability to electronic
capture and update employee
rates (bracket and step) within
a salary schedule.
Decision
Criteria/Business
Rule

6.11.11.1.2.3 The ability to retain history of
rates prior to changes
Decision
Criteria/Business

185


Rule
6.11.11.1.2.4 The ability to automatically
update assignments (any
change to the personnel record)
with predefined reason code
based on changes made to rate
tables
Decision
Criteria/Business
Rule



6.11.11.1.3 PROCEDURE - Identify Eligible Employees
The purpose of this procedure is to utilize business rules to determine employees who are
eligible for retro pay based on their personnel record (Business unit).
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.1.3.1 The ability to identify
employees eligible for retro
pay based on business rules
(e.g. assignment date and
salary schedule)
Procedure
Requirement



6.11.11.1.4 PROCEDURE - Update Payroll Schedule
The purpose of this procedure is to update the a payroll schedule by identifying the
appropriate pay period, pay dates, applicable deductions and benefits necessary for the
retro pay.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.1.4.1 The ability to update the
specified salary schedule based
on predefined formula (e.g.
2%)
Procedure
Requirement



6.11.11.1.5 PROCEDURE - Calculate & Update Disabled Firefighter Retro Rates
The purpose of this procedure is to calculate and update disabled firefighters' retro pay
rates based on the difference in state disability rate and city pay rates.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.1.5.1 The ability to update the rate
on individual personnel record
and assignment based on
predefined formula (e.g.
employee type, education,
longevity, and amount paid by
Procedure
Requirement

186


external source) either
manually or systematically
6.11.11.1.5.2 The ability to manually update
rates of an employee's
personnel record without using
a specific salary schedule
Business Form/User
Interface



6.11.11.1.6 PROCEDURE - Identify Terminated / Re-Hire Eligibility
The purpose of this procedure is to identify previously terminated employees who meet
the criteria for a retro pay increase based on their assignment dates and position(s).
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.1.6.1 The ability to identify
employees eligible for retro
pay based on business rules
(e.g. assignment date, salary
schedule, termination and re-
hire status)
Procedure
Requirement



6.11.11.1.7 PROCEDURE - Determine Historical Assignment Impact
The purpose of this procedure is to utilize business rules to determine the impact of
assignment history on retro eligibility. This is done by identifying and evaluating any
changes to employee assignments during the period covered by the settlement of retro
pay.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.1.7.1 The ability to update the
specified salary schedule based
on predefined formula (e.g.
2%)
Procedure
Requirement

6.11.11.1.7.2 The ability to electronic
capture and update employee
rates (bracket and step) within
a salary schedule.
Decision
Criteria/Business
Rule

6.11.11.1.7.3 The ability to retain history of
rates prior to changes
Regulatory
6.11.11.1.7.4 The ability to automatically
update assignments (any
change to the personnel record)
with predefined reason code
based on changes made to rate
tables
Decision
Criteria/Business
Rule

187


6.11.11.1.7.5 The ability to identify
employees eligible for retro
pay based on business rules
(e.g. assignment date and
salary schedule)
Decision
Criteria/Business
Rule



6.11.11.1.8 PROCEDURE - Determine Historical Payroll Impact
The purpose of this procedure is to utilize business rules to determine payroll history for
eligible employees and the impact it may have on their retro pay eligibility. This is done
by isolating earn code usage per employee.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.1.8.1 The ability to update the
specified salary schedule based
on predefined formula (e.g.
2%)
Procedure
Requirement

6.11.11.1.8.2 The ability to electronic
capture and update employee
rates (bracket and step) within
a salary schedule.
Decision
Criteria/Business
Rule

6.11.11.1.8.3 The ability to retain history of
rates prior to changes
Regulatory
6.11.11.1.8.4 The ability to automatically
update assignments (any
change to the personnel record)
with predefined reason code
based on changes made to rate
tables
Decision
Criteria/Business
Rule



6.11.11.1.9 PROCEDURE - Send Updated Payroll to NYS Retirement
The purpose of this procedure is to ensure employees who have retired during the retro
period are compensated accordingly. To do this, we must communicate the updates
based on the settlement of retro pay and its impact to historical payroll information to the
NYS Retirement system.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.1.9.1 The ability to generate a report
that breaks down retro pay for
each employee by fiscal year
and earn codes and earn code
description
Procedure
Requirement


188



6.11.11.1.10 PROCEDURE - Identify Excluded Earn Codes
The purpose of this procedure is to identify which earn codes should and should not have
the retro pay increase applied.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.1.10.1 The ability to electronically
indicate earn codes impacted
by retro pay
Procedure
Requirement



6.11.11.1.11 PROCEDURE - Update Union Dues Deduction
The purpose of this procedure is to update union dues deductions in arrears for inclusion
in payroll processing if necessary.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.1.11.1 The ability to create a one time
deduction code based on a
predefined amount or business
rules
Procedure
Requirement



6.11.11.1.12 PROCEDURE - Calculate Retro Pay
The purpose of this procedure is to complete the Retro Pay calculations and prepare for
payroll transaction creation (link to Payroll Processing).
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.1.12.1 The ability to calculate retro
payment amount based on
business rules (new salary
schedule, historical pay
records)
Procedure
Requirement

6.11.11.1.12.2 The ability to classify earnings
as taxable and non taxable for
each individual tax category
based on business rules (e.g.
earning codes - military pay,
on the job injury pay)
Decision
Criteria/Business
Rule

6.11.11.1.12.3 The ability to generate a detail
summary report of all
retroactive payments to be
made.
Reporting


189


6.11.11.2 PROCESS - Special (Off-Cycle) Payroll Processing - Accrued Time
Buyback Payroll
The purpose of this process is to complete the accurate and timely payment to employees
and tax authorities for compensation outside the regular pay cycles. This includes key
components of pay calculations (example: deductions, garnishments, taxes) adhering to
all contractual and legal requirements, as well as City policy. Specifically focusing on
special payroll processing for accrued time buy backs, including identifying those eligible
for the buy back, allowing eligible population to make elections and ensuring accurate
and timely payment to eligible population. Currently, the Buy Back options or scenarios
include: Vacation Leave, Personal Leave and Comp Time (Rochester Police Department
Uniform/Union only).

6.11.11.2.1 PROCEDURE - Identify Eligible Population
The purpose of this procedure is to accurately identify city employees who are eligible to
participate in buy-back for earned/accrued time (Personal, APT/Confidential Vacation,
ESO Vacation, Uniform/Union RPD comp) based on contract mandated and policy
driven requirements. As well, determine what type and what their exact eligibility
consists of. Eligibility can include the following factors: time banks balances,
assignment history (all), leave of absence history, hire dates, etc.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.2.1.1 The ability to determine Comp
Time Buyback based on a set
criteria (e.g. job title, bracket
and step)
Procedure
Requirement

6.11.11.2.1.2 The ability to validate
employee status and position
prior to allowing buyback or
vacation time sell option
Decision
Criteria/Business
Rule

6.11.11.2.1.3 The ability to set different
accrual dates for vacation,
personal, sick and comp time
based on employee record
(type, assignment history,
attendance data, etc)
Decision
Criteria/Business
Rule

6.11.11.2.1.4 The ability to allow designated
personnel to run the eligibility
list
Security (User
Permissions/Access,
Compliance)

6.11.11.2.1.5 The ability to prorate accrued
time
Decision
Criteria/Business
Rule

6.11.11.2.1.6 The ability to automatically
notify employees of mandatory
sell due to schedule (wheel)
change
Decision
Criteria/Business
Rule


190



6.11.11.2.2 PROCEDURE - Select Buy-Back Elections
The purpose of this procedure is to capture the buy-back selection of each eligible
employee based on their available options.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.2.2.1 The ability for users to
electronically select buyback
options.
Procedure
Requirement

6.11.11.2.2.2 The ability for users to
electronically decline eligible
option.
Decision
Criteria/Business
Rule

6.11.11.2.2.3 The ability to prevent
employees from selling more
comp time than what's accrued.
Decision
Criteria/Business
Rule

6.11.11.2.2.4 The ability to electronically
notify eligible employees of
their current bank and amount
available for buyback
Decision
Criteria/Business
Rule



6.11.11.2.3 PROCEDURE - Approve/Reject Buy-Back Elections
The purpose of this procedure is to approve or reject buy/back elections.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.2.3.1 The ability to electronically
approve or reject time buy
back requests by appropriate
approvers
Procedure
Requirement



6.11.11.2.4 PROCEDURE - Calculate Buy-Back Transactions
The purpose of this procedure is to calculate buy-back transaction amounts based on
eligible employee elections for inclusion in special payroll (accrued time buy backs)
processing.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.2.4.1 The ability to generate a
paycheck draft report based on
current pay cycle time and
attendance data
Procedure
Requirement

6.11.11.2.4.2 The ability to generate initial
paycheck draft based on annual
Reporting
191


holidays for firefighters
6.11.11.2.4.3 The ability to generate payroll
drafts based on vacation sell
option.
Reporting


6.11.11.2.5 PROCEDURE - Create Earn Code Transactions
The purpose of this procedure is to accurately create the accrued time buy-back earn code
transactions base on the employee selections for each buy-back type. (Personal,
APT/Confidential Vacation, ESO Vacation, Uniform/Union RPD comp)
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.2.5.1 The ability to create separate
earn code for various buy
backs.
Procedure
Requirement

6.11.11.2.5.2 The ability to report specified
earn codes to NYS Retirement
system
Regulatory


6.11.11.2.6 PROCEDURE - Submits Payroll Corrections
The purpose of this procedure is to review preliminary payroll and provide corrections to
be made.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.2.6.1 The ability to electronically
send a corrections to
appropriate person/department
Procedure
Requirement

6.11.11.2.6.2 The ability track the review
process
Security (User
Permissions/Access,
Compliance)

6.11.11.2.6.3 The ability to notify defined
users that files have been
reviewed
Business Form/User
Interface

6.11.11.2.6.4 The ability to automatically
notify an employee that a
correction was made
Decision
Criteria/Business
Rule

6.11.11.2.6.5 The ability to restrict access to
time card corrections based on
business rules
Security (User
Permissions/Access,
Compliance)

6.11.11.2.6.6 The ability to require
additional electronic approval
based on business rules
Decision
Criteria/Business
Rule

192


6.11.11.2.6.7 The ability to submit
corrections for approval
Business Form/User
Interface



6.11.11.2.9 PROCEDURE - Generate Payroll Reports
The purpose of this procedure is to generate the necessary payroll reports from final
payroll and distribute to key stakeholders efficiently.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.2.9.1 The ability to generate a detail
payroll register report as
defined by the City
Procedure
Requirement

6.11.11.2.9.2 The ability to generate a check
distribution report
Reporting
6.11.11.2.9.3 The ability to generate a lost
time register report
Reporting
6.11.11.2.9.4 The ability to generate a direct
deposit advices report
Reporting
6.11.11.2.9.5 The ability to generate Trans
21 Summary and Audit reports
Reporting


6.11.11.2.10 PROCEDURE - Correct Payroll
The purpose of this procedure is to correct any payroll discrepancies (abnormalities or
exceptions) found as a result of a comprehensive review and verification of payroll
transactions
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.2.10.1 The ability to electronically
adjust Payroll calculations
Procedure
Requirement

6.11.11.2.10.2 The purpose of this procedure
is to correct any payroll
discrepancies (abnormalities or
exceptions) found as a result of
a comprehensive review and
verification of payroll
transactions
Procedure
Requirement



6.11.11.2.11 PROCEDURE - Import Garnishments by Marshall Payments
The purpose of this procedure is to process payments for all garnishments by Marshall
based on final payroll generation.
193


Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.2.11.1 The ability to integrate
garnishments into the City's
financial system as specified
by the City
Procedure
Requirement



6.11.11.2.12 PROCEDURE - Import and Post Payroll Expense File
The purpose of this procedure is to import and post the Payroll Expense amounts coming
from the Payroll System into the Financial System.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.2.12.1 The ability to integrate post
payroll expense information
with the City's finance system
Procedure
Requirement



6.11.11.2.13 PROCEDURE - Transmit Positive Pay File
The purpose of this procedure is to send and ensure receipt of a file of all payroll checks
issues to the City's bank. The file (Positive Pay) is utilized to ensure proper and valid
cashing of payroll checks.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.2.13.1 The ability to export a file and
automate transmission to the
City's Bank of all paper
paychecks issued.
Procedure
Requirement



6.11.11.2.14 PROCEDURE - Distribute Checks and Advices
The purpose of this procedure is to ensure proper handling of paychecks and advices,
ultimately distributing them to city employees.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.2.14.1 The ability to electronically
generate paystub history in an
employee self service account
Procedure
Requirement



6.11.11.2.15 PROCEDURE - Post Pay Stubs to Self Service
The purpose of this procedure is to post all current check stuff information on the
employee self service portal.
194


Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.2.15.1 The ability to upload pay check
information to an employee
self service site
Procedure
Requirement

6.11.11.2.15.2 The ability to view historical
pay stubs on self service
Procedure
Requirement



6.11.11.2.16 PROCEDURE - Certify Payroll
The purpose of this procedure to capture the mandated payroll certification efficiently,
ensuring all required department/bureau certifications are documented and on file as
required by laws/mandates. Departments must have authorized certification on file in
order for their payroll to be distributed.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.2.16.1 The ability to certify a payroll's
completion
Procedure
Requirement



6.11.11.2.17 PROCEDURE - Complete Payroll Certification
The purpose of this procedure is to certify payroll efficiently, ensuring all required
department/bureau certifications are documented and on file as required by
laws/mandates. Departments must have authorized certification on file in order for their
payroll to be distributed.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.2.17.1 The ability to certify payroll Procedure
Requirement



6.11.11.2.18 PROCEDURE - Issue Checks and Pay Advices
The purpose of this procedure is the timely and accurate generation of pay
checks/advices, including printing of paychecks. As well, ensuring that the appropriate
sorting is completed based on time keeping location.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.2.18.1 The ability to define a form
template and paper stock for
paper checks which align with
the City of Rochester
requirements
Procedure
Requirement

6.11.11.2.18.2 The ability to retain payment Regulatory
195


records for 50+years
6.11.11.2.18.3 The ability to print pay checks
and advices
System
Interface/Data
Integration



6.11.11.3 PROCESS - Special (Off-Cycle) Payroll Processing - Uniform/Union
Holiday Pay (RFD - RPD)
The purpose of this process is to complete the accurate and timely payment to employees
and tax authorities for compensation outside the regular pay cycles. This includes key
components of pay calculations (example: deductions, garnishments, taxes) adhering to
all contractual and legal requirements, as well as City policy. Specifically focusing on
the payment of holidays for uniform/union employees, including identifying who is
eligible for holiday pay and ensuring accurate and timely payment to eligible population.

6.11.11.3.1 PROCEDURE - Identify Eligible Veterans
The purpose of this procedure is to identify active employees with veteran status,
determining that they want the day off, elect a float day if scheduled to work on memorial
day and/or veterans day holidays or elect to receive pay.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.3.1.1 The ability to indicate active
Uniform/Union RFD
employees with veteran status.
Procedure
Requirement

6.11.11.3.1.2 The ability to capture
employees veteran status
within personnel record.
Procedure
Requirement

6.11.11.3.1.3 The ability to electronically
present holiday pay options to
eligible veterans scheduled to
work on identified holidays.
Procedure
Requirement

6.11.11.3.1.4 The ability automatically
communicate to all
Uniform/Union employees the
opportunity to select holiday
pay options.
Procedure
Requirement



6.11.11.3.2 PROCEDURE - Select Holiday Float/Pay Options
The purpose of this procedure is to allow eligible veterans to elect either to be paid for
memorial day and/or veterans day or opt for a 'float' day to be used within one year of the
holiday.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
196


6.11.11.3.2.1 The ability for designated
individuals to electronically
select holiday option
(memorial day, veterans day,
float day)
Procedure
Requirement

6.11.11.3.2.2 The ability to enforce required
field completion prior to
submitting electronic form.
Configuration
6.11.11.3.2.3 The ability to provide
electronic workflow for routing
submitted forms to designated
roles.
Decision
Criteria/Business
Rule

6.11.11.3.2.4 The ability to limit and control
access for payroll information,
specific fields or views based
on roles.
Security (User
Permissions/Access,
Compliance)



6.11.11.3.3 PROCEDURE - Verify Eligibility
The purpose of this procedure is to verify the attendance of RFD Uniform/Union
employees holidays for those who have chosen to float the holiday is accurately captured,
ensuring their eligibility to utilize the float day.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.3.3.1 The ability to automatically
verify the attendance
of designated employees.
Procedure
Requirement

6.11.11.3.3.2 The ability to automatically
exclude elections if required
attendance criteria is not met.
Decision
Criteria/Business
Rule

6.11.11.3.3.3 The ability to notify designated
individuals if eligibility is not
met.
Procedure
Requirement

6.11.11.3.3.4 The ability to automatically
validate elections if required
attendance criteria is met.
Procedure
Requirement

6.11.11.3.3.5 The ability to automatically
capture available float days and
effective dates within
employee time banks.
Procedure
Requirement

6.11.11.3.3.6 The ability to integrate with
external scheduling tools.
Procedure
Requirement



197


6.11.11.3.4 PROCEDURE - Publish Eligible Veterans
The purpose of this procedure is to make available the list of all RFD Uniform/Union
military veterans eligible for float holiday usage to supervisors. This procedure occurs
once float eligibility is determined (based on whether employee actually worked on
holiday).
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.3.4.1 The ability to electronically
publish the list of all RFD
Uniform/Union military
veterans eligible for float
holiday usage.
Procedure
Requirement

6.11.11.3.4.2 The ability to limit and control
access for payroll information,
specific fields or views based
on roles.
Security (User
Permissions/Access,
Compliance)



6.11.11.3.5 PROCEDURE - Monitor Float Holiday Compliance
The purpose of this procedure is to accurately track the usage of holiday float days for
RFD Uniform/Union eligible veterans, ensuring compliance with policies and
procedures.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.3.5.1 The ability to track the usage
of holiday float days.
Procedure
Requirement

6.11.11.3.5.2 The ability to electronically
communicate pending
expiration of available holiday
float days.
Procedure
Requirement



6.11.11.3.6 PROCEDURE - Create Holiday Transactions
The purpose of this procedure is to utilize the contractually agreed upon holiday
eligibility and calculations to create the transactions for the special payroll. This occurs
annually based on contracts.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.3.6.1 The ability to calculate
transactions for specific pre-
identified holidays for eligible
employees by employee group
based on status and pay rates at
time of holiday.
Procedure
Requirement

198


6.11.11.3.6.2 The ability to identify eligible
employees based on personnel
record details (status, hire date,
assignment changes).
Decision
Criteria/Business
Rule



6.11.11.3.7 PROCEDURE - Review and Validate Transactions
The purpose of this activity is to remove transactions for those veterans who are not
eligible for holiday pay, and others, based on stated contractual rules (floats, termination
payout, promotions).
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.3.7.1 The ability to remove
transactions based on stated
contractual rules (e.g. floats,
termination payout,
promotions).
Procedure
Requirement

6.11.11.3.7.2 The ability to view, sort,
modify, delete transactions.
Procedure
Requirement

6.11.11.3.7.3 The ability to limit and control
access for payroll information,
specific fields or views based
on roles.
Security (User
Permissions/Access,
Compliance)

6.11.11.3.7.4 The ability to stage
transactions and automatically
update transactions based on
personnel changes impacting
payroll.
Decision
Criteria/Business
Rule



6.11.11.3.9 PROCEDURE - Enter Garnishments
The purpose of this procedure is to enter Garnishment and Levy amounts after a thorough
review for accuracy is completed.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.3.9.1 The ability to enter
garnishments and override
Garnishment calculations
Procedure
Requirement

6.11.11.3.9.2 The ability to generate reports
based on Maximums for
Garnishments
Reporting
6.11.11.3.9.3 The ability to generate reports
showing calculations amounts
for Garnishments
Reporting
199




6.11.11.3.10 PROCEDURE - Generate Payroll Reports
The purpose of this procedure is to generate the necessary payroll reports from final
payroll and distribute to key stakeholders efficiently.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.3.10.1 The ability to generate a detail
payroll register report as
defined by the City
Procedure
Requirement

6.11.11.3.10.2 The ability to generate a check
distribution report
Reporting
6.11.11.3.10.3 The ability to generate a lost
time register report
Reporting
6.11.11.3.10.4 The ability to generate a direct
deposit advices report
Reporting
6.11.11.3.10.5 The ability to generate a direct
deposit advices report
Reporting


6.11.11.3.11 PROCEDURE - Import Garnishments by Marshall Payments
The purpose of this procedure is to process payments for all garnishments by Marshall
based on final payroll generation.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.3.11.1 The ability to integrate
garnishments into the City's
financial system as specified
by the City
Procedure
Requirement



6.11.11.3.12 PROCEDURE - Import and Post Payroll Expense File
The purpose of this procedure is to import and post the Payroll Expense amounts coming
from the Payroll System into the Financial System.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.3.12.1 The ability to integrate post
payroll expense information
with the City's finance system
Procedure
Requirement



6.11.11.3.13 PROCEDURE - Transmit Positive Pay File
200


The purpose of this procedure is to send and ensure receipt of a file of all payroll checks
issues to the City's bank. The file (Positive Pay) is utilized to ensure proper and valid
cashing of payroll check's
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.3.13.1 The ability to export a file and
automate transmission to the
City's Bank of all paper
paychecks issued.
Procedure
Requirement



6.11.11.3.14 PROCEDURE - Distribute Checks and Advices
The purpose of this procedure is to ensure proper handling of paychecks and advices,
ultimately distributing them to city employees.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.3.14.1 The ability to electronically
generate paystub history in an
employee self service account
Procedure
Requirement



6.11.11.3.15 PROCEDURE - Verify Payroll Deductions and Other Earning
The purpose of this procedure is to verify payroll deductions and other earnings.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.3.15.1 The ability to set defined
business rules around longevity
pay based on employee earn
codes for defined date range
Decision
Criteria/Business
Rule

6.11.11.3.15.2 The ability to generate a report
based on deduction code and
amount
Reporting
6.11.11.3.15.3 The ability to set defined
business rules around longevity
pay based on employee earn
codes for defined date range
Decision
Criteria/Business
Rule

6.11.11.3.15.4 The ability to make changes to
deductions
Procedure
Requirement

6.11.11.3.15.5 The ability to flag a defined
dollar amount to be deducted
from an employee paycheck
Procedure
Requirement

6.11.11.3.15.6 The ability to generate a
prepayroll register report of
Procedure
Requirement

201


current data
6.11.11.3.15.7 The ability to remove longevity
pay from employees who do
not qualify
Procedure
Requirement

6.11.11.3.15.8 The ability to run reports based
on longevity eligibility
Reporting
6.11.11.3.15.9 The ability to create a payment
bank/time bank of half pay
Procedure
Requirement

6.11.11.3.15.10 The ability to track and report
on half pay payments made
Procedure
Requirement

6.11.11.3.15.11 The ability to track workers
compensation usage
Procedure
Requirement

6.11.11.3.15.12 The ability to flag employees
for the duration of workers
comp in employee assignment
history
Procedure
Requirement



6.11.11.3.16 PROCEDURE - Certify Payroll
The purpose of this procedure to capture the mandated payroll certification efficiently,
ensuring all required department/bureau certifications are documented and on file as
required by laws/mandates. Departments must have authorized certification on file in
order for their payroll to be distributed.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.3.16.1 The ability to certify payroll Procedure
Requirement



6.11.11.3.17 PROCEDURE - Complete Payroll Certification
The purpose of this procedure is to certify payroll efficiently, ensuring all required
department/bureau certifications are documented and on file as required by
laws/mandates. Departments must have authorized certification on file in order for their
payroll to be distributed.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.3.17.1 The ability to certify payroll Procedure
Requirement



6.11.11.3.18 PROCEDURE - Issue Checks and Pay Advices
The purpose of this procedure is the timely and accurate generation of pay
checks/advices, including printing of paychecks. As well, ensuring that the appropriate
202


sorting is completed based on time keeping location.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.11.11.3.18.1 The ability to retain payment
records for 50+years
Procedure
Requirement

6.11.11.3.18.2 The ability to define a form
template and paper stock for
paper checks which align with
the City of Rochester
requirements
Configuration
6.11.11.3.18.3 The ability to print pay checks
and advices
Reporting


6.12 SERVICE - MGR - Human Resource Management


6.12.12 PROCESS AREA - Compensation Mgmt - Compliance and Reporting


6.12.12.1 PROCESS - Compliance and Reporting - Federal and State Filing
The purpose of this process is to calculate and report on Payroll and HR information by
pay period, quarterly, annually and as requested (e.g., advices, social security, retirement,
EHRI, EEOC).

6.12.12.1. PROCEDURE -

Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.1..1 The ability to print hard-copy
W2 forms for each employee.
Reporting
6.12.12.1..2 The ability for City employees
to print historical/current W-2
forms.
Reporting
6.12.12.1..3 The ability for a City
Administrator to print
employee historical/current W-
2 forms.
Reporting
6.12.12.1..4 The ability to electronically
distribute W2's to employees
Business Form/User
Interface

6.12.12.1..5 The ability to annually, Procedure
203


generate W2 master file per the
specifications of the IRS,
which change annually.
Requirement
6.12.12.1..6 The ability to run an IRS edit
check prior to officially
submitting NY State, Federal,
Fica, Medicare grosses and
taxes deducted from employee
paychecks.
Decision
Criteria/Business
Rule



6.12.12.1.1 PROCEDURE - Submit Social Security File for IRS Verification
The purpose of this procedure is to verify the City's Social Security information against
Federal Social Security records.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.1.1.1 The ability to generate a file of
employee names and Social
Security numbers compatible
for uploading to the Social
Security Administration web
site for verification per IRS
formatting rules.
Procedure
Requirement



6.12.12.1.2 PROCEDURE - Resolve Social Security Errors
The purpose of this procedure is to ensure correct social security numbers are associated
to City employees with updates to identified errors.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.1.2.1 The ability to allow employee
Social Security numbers to be
updated and keep all earnings
to remain with the record.
Procedure
Requirement



6.12.12.1.3 PROCEDURE - Submit Corrected Social Security Information
The purpose of this procedure is to update the Social Security information on the Social
Security Website.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.1.3.1 The ability to submit a
corrected W2 file to the
Federal Social Security website
Procedure
Requirement

204




6.12.12.1.4 PROCEDURE - Report Quarterly New York State Withholding, Wage
Reporting and Unemployment Insurance (NYS45)
The purpose of this procedure is to report federal and state tax withholdings in required
format on a quarterly basis.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.1.4.1 The ability to generate a report
of all State grosses and taxes
deducted from employee
paychecks for any specified
time period and run as needed
in New York State required
format.
Procedure
Requirement

6.12.12.1.4.2 The ability to compare tax
payments and wire transfers to
New York State with actual
deductions from employee
paychecks and flag
discrepancies.
Decision
Criteria/Business
Rule

6.12.12.1.4.3 The ability to access historical
information
System
Interface/Data
Integration



6.12.12.1.5 PROCEDURE - Report Employer's Quarterly Federal Tax Return
(941)
The purpose of this procedure is to report federal tax grosses and withholdings as well as
Fica and Medicare grosses and taxes on a quarterly basis.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.1.5.1 The ability to generate a report
of all Federal, Fica, Medicare
grosses and taxes deducted
from employee paychecks for
any specified time period and
run as needed.
Procedure
Requirement

6.12.12.1.5.2 The ability to compare tax
payments and wire transfers to
the IRS with actual deductions
from employee paychecks and
flag discrepancies.
Decision
Criteria/Business
Rule

6.12.12.1.5.3 The ability to access historical
information
System
Interface/Data

205


Integration


6.12.12.1.6 PROCEDURE - Report Quarterly Unified Employer Assessment (GA-
4, WC)
The purpose of this procedure is the accurate and timely payment of the Workers
Compensation Premium.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.1.6.1 The ability to generate a report
of all earnings for a specific
time frame by employee type
(Police/Fire/Civilian)
Procedure
Requirement



6.12.12.1.7 PROCEDURE - Update W2, 1099 and 941 Templates
The purpose of this procedure is to update and publish, as necessary, the 1099 form based
on the IRS and American Payroll Association websites.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.1.7.1 The ability to automatically
update W2, 1099 and 941
forms based on IRS guidelines
Procedure
Requirement

6.12.12.1.7.2 The ability to define W2, 1099
and 941 form fields based on
City needs
Decision
Criteria/Business
Rule

6.12.12.1.7.3 The ability to test and verify
the accuracy of the updated
W2, 1099 and 941 templates
with real data.
Procedure
Requirement



6.12.12.1.8 PROCEDURE - Report Annual Return of Withheld Federal Income
Tax (941)
The purpose of this procedure is to generate the W2 Master file and submit the reconciled
version to the IRS using the 941 form.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.1.8.1 The ability to generate a report
of all NY State, Federal, Fica,
Medicare grosses and taxes
deducted from employee
paychecks for any specified
Procedure
Requirement

206


time period and run as needed.


6.12.12.1.10 PROCEDURE - Generate & Distribute 1099 Forms
The purpose of this procedure is to create, distribute and, potentially, retain W2's.
Reference # Requirement Requirement
Type
Response
(Y,Z,T,N)
Xrf
6.12.12.1..1 The ability to print hard-
copy W2 forms for each
employee.

6.12.12.1..2 The ability for City
employees to print
historical/current W-2
forms.

6.12.12.1..3 The ability for a City
Administrator to print
employee
historical/current W-2
forms.

6.12.12.1..4 The ability to
electronically distribute
W2's to employees

6.12.12.1..5 The ability to annually,
generate W2 master file
per the specifications of
the IRS, which change
annually.

6.12.12.1..6 The ability to run an IRS
edit check prior to
officially submitting NY
State, Federal, Fica,
Medicare grosses and
taxes deducted from
employee paychecks.




6.12.12.1.10 PROCEDURE - Generate & Distribute 1099 Forms
The purpose of this procedure is to produce and distribute 1099 forms to all contract
employees. (Report Payments Made to Employees). The 1099 file contains copies of all
refund checks received from IRS and records on deceased employees who were paid after
passing away
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.1.10.1 The ability to print
historical/current 1099 forms.
Procedure
Requirement

6.12.12.1.10.2 The ability to print hard-copy Reporting
207


1099 forms for each retiree or
domestic partner.
6.12.12.1.10.3 The ability to electronically
distribute 1099's to
employees/retirees
Business Form/User
Interface

6.12.12.1.10.4 The ability to format 1099 files
per IRS specifications and send
the 1099 files electronically to
the IRS.
System
Interface/Data
Integration



6.12.12.1.11 PROCEDURE - Distribute W2, 1099 and 941 Forms
The purpose of this procedure is to ensure all Legal requirements are met with regard to
issuing W2, 1099 and 941's to employees in a timely and accurate manner.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.1.11.1 The ability to support Self
Sealing W2 and 1099
Decision
Criteria/Business
Rule

6.12.12.1.11.2 The ability to identify which
employees will need forms
mailed
Decision
Criteria/Business
Rule

6.12.12.1.11.3 The ability to track where
forms were mailed and who
they were addressed to
Decision
Criteria/Business
Rule

6.12.12.1.11.4 The ability to distribute W2,
1099, and 941 forms as
specified by the City
Procedure
Requirement



6.12.12.1.12 PROCEDURE - Calculate Revised Earnings
The purpose of this procedure is to verify the employee's W2, 1099 and 941 forms for the
errors found.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.1.12.1 The ability to generate a report
on historical W2 and 941
information for a given period
of time
Procedure
Requirement



6.12.12.2 PROCESS - Compliance and Reporting - Period End (Period End/Close)
The purpose of this process is to calculate and report on Payroll and HR information by
208


pay period, quarterly, annually and as requested (e.g., advices, social security, retirement,
EHRI, EEOC).

6.12.12.2.1 PROCEDURE - Accumulate Year End Check History
The purpose of this procedure is to capture monthly payroll check history for verification,
in the event of a discrepancy, or to respond to inquiries related to payroll. This includes
all regular and special payrolls, as well as supplemental and voided check history
information.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.2.1.1 The ability to communicate
with Micro Fiche vendors
System
Interface/Data
Integration

6.12.12.2.1.2 The ability to format a file to
communicate with Micro Fiche
Vendors
System
Interface/Data
Integration

6.12.12.2.1.3 The ability to generate a State
fiscal year report
Procedure
Requirement



6.12.12.2.2 PROCEDURE - Archive Year End Accumulated Files
The purpose of this procedure is to upload and store historical payroll information so that
it can be easily accessed by payroll at a later time.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.2.2.1 The ability to view stored
accumulated files
Business Form/User
Interface

6.12.12.2.2.2 The ability to filter and search
by Name, Employee ID and
Social security Number
Business Form/User
Interface

6.12.12.2.2.3 The ability to maintain records
for 55 years
Decision
Criteria/Business
Rule

6.12.12.2.2.4 The ability to transfer records
between systems
System
Interface/Data
Integration

6.12.12.2.2.5 The ability to electronically
store W2 historical information
System
Interface/Data
Integration

6.12.12.2.2.6 The ability to accumulate the
file maintenance history
Procedure
Requirement



209


6.12.12.2.3 PROCEDURE - Reset Year End Earnings
The purpose of this procedure is to reset the month's accumulated earnings, deductions,
benefits and taxes for tracking purposes.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.2.3.1 The ability to zero out
designated accumulators
(earnings, deductions, taxes,
etc)
Procedure
Requirement

6.12.12.2.3.2 The ability to move
information to a prior period
Decision
Criteria/Business
Rule



6.12.12.2.4 PROCEDURE - Reset Quarter End
The purpose of this procedure is to reset the quarter end accumulator so the next quarter
can be started.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.2.4.1 The ability to reset
accumulator a State fiscal year
report
Procedure
Requirement

6.12.12.2.4.2 The ability to generate a report
with state fiscal year earnings
and retirement data
Reporting
6.12.12.2.4.3 The ability to filter reports by
earning codes
Reporting
6.12.12.2.4.4 The ability to report in various
formats (excel, pdf, csv, rtf,
etc)
Reporting


6.12.12.2.5 PROCEDURE - Accumulate Monthly Check History
The purpose of this procedure is to capture and accumulate monthly payroll check history
details for reporting and verification, in the event of a discrepancy, or to respond to
inquiries related to payroll. This includes all regular and special payrolls, as well as
supplemental and voided check history information.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.2.5.1 The ability to automatically
accumulate and store monthly
check history details and
ensure it is available for
reporting and verification
Procedure
Requirement

210


purposes.


6.12.12.2.6 PROCEDURE - Archive Monthly Accumulated Files
The purpose of this procedure is to accumulate the file maintenance to track historical
changes to personnel and payroll records including specific details of what changes were
made, when, by whom and why.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.2.6.1 The ability to be filtered and
searched by Name, Employee
ID and Social security Number
Business Form/User
Interface

6.12.12.2.6.2 The ability to view stored
accumulated files
Business Form/User
Interface

6.12.12.2.6.3 The ability to provide record
retention based on business
rules (e.g. 55 years)
Decision
Criteria/Business
Rule

6.12.12.2.6.4 The ability to transfer records
between systems
System
Interface/Data
Integration

6.12.12.2.6.5 The ability to accumulate the
file maintenance history
Procedure
Requirement



6.12.12.2.7 PROCEDURE - Reset Monthly Earnings
The purpose of this procedure is to reset the month's accumulated earnings, deductions,
benefits and taxes for tracking purposes. Accumulation is the tracking of total
accumulated Earning deductions benefits taxes, etc.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.2.7.1 The ability to zero out
designated accumulators
Procedure
Requirement

6.12.12.2.7.2 The ability to move
information to a prior period
Decision
Criteria/Business
Rule



6.12.12.2.8 PROCEDURE - Reconcile Retirement Contributions
The purpose of this procedure is to run the retirement report and make sure the deduction
totals equal what the City has as the totals in its accumulated check history (Master File)
and why, if any, there are any discrepancies.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
211


6.12.12.2.8.1 The ability to generate and sort
a report based on retirement
components (Tier and
Retirement Plan)
Procedure
Requirement

6.12.12.2.8.2 The ability to compute number
of retirement days based on
NYS requirements and payrolls
paid in a pay period
Decision
Criteria/Business
Rule

6.12.12.2.8.3 The ability to define what
earning codes are reportable to
NYS
Decision
Criteria/Business
Rule



6.12.12.2.9 PROCEDURE - Correct Retirement Contributions
The purpose of this procedure is to determine what the Retirement Contribution Errors
are and correct them.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.2.9.1 The ability to refund a loan or
retirement amount to an active
or inactive employee
Decision
Criteria/Business
Rule

6.12.12.2.9.2 The ability to set up a
temporary deduction where
length of time, dollar amount
and tax parameters can be
assigned.
Decision
Criteria/Business
Rule

6.12.12.2.9.3 The ability to correct
retirement contributions
Procedure
Requirement



6.12.12.2.10 PROCEDURE - Submit Retirement Money & Retirement Data File
The purpose of this procedure is to timely and accurately upload the two NYS retirement
files (Civilian and Police/Fire) to the New York State Retirement Website and wire funds
withheld from employee pay.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.2.10.1 The ability to create an
electronic data file created
based on New York State
Retirement formatting
requirements
Procedure
Requirement

6.12.12.2.10.2 The ability to modify file once
it has been generated
Business Form/User
Interface

6.12.12.2.10.3 The ability to wire funds to the System
212


New York State retirement
fund
Interface/Data
Integration


6.12.12.2.11 PROCEDURE - Verify Benefit Deduction Amounts
The purpose of this procedure is to verify the benefit amounts being deducted from
employee paychecks.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.2.11.1 The ability to automatically
stop designated deductions and
benefits based on assignment
end date and term code
Procedure
Requirement

6.12.12.2.11.2 The ability to generate a
benefit deduction totals report
Reporting


6.12.12.2.12 PROCEDURE - Adjust Medical and Dental Deductions
The purpose of this procedure is to correct any Medical or Dental deductions that were
not properly taken from an employee's paycheck.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.2.12.1 The ability to set a time based
arrears deductions for medical
and dental
Procedure
Requirement



6.12.12.2.13 PROCEDURE - Generate Benefit Invoices
The purpose of this procedure is to generate an invoice for vendor payment for Medical
and Dental funding based on reconciled totals from Payroll.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.2.13.1 The ability to apply all medical
deductions to the correct funds
Decision
Criteria/Business
Rule

6.12.12.2.13.2 The ability to compare vendor
invoices to the City's employee
plans by deduction and medical
plan selections including total
costs
Decision
Criteria/Business
Rule

6.12.12.2.13.3 The ability to generate benefit
vendor invoices
Procedure
Requirement


213



6.12.12.2.14 PROCEDURE - Accumulate Quarterly Check History
The purpose of this procedure is to capture quarterly payroll check history for verification
or to respond to inquiries related to payroll. This includes all regular and special payrolls,
as well as supplemental and voided check history information.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.2.14.1 The ability to communicate
with Micro Fiche vendors
System
Interface/Data
Integration

6.12.12.2.14.2 The ability to format a file to
communicate with Micro Fiche
Vendors
System
Interface/Data
Integration

6.12.12.2.14.3 The ability to accumulate
quarterly check history
Procedure
Requirement



6.12.12.2.15 PROCEDURE - Archive Quarterly Check History and File
Maintenance
The purpose of this procedure is to upload and store historical payroll information so that
it can be easily accessed by payroll at a later time.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.2.15.1 The ability to be filtered and
searched by Name, Employee
ID and Social security Number
Business Form/User
Interface

6.12.12.2.15.2 The ability to electronically
view stored accumulated files
Business Form/User
Interface

6.12.12.2.15.3 The ability to provide record
retention based on business
rules (e.g. 55 years)
Procedure
Requirement

6.12.12.2.15.4 The ability to transfer records
between systems
System
Interface/Data
Integration

6.12.12.2.15.5 The ability to accumulate the
file maintenance history
Decision
Criteria/Business
Rule



6.12.12.2.16 PROCEDURE - Reset Quarterly Earnings
The purpose of this procedure is to reset the quarter's accumulated earnings, deductions,
benefits and taxes for tracking purposes
214


Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.2.16.1 The ability to zero out
designated accumulators
Decision
Criteria/Business
Rule

6.12.12.2.16.2 The ability to move
information to a prior period
Decision
Criteria/Business
Rule

6.12.12.2.16.3 The ability to reset the
quarterly earnings accumulator
Procedure
Requirement



6.12.12.2.17 PROCEDURE - Reset Fiscal Year End
The purpose of this procedure is to reset the fiscal year end accumulator so the next
quarter can be started.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.2.17.1 The ability to generate using a
salary from a specified date
with time banks at fiscal year
end
Reporting
6.12.12.2.17.2 The ability to reset the fiscal
year accumulator after all time
worked through J une 30th has
been processed
Procedure
Requirement

6.12.12.2.17.3 The ability to view the prior
year Fiscal year accumulator
Business Form/User
Interface



6.12.12.3 PROCESS - Compliance and Reporting - Other Reporting and
Adjustments
The purpose of this process is to calculate and report on Payroll and HR information by
pay period, quarterly, annually and as requested (e.g., advices, social security, retirement,
EHRI, EEOC).

6.12.12.3.1 PROCEDURE - Query Reporting Options
The purpose of this procedure is to generate a list of available reports and reporting
options to compile the information needed.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.3.1.1 The ability for users to be able
to see reporting menu option
within the system
Procedure
Requirement

215


6.12.12.3.1.2 The ability to for users to
define reporting criteria
Reporting
6.12.12.3.1.3 The ability to restrict user
access based on system access
levels
Security (User
Permissions/Access,
Compliance)



6.12.12.3.2 PROCEDURE - Create Custom Report
The purpose of this procedure is to determine criteria for and create a custom report.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.3.2.1 The ability to create custom
reports based on user needs
Procedure
Requirement

6.12.12.3.2.2 The ability to restrict the
information users are able to
view in reporting
Reporting
6.12.12.3.2.3 The ability to restrict reporting
options based on security
access level
Reporting
6.12.12.3.2.4 The ability to reproduce a
previously run report
Reporting
6.12.12.3.2.5 The ability to see who has run
reports previously
Reporting
6.12.12.3.2.6 The ability to interface with
our current printing system
Reporting
6.12.12.3.2.7 The ability to sort available
reports
Reporting
6.12.12.3.2.8 The ability to generate a report
in multiple formats (PDF,
Excel, RTF etc.)
Reporting
6.12.12.3.2.9 The ability to automate
workflow for custom reporting
creation
Reporting


6.12.12.3.3 PROCEDURE - Query Predefined Reports
The purpose of this procedure is to run a pre existing report within the reporting system
to capture the information necessary.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.3.3.1 The ability to have predefined
reports available
Procedure
Requirement

216


6.12.12.3.3.2 The ability to restrict the
information users are able to
view in reporting
Security (User
Permissions/Access,
Compliance)

6.12.12.3.3.3 The ability to restrict reporting
options based on security
access level
Security (User
Permissions/Access,
Compliance)

6.12.12.3.3.4 The ability to reproduce a
previously run report
Reporting
6.12.12.3.3.5 The ability to see who has run
reports previously
Reporting
6.12.12.3.3.6 The ability to interface with
our current printing system
System
Interface/Data
Integration

6.12.12.3.3.7 The ability to sort available
reports
Reporting
6.12.12.3.3.8 The ability to generate a report
in multiple formats (PDF,
Excel, RTF etc.)
Reporting
6.12.12.3.3.9 The ability to schedule a report
to run automatically at a
defined time/date
Reporting


6.12.12.3.4 PROCEDURE - Run Report
The purpose of this procedure is to run a report with information needed.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.3.4.1 The ability to generate a report
in the payroll system
Procedure
Requirement

6.12.12.3.4.2 The ability to generate a report
in multiple formats (Excel,
PDF, RTF, etc)
Reporting
6.12.12.3.4.3 The ability to see who has run
reports previously
Business Form/User
Interface

6.12.12.3.4.4 The ability to reproduce a
previously run report
Reporting
6.12.12.3.4.5 The ability to restrict reporting
options based on security
access level
Security (User
Permissions/Access,
Compliance)

6.12.12.3.4.6 The ability to restrict the
information users are able to
view in reporting
Security (User
Permissions/Access,
Compliance)

217




6.12.12.3.5 PROCEDURE - Submit Reporting Request
The purpose of this procedure is to acquire needed information by a system user.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.3.5.1 The ability to submit a
workflow request for reporting
information
Procedure
Requirement

6.12.12.3.5.2 The ability to electronically
approve or deny the request
Business Form/User
Interface



6.12.12.3.6 PROCEDURE - Evaluate User Access
The purpose of this procedure is to determine whether or not an employee needs
additional permission to reporting.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.3.6.1 The ability to review a user's
access level within the system
Procedure
Requirement



6.12.12.3.7 PROCEDURE - Notify User of Rejection
The purpose of this procedure is to notify the user requesting information that their
request for the report has been rejected.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.3.7.1 The ability to automatically
notify a system user that their
report request has been denied
Procedure
Requirement



6.12.12.3.8 PROCEDURE - Develop Report Criteria and Format
The purpose of this procedure is to create the customized report within our system and
correctly format the information
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.3.8.1 The ability to have predefined
reports available
Procedure
Requirement

6.12.12.3.8.2 The ability to create custom
reports based on user needs
Reporting
218


6.12.12.3.8.3 The ability to restrict the
information users are able to
view in reporting
System
Interface/Data
Integration

6.12.12.3.8.4 The ability to reproduce a
previously run report
Reporting
6.12.12.3.8.5 The ability to generate a report
in multiple formats (PDF,
Excel, RTF etc.)
Reporting
6.12.12.3.8.6 The ability to interface with
our current printing system
System
Interface/Data
Integration

6.12.12.3.8.7 The ability to sort available
reports
Reporting
6.12.12.3.8.8 The ability to rename available
reports
Reporting
6.12.12.3.8.9 The ability to categorize
reports
Reporting
6.12.12.3.8.10 The ability to edit/change a
predefined report in the custom
reporting feature
Reporting


6.12.12.3.9 PROCEDURE - Assign User Access Level
The purpose of this procedure is to ensure information is accessible to the departments
and individuals that require it. Payroll, Budget, Internal Audit and DHRM Information
Systems require unrestricted access. Grant Accounting will need access just to payroll
and benefits information
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.3.9.1 The ability to update a user's
system access level
Procedure
Requirement

6.12.12.3.9.2 The ability to review an audit
trail of who updated the access
System
Interface/Data
Integration

6.12.12.3.9.3 The ability to restrict who is
able to update access
System
Interface/Data
Integration



6.12.12.3.10 PROCEDURE - Notify User of Change
The purpose of this procedure is to notify the user requesting the information that they
have been granted access to the necessary information.
219


Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.12.12.3.10.1 The ability for the system to
automatically notify employees
that their user access has been
updated.
Procedure
Requirement

6.12.12.3.10.2 The ability to automatically
notify "Super Users" of
updated security system access
Security (User
Permissions/Access,
Compliance)



6.13 SERVICE - MGR - Human Resource Management


6.13.13 PROCESS AREA - Compensation Mgmt - Other Compensation


6.13.13.1 PROCESS - Other Compensation - Supplemental Pay
The purpose of this process is to identify eligible current or former employees and ensure
accurate processing of supplemental pay. Ensure adherence to all appropriate workers
compensation guidelines for eligible employees - in accordance with contractual and
legal requirements, as well as city policy.

6.13.13.1.1 PROCEDURE - Initiate Supplemental Pay
The purpose of this procedure is to identify eligible current or former employees and
ensure accurate processing of supplemental pay and adherence to all appropriate workers
compensation guidelines for eligible employees - in accordance with contractual and
legal requirements, as well as city policy.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.13.13.1.1.1 The ability to attach electronic
documents approving a
disability retirement to an
employee record.
Procedure
Requirement

6.13.13.1.1.2 The ability to submit
supplemental pay request
electronically
Decision
Criteria/Business
Rule

6.13.13.1.1.3 The ability to workflow request
for review and approval by
designated individuals
Decision
Criteria/Business
Rule



6.13.13.1.2 PROCEDURE - Calculate Supplemental Pay
220


The purpose of this procedure is to calculate the supplemental pay amount for approved
and eligible employees
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.13.13.1.2.1 The ability to calculate
estimated supplemental pay by
adding bracket/step at
retirement to longevity and
education pay, and subtracting
the estimated disability
retirement pay.
Procedure
Requirement

6.13.13.1.2.2 The ability to generate
notification letter to employee
explaining calculation amount.
Decision
Criteria/Business
Rule

6.13.13.1.2.3 The ability to allow special
earnings for tax agreements
Decision
Criteria/Business
Rule

6.13.13.1.2.4 The ability to generate a report
of all special tax agreements
held with disabled firefighters.
Reporting


6.13.13.1.3 PROCEDURE - Calculate Supplemental Pay Adjustments
The purpose of this procedure is to adjust supplemental payment to employees
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.13.13.1.3.1 The ability to automatically
calculate retirement age based
on employee's birthday
Procedure
Requirement

6.13.13.1.3.2 The ability to generate system
notifications letter
Decision
Criteria/Business
Rule

6.13.13.1.3.3 The ability to generate
statements certifying that
disabled employees have not
worked in the prior year that
can be printed and notarized.
Reporting


6.13.13.1.4 PROCEDURE - Monitor Supplemental Pay
The purpose of this procedure is to monitor supplemental pay to employees to ensure all
parties are compliant
221


Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.13.13.1.4. The ability to electronically
track supplemental payments
made to employees
Procedure
Requirement

6.13.13.1.4.1 The ability to generate reports
in various formats (excel, pdf,
csv, rtf, etc)
Reporting


6.14 SERVICE - MGR - Human Resource Management


6.14.14 PROCESS AREA - Employee Development & Performance Mgmt -
Learning Management


6.14.14.1 PROCESS - Employee Development Planning
The purpose of this process is to plan for and provide employee development and
performance management, which includes job skills enhancement and career
advancement opportunities. As well, performance evaluations to identify skills and
development needs. All city training and safety development are designed in order to
support and help achieve the stated city missions and goals. Ensure adherence to state
and federal mandates.

6.14.14.1.1 PROCEDURE - Plan Employee Development
The purpose of this procedure is to plan for and develop and employee development
program.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.14.14.1.1.1 The ability to develop a
comprehensive employee
development plan, which
includes required job skills,
career advancement
opportunities, required
performance evaluations
Procedure
Requirement

6.14.14.1.1.2 The ability to capture to
capture needs expressed by
employee, management
Business Form/User
Interface

6.14.14.1.1.3 The ability to automate
electronic workflow
notifications regarding
employee development
Decision
Criteria/Business
Rule

222


opportunities and
administrative directives
6.14.14.1.1.4 The ability for supervisors and
employees to complete and
view employee development
plans and performance
evaluations electronically
Business Form/User
Interface



6.14.14.2 PROCESS - Training Program Development
The purpose of this process is to create instructional design of skills, professional
development or compliance in alignment with identified training needs. All city training
and safety development are designed in order to support and help achieve the stated city
missions and goals. Ensure adherence to state and federal mandates.

6.14.14.2.1 PROCEDURE - Develop Training Program
The purpose of this procedure is to create instructional design of skills, professional
development or compliance in alignment with identified training needs. All city training
and safety development are designed in order to support and help achieve the stated city
missions and goals. Ensure adherence to state and federal mandates.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.14.14.2.1.1 The ability to develop an
electronic employee training
plan, including a needs
assessment, required
curriculum, resource plans and
schedules
Procedure
Requirement

6.14.14.2.1.2 The ability to electronically
upload and store training
material
Business Form/User
Interface



6.14.14.3 PROCESS - Training Execution
The purpose of this process is to administer, schedule, register, deliver and report on the
job skills, professional development and compliance training programs in order to
achieve a highly skilled customer focused workforce. All city training and safety
development are designed in order to support and help achieve the stated city missions
and goals. Ensure adherence to state and federal mandates.

6.14.14.3.1 PROCEDURE - Conduct Training Program
The purpose of this process is to administer, schedule, register and report on the delivery
of the developed job skills, professional development and compliance training programs
in order to achieve a highly skilled customer focused workforce. All city training and
safety development are designed in order to support and help achieve the stated city
223


missions and goals. Ensure adherence to state and federal mandates.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.14.14.3.1.1 The ability to administer,
schedule, register and report on
the delivery of the developed
job skills, professional
development and compliance
training programs
Procedure
Requirement

6.14.14.3.1.2 The ability to electronically
publish a master training
schedule with all class
information.
Business Form/User
Interface

6.14.14.3.1.3 The ability to access view-only
version of training schedule.
System
Interface/Data
Integration

6.14.14.3.1.4 The ability to designate
whether a course is eligible for
reimbursement of costs.
Business Form/User
Interface

6.14.14.3.1.5 The ability for employees to
electronically sign up to attend
training courses.
Business Form/User
Interface

6.14.14.3.1.6 The ability to automate
electronic workflow
notifications and approvals for
training applications to
supervisors.
Decision
Criteria/Business
Rule

6.14.14.3.1.7 The ability to indicate training
to be marked as "Mandatory"
for individual employees.
Business Form/User
Interface

6.14.14.3.1.8 The ability to automate
electronic workflow
notifications to attendees with
class title, date, and time.
Decision
Criteria/Business
Rule

6.14.14.3.1.9 The ability to electronically
attach copies of training
evaluation sheets to be stored
with training record.
System
Interface/Data
Integration

6.14.14.3.1.10 The ability to automate
electronic workflow
notifications to HR and
supervisor when an employee
is recorded as "did not attend"
for mandatory training.
Decision
Criteria/Business
Rule

224




6.14.14.4 PROCESS - Tuition & Certification Assistance
The purpose of this process is provide financial support for accredited learning to
encourage further education which will enhance their ability to perform within their
present work assignments or to prepare for promotion within occupational fields in City
Government for eligible city employees, managers, police and fire command staff.

6.14.14.4.1 PROCEDURE - Provide Tuition & Certification Assistance
The purpose of this process is provide financial support for accredited learning to
encourage further education which will enhance their ability to perform within their
present work assignments or to prepare for promotion within occupational fields in City
Government for eligible city employees, managers, police and fire command staff.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.14.14.4.1.1 The ability to administer the
application and payment of
financial support for accredited
learning
Procedure
Requirement

6.14.14.4.1.2 The ability to electronically
submit tuition reimbursement
application
Business Form/User
Interface

6.14.14.4.1.3 The ability to automate
electronic workflow approvals
and notifications for tuition
reimbursement application to
pre-defined stakeholders or
approvers
Decision
Criteria/Business
Rule

6.14.14.4.1.4 The ability to view historical
information such as previous
tuition assistance already made
to employees or institutions
Decision
Criteria/Business
Rule

6.14.14.4.1.5 The ability to retain documents
attached to tuition assistance
record with notes.
System
Interface/Data
Integration

6.14.14.4.1.6 The ability to electronically
record check date and check
number of remittance sent to
educational institution.
System
Interface/Data
Integration

6.14.14.4.1.7 The ability to generate letter to
employee explaining
reimbursement.
Decision
Criteria/Business
Rule

6.14.14.4.1.8 The ability to generate letter to
employee including copy of the
tuition assistance policy upon
Decision
Criteria/Business
Rule

225


application rejection


6.15 SERVICE - MGR - Human Resource Management


6.15.15 PROCESS AREA - Employee Development & Performance Mgmt - Safety


6.15.15.1 PROCESS - Safety Administration
The purpose of this process is to develop, implement, maintain and supervise safety
programs.

6.15.15.1.1 PROCEDURE - Develop Policy & Procedure
The purpose of this procedure is to develop policies and procedures to ensure compliance
with PESH/OSHA, and City Policy.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.15.15.1.1.1 The ability to develop policies
and procedures and track
compliance with PESH/OSHA,
and City Policy.
Procedure
Requirement

6.15.15.1.1.2 The ability to track and report
non compliant policies and
procedures
Business Form/User
Interface

6.15.15.1.1.3 The ability to electronically
submit concerns (e.g.
accidents, non compliant
policy)
Decision
Criteria/Business
Rule



6.15.15.1.2 PROCEDURE - Evaluate Compliance with Policy
The purpose of this procedure is to ensure compliance with safety programs and
regulations (PESH/OSHA and City Policy) as well as conducts and supervise others in
conducting safety audits/inspections in order to identify potentially hazardous conditions,
mitigation of liability and reduced costs to the City.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.15.15.1.2.1 The ability to create and track
safety audits and the result of
evaluations to ensure
compliance with safety
programs and regulations
Procedure
Requirement

226


(PESH/OSHA and City Policy)
6.15.15.1.2.2 The ability to be electronically
notify of new or updated
state/federal laws, regulations,
and mandates relating to safety
Decision
Criteria/Business
Rule



6.15.15.1.3 PROCEDURE - Conduct Employee Safety Training
The purpose of this procedure is to implement and supervise employee safety programs.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.15.15.1.3.1 The ability to implement,
supervise and track
electronically employee safety
programs.
Procedure
Requirement

6.15.15.1.3.2 The ability to track employees
who are required to attend
safety training
Reporting
6.15.15.1.3.3 The ability to generate a report
of employees required to attend
safety training
Reporting
6.15.15.1.3.4 The ability to electronically
register for safety training
Business Form/User
Interface

6.15.15.1.3.5 The ability to electronically
submit safety concerns (e.g.
accidents, non compliant
policy)
Business Form/User
Interface



6.15.15.1.4 PROCEDURE - Generate Mandated Reports
The purpose of this procedure is to generate mandated reports to ensure compliance with
PESH/OSHA and City Policy.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.15.15.1.4.1 The ability to generate custom
reports in order to adhere to
mandates to ensure compliance
with PESH/OSHA and City
Policy.
Procedure
Requirement

6.15.15.1.4.2 The ability to generate reports
in various formats (excel, pdf,
csv, rtf, etc)
Reporting

227



6.16 SERVICE - MGR - Human Resource Management


6.16.16 PROCESS AREA - HR Information Analytics - All Services


6.16.16.1 PROCESS - HR Information Analytics - All Services


6.16.16.1.1 PROCEDURE - Define Report Requirement
The purpose of this procedure is to define report requirements and parameters as needed
to for analyzing trends, forecasting, and reporting.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.16.16.1.1.1 The ability to define report
requirements and parameters as
needed to for analyzing trends,
forecasting, and reporting
Procedure
Requirement

6.16.16.1.1.2 The ability to pre-define and
save a report format for future
use
Business Form/User
Interface

6.16.16.1.1.3 The ability to customize a
report utilizing all data
elements and fields visible in
the system
Reporting
6.16.16.1.1.4 The ability to select criteria for
report generation
(demographics, compensation,
position, benefits)
Reporting
6.16.16.1.1.5 The ability to create a role
tailored dashboard to analyze
and identify trends based on
HR and Payroll data
Configuration


6.16.16.1.2 PROCEDURE - Generate Report
The purpose of this procedure is to generate reports based pre-defined requirements and
parameters as needed to for analyzing trends, forecasting, and reporting.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.16.16.1.2.1 to generate reports based pre-
defined requirements and
Procedure
Requirement

228


parameters as needed to for
analyzing trends, forecasting,
and reporting
6.16.16.1.2.2 The ability to generate reports
in various formats (excel, pdf,
csv, rtf, etc)
Reporting
6.16.16.1.2.3 The ability to view in summary
and drill down further to view
the detail transactions
supporting what is reported
Reporting
6.16.16.1.2.4 The ability to view the payroll
detail (employees paid,
position, time and earn code
usage, budget code (s), etc.) for
a particular payroll run/cycle,
pre-defined time period or
other related criteria.
Reporting


6.17 SERVICE - MGR - Human Resource Management


6.17.17 PROCESS AREA - Customer Service - All Services


6.17.17.1 PROCESS - Customer Service
The purpose of this service is to provide quality service to employees, applicants,
external customer with consistency, integrity and respect. Maintain an effective
employer-employee relationship that balances the city’s needs against its employees’
rights.


6.17.17.1.1 PROCEDURE - Monitor and Maintain Information
The purpose of this procedure is for Employees, Applicants and external Customers to
monitor and maintain personal and employment information as well as make requests.
Paid time off accruals and requests, pay and contract history, benefits selections, job
openings, performance evaluations, and general announcements are examples of some of
the types of services available.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.17.17.1.1.1 The ability to monitor and
maintain personal and
employment information as
well as make requests.
Procedure
Requirement

229


6.17.17.1.1.2 The ability to allow internal
customers to update personal
information such as phone
number, address
Business Form/User
Interface

6.17.17.1.1.3 The ability for
candidates/recruits to
electronically view application
status
Reporting
6.17.17.1.1.4 The ability to electronically
view city public record
information
Reporting


6.17.17.1.2 PROCEDURE - Submit Feedback or Suggestions
The purpose of this procedure is for employees, applicants and external customers to
submit general feedback or suggestions to the appropriate Human Resource Management
process area and representative. Submissions, responses, any resulting actions taken and
the status of feedback and suggestions are tracked and recorded as part of this process.
Reference # Requirement Requirement Type Response
(Y,Z,T,N)
Xrf
6.17.17.1.2.1 The ability to submit general
feedback or suggestions to the
appropriate Human Resource
Management process area and
representative
Procedure
Requirement

6.17.17.1.2.2 The ability to electronically
track customer
feedback/suggestions as well
as add follow up actions
Business Form/User
Interface

6.17.17.1.2.3 The ability to report status on
customer feedback/suggestions
(excel, pdf, csv, rtf, etc)
Reporting













230


SECTION 7 – Technical Requirements
This section of the document defines the technical requirements for the proposed solution
which address infrastructure, architecture, data, security, and system interfaces.

7.1 Required Infrastructure

If the City decides to internally host the solution, the hardware that supports the solution,
including any servers in the data center, will be purchased for deployment, according to
the phase schedule. The Vendor must meet the City’s technical requirements outlined
within sections 7.3 through 7.5.

Additionally, for a Hosted Solution, the Vendor must meet the City’s technical
requirements and guidelines for Hosted Solutions outlined within section 7.6.

7.2 Standards and Design Criteria

The solution must easily integrate with the City's existing infrastructure. There should be
seamless transfer of information between the Vendor’s solution and the other major
systems such as the City’s Financial System. The solution should be customizable to
serve the different operational needs. With customization comes internal support
challenges and resource availability issues. For an overview of the City's in-house
Information Technology standards, see Section 5 – Infrastructure and Information
Systems Environment.

7.3 Architecture

The purpose for the Architecture is to depict the technical elements that come into play
within an informational system, in order to permit the applications to function smoothly with
little or no downtime. It also functions as the baseline or foundation on which the
applications reside and depend upon.

Reference
#
Requirement
Response
(Y,Z,M,N,T)
Xrf
7.3.1
In the event of connectivity or network outage,
hardware and software maintain the logic to operate
in an offline mode with the ability to automatically
synch when connection is restored.

7.3.2
Provide architecture that is modular, scalable, and
extensible.

7.3.3
Reside on standard hardware platform and operating
system (not proprietary).

7.3.4
Support all new releases from Vendors (Microsoft,
VMware, etc.) within one (1) year of release or
minimally before the software is out of mainstream
support.

7.3.5
Perform a complete historic data recovery and
reporting during an event of hardware failure or
network failure emergencies (with data integrity from

231


Reference
#
Requirement
Response
(Y,Z,M,N,T)
Xrf
last available backup that is no more than one work
day old).
7.3.6
Operate on most current version of Internet Explorer
and any subsequent version within one (1) year or
minimally before the software is out of support.

7.3.7
Use HTTPS and other secure means of data
transmission including data encryption.

7.3.8
Interface with standard languages and protocols (not
proprietary).

7.3.9
Configure software from an administrator point of
view, with full audit of any configuration change
captured.

7.3.10
Support full software change control process with
check-in and check-outs.

7.3.11
Interface with Enterprise Edition Microsoft
®
SQL
Server 2012 or higher.

7.3.12
Provide complete on line documentation including:
Installation/Set-up & Configuration,
Training/Tutorial, Application, Process Flow and
Reference.

7.3.13
Define alerts at the user level to notify specified
individuals or groups when triggered by an event.

7.3.14 Set-up alerts across all modules.

7.3.15
Set-up and receive administrative notification of
specific activities that may not require user
intervention (System Alerts).

7.3.16
Interface with the following to provide notifications:
MS
®
Outlook ActiveSync.

7.3.17
Remotely manage the environment from a Vendor or
City IT perspective using a web interface.

7.3.18
Provides time capture hardware options
recommended for use in rugged work environments
to avoid damage (e.g. routine soil or damage to swipe
cards, fingertips causing missed punches,
contamination of clocks)


7.4 Data Requirements

Reference
#
Requirement
Response
(Y,Z,N,T)
Xrf
7.4.1
Provide data analytics solution (i.e. OLAP Cube,
Data Mart, Data Warehouse, etc…)

7.4.2 Display dates in the USA format.
232


Reference
#
Requirement
Response
(Y,Z,N,T)
Xrf
7.4.3
Support the translation of end user views and
instructions into multiple languages (e.g. English,
Spanish).

7.4.4
Provide Entity Relationship Diagrams (ERD)
showing layout of tables, fields and data integrity
relationships with primary and foreign keys.

7.4.5
Provide electronic data dictionary with ability to
interface to industry standard reporting environments
(i.e. Microsoft
®
business intelligence).

7.4.6
Provide numerous user definable fields in every table
that will be used by the application and make
available for custom reporting all data fields and
elements.

7.4.7
Automatically archive and purge data per City
defined retention periods. In response, also reference
the process. Must comply with New York State
Records Retention Schedule (MU-1).



7.5 System Administration, Security and Audits

Reference
#
Requirement
Response
(Y,Z,N,T)
Xrf
7.5.1
Maintain security patches promptly on systems
impacting City data.

7.5.2
Authenticate a person’s credentials through Windows
Active Directory
®
.

7.5.3
Easily set-up and maintain users, within functional
groups/roles that can be nested, taking on the parents
rights and restricting that further (e.g. follow Role
Based Access and Control standards following least
privilege principles).

7.5.4
Effect Site/Group-level security (user can view site
specific data or multi-site data based on security
preferences assigned).

7.5.5
Effect Site/Group-Specific security configuration per
user (user security access may differ from site to
site).

7.5.6
Define read/select, insert, update, and delete in any
combination or set for Module/Function/Field for any
Group or Individual in an easy to maintain way such
as role-based templates.

7.5.7
Produce reports which identify who has access to run
reports, audit trail log depicting report additions,
deletions or changes noting the user who made them,
time and date stamp.

233


Reference
#
Requirement
Response
(Y,Z,N,T)
Xrf
7.5.8
Capture a before and after snapshot of data (audit
trails) changes within a system in a text based, non-
system specific, human readable format. This should
not hinder system performance, and be configurable
and user friendly.

7.5.9
Capture when reports are printed and noting the user,
time and date stamp on the report.

7.5.10
Capture when reports are viewed and noting the user,
time and date stamp on the report.

7.5.11 Limit access to information based on security level.
7.5.12 Display fields based on security level.
7.5.13
Limit editing capability to the record creator &
security level.

7.5.14
Customize the software based on the end-user's role
in the system.

7.5.15
Restrict the access and permissions at the role
security level.


7.6 System Interfaces

The purpose of this section of the document is to provide easy access and integration
between independent and but related systems and assure accuracy in the transfer of data
between them. Describe in the response how interfaces will be addressed in the
recommended solution. For example, are Application Program Interfaces (API’s) used or
will interfaces be developed on a case-by-case basis. In addition, identify if interfaces have
been implemented with existing customers and what type of applications have been
interfaced with.

The vendor should provide a diagram that visually shows all integration points in their
proposed solution, as well as any other vendors’ or third party product recommended to
meet the requirements of this RFP. In addition, the vendor should describe its technical
strategy to actively integrate to other vendors’ products or existing City in-house systems
described in Section 5 – Infrastructure and Information Systems Environment that fulfill
the City of Rochester’s process and automation/system needs outside the scope of this
RFP.


Reference
#
Requirement
Response
(Y,Z,N,T)
Xrf
7.6.1
Interface with 3
rd
party software with options for
application programming interface (API), web
services and data import/export capabilities.

234


Reference
#
Requirement
Response
(Y,Z,N,T)
Xrf
7.6.2
Interface with 3
rd
Party Enterprise Financial Systems
(Tyler Munis). Reference current interface examples
and process for developing custom interfaces.

7.6.3
Interface with 3
rd
Party Applicant Tracking and
Recruitment System (NEOGOV SIGMA).

7.6.4
Interface with 3
rd
Party Financial Institutions for
delivery of payroll transactions (i.e. Paycheck
Positive Pay file).

7.6.5
Interface with other 3rd party Human Resource
Management or Personnel Records Management
systems.

7.6.6
Provide plug-in designs that do not require special
coding or enhancements to software to accomplish
integration.

7.6.7
Interface with third party sources of information via a
Web Service call.

7.6.8
Perform data imports and exports from and to both
desktop and applications running on other processors.

7.6.9
Interface seamlessly with barcode and other data
collection devices.

7.6.10
Provide remote help desk support via telephone and
live on-screen control.



7.7 Technical Requirements and Guidelines for Hosted Solutions

Reference
#
Requirement
Response
(Y,Z,N,T)
Xrf
7.7.1 Host the solution for the City of Rochester.
7.7.2
During any calendar month, solution will be available
minimally 99.9%, 24 x 7 x 365.

7.7.3
Vendor will provide an escrow agreement with an
Escrow Agent for the source code of the system
software used to provide the Hosted Services.

7.7.4
Remotely manage the environment from a Vendor or
City IT perspective using a web interface.

7.7.5
The Vendor shall engage an external auditor to
conduct regular security audits (e.g. at the firewall
level, the server level, and the application level),
consistent with control objectives and processes
defined in the SSAE 16 auditing processes.

7.7.6
The Vendor will conduct SSAE 16 Audit annually
and correct identified deficiencies.

7.7.7
Must provide a test environment with the same
security as the production environment.

235


Reference
#
Requirement
Response
(Y,Z,N,T)
Xrf
7.7.8
Vendor will furnish to City upon request, within
specified period of time and in a City consumable
format, an electronic database backup or export file
of City Data.

7.7.9
Vendor will not convert records to proprietary
formats that could limit future access to the records
and does not use compression techniques that would
result in data loss.

7.7.10
City Data will reside in a highly secure and redundant
data center environment, located within the United
States that is recoverable within twenty four hours in
the event of a primary data center/network
disaster/outage.

7.7.11
City Data will not be transmitted or stored outside the
United States.

7.7.12
Vendor and its subcontractors agree to hold in
confidence, not disclose, and not use for its own
benefit, any of City’s data.

7.7.13
Vendor will protect the City's data by maintaining
and ensuring confidentiality, integrity, availability
and authorized access.

7.7.14
Vendor will make an electronic database backup or
export file of City Data upon request from the City
and within a reasonably agreed upon timeframe.

7.7.15
The data center environment will be physically
secure with employee and customer
access/monitoring control practices in place and
adhered to, and customers / visitors are escorted at all
times within the data center environment.

7.7.16
Vendor has and will adhere to security release
upgrades and monitoring practices and critical
Vendor security patches will be implemented within
24 hours of Vendor’s release of the security patch.

7.7.17
Vendor will conduct intrusion detection tests at least
once per year or with a greater frequency as agreed
upon (i.e. quarterly) with results published and
Vendor actions taken with both being available for
customer review. City will be notified of any
intrusions immediately upon Vendor’s knowledge of
such intrusion.

7.7.18
Vendor will maintain compliance with State and
Federal data privacy laws (PCI DSS-credit card
information or HIPAA compliance).

236


Reference
#
Requirement
Response
(Y,Z,N,T)
Xrf
7.7.19
Vendor offices and data center shall only be
accessible to authorized personnel. Vendor agrees to
notify City immediately upon knowledge of any
security breach. All visitors or third parties will fill
out the office log and if required, the data center
access log, which maintains a record of the
following: Visitor name, Date of Visit, Time of
Entry, Purpose of Visit, Time of Departure, Initials of
Escort, and report any data that was determined to
have been accessed or potentially compromised.

7.7.20
Vendor’s servers shall be fire-walled from the
Internet at large.

7.7.21
Inbound access to the Vendor environment will be
controlled using a series of firewalls, switches, and
application layer controls. By default, all inbound
network access is blocked.

7.7.22
Inbound access to the Web Application Servers will
be permitted on specific ports with all other ports are
blocked. This network-layer port filtering occurs on
both the external firewalls and the internal “DMZ”
switches. Inbound traffic will be filtered through
both external hardware devices and an IDS (Intrusion
Detection System) sensor located within the DMZ
prior to passing on to the Web Application Server.

7.7.23
Where appropriate, Vendor will allow inbound access
to the communications cluster based on strict access-
list controls based on current PCI-DSS two factor
authentication standards.

7.7.24
Vendor will allow only traffic originating from
authorized parties over a pre-defined, non-standard
port into the communications environment.

7.7.25
Vendor will provide an additional conduit for a third
party vendor to conduct daily vulnerability scans.

7.7.26
City Data shall be stored in environments consistent
with data redundancy and data protection standards
necessary for recovery and maintenance. In the event
of individual drive failure, no degradation of access
level or time shall occur.

7.7.27
Vendor shall provide regular backup of the City Data
to both a network accessible storage appliance at all
times as well as off-site storage of said backup data.
Fully system backups will be maintained minimally
on a daily basis.

237


Reference
#
Requirement
Response
(Y,Z,N,T)
Xrf
7.7.28
All user access and control will be managed through
password security that is under the control of the
City. Complete control is in the hands of authorized
City designated administrative user(s). City shall
determine what access a user is allowed to have and
whether any restrictions will be put in place for a
given user.

7.7.29
Vendor shall provide the capability for using strong
passwords to access the application by the City.



238



SECTION 8 – City Of Rochester Agreement for Professional Services

Project Name:
Consultant Name:
Agreement #:
Authorizing Ordinance:


I N D E X

ARTICLE I


Part 1. DESCRIPTION OF PROFESSIONAL SERVICES

Part 2. SUBCONTRACTS

Part 3. CITY RESPONSIBILITIES

Part 4. FEES

Part 5. TERM

Part 6. TIME OF PERFORMANCE

Part 7. REMOVAL OF PERSONNEL

Part 8. AUTHORIZED AGENT

Part 9. OWNERSHIP OF DOCUMENTS

Part 10. CONFIDENTIALITY

Part 11. ORGANIZATIONAL CONFLICT OF INTEREST

ARTICLE II

Part 1. QUALIFICATIONS, INDEMNITY AND INSURANCE

Section 2.101 Consultant's Qualifications for Duties, Compliance and Permits
Section 2.102 Consultant's Liability
Section 2.103 General Liability Insurance
Section 2.104 Professional Liability Insurance
Section 2.105 Workers' Compensation and Disability Benefits Insurance
Section 2.106 Copyright or Patent Infringement
Section 2.107 No Individual Liability

Part 2. SPECIFIC DESIGN RESTRICTIONS
239


Section 2.201 Environmental Policy

Part 3. EMPLOYMENT PRACTICES
Section 2.301 Equal Employment Opportunity
Section 2.302 The MacBride Principles
Section 2.303 Compliance with Labor Laws

Part 4. OPERATIONS
Section 2.401 Political Activity Prohibited
Section 2.402 Lobbying Prohibited
Section 2.403 Anti-Kickback Rules
Section 2.404 Withholding of Salaries
Section 2.405 Discrimination Because of Certain Labor Matters
Section 2.406 Status as Independent Contractor

Part 5. DOCUMENTS
Section 2.501 Patents and Copyrights
Section 2.502 Audit
Section 2.503 Content of Sub-Agreements

Part 6. TERMINATION
Section 2.601 Termination for Convenience of the City
Section 2.602 Termination for Default

Part 7. GENERAL
Section 2.701 Prohibition Against Assignment
Section 2.702 Compliance with All Laws
Section 2.703 Successors
Section 2.704 Interest of City and Consultant in Contract
Section 2.705 Permits, Laws and Taxes
Section 2.706 Obligations Limited to Funds Available
Section 2.707 Extent of Agreement
Section 2.708 Law and Forum
Section 2.709 No Waiver
Section 2.710 Severability

ARTICLE III. STANDARD NEW YORK STATE AND FEDERAL CLAUSES

Section 3.101 Extra Work
Section 3.102 Non Discrimination Requirements
Section 3.103 Agreement Executory
Section 3.104 Inspection
Section 3.105 Proprietary Rights
Section 3.106 Certification required by 49 CFR, Part 29
Section 3.107 Certificate required by 40 CFR 1506.5
Section 3.108 Certification for Federal-Aid Contracts
Section 3.109 Records Retention
Section 3.110 Sub-Contracts

240


AGREEMENT


THIS AGREEMENT, entered into on the day of , 20 _, by and between
the CITY OF ROCHESTER, a municipal corporation having its principal office located
at CITY HALL, 30 Church Street, Rochester, New York, 14614, hereinafter referred to
as the "City", and _______________________ with offices at __________________,
hereinafter referred to as the "Consultant".

WITNESSETH:


WHEREAS, the City desires to secure the professional services of the Consultant
to______________________, hereinafter referred to as the Project and;

WHEREAS, the Consultant covenants that it has the personnel, skills and
expertise required and wishes to undertake the Project.


NOW THEREFORE, the City and the Consultant do mutually agree, in
consideration of the covenants, terms and conditions contained herein, as follows:


ARTICLE I, Part 1. Description of Professional Services

A. TO BE NEGOTIATED




B. The Consultant is to have on its staff and is to retain during the
performance of its services all appropriate professional personnel
necessary to completely and accurately perform the work and services
required.

C. The Consultant's obligations under this Section are in addition to the
Consultant's other express or implied assurances under this Agreement or
State law and in no way diminish any other rights that the City may have
against the Consultant for faulty materials, equipment or work.

ARTICLE I, Part 2. Subcontracts

All services to be performed under this Agreement shall be performed with the
Consultant's own employees, unless the City agrees that the Consultant may
subcontract such services. Copies of all proposed Agreements between the
Consultant and subcontractors shall be submitted to the City along with a
statement of the subcontractor's qualifications. Such Agreements must be
approved by the City in writing prior to initiation of work. All subcontracts under
this Agreement are subject to all applicable provisions of this Agreement unless
otherwise directed in writing by the City. The Consultant is responsible for the
241


completion of all services under this Agreement in an acceptable and timely
manner, including any services performed by a subcontractor, supplier or other
party with whom the Consultant has a contract.

ARTICLE I, Part 3. City Responsibilities

The City shall:

A.



B. Provide as complete information pertinent to the Project to the Consultant
as is reasonably possible.

C. Examine all studies, reports, sketches, estimates, drawings, specifications,
proposals and other documents presented to the City by the Consultant for
review and render decisions pertaining thereto within a reasonable period
of time, so as not to delay the work of the Consultant.

ARTICLE I, Part 4. Fees

A. In no event whatsoever shall the total fee payable to the Consultant
pursuant to this Agreement, including all costs and disbursements
whatsoever, exceed Dollars ($ .)

B. The Consultant shall have the right to bill the City for services performed
and not already billed on a monthly basis for tasks completed by the
Consultant team and accepted by the City. Such tasks and associated fees
are identified in Attachment A, Fees.

C. Payment Request

The Consultant shall submit duly executed invoices in the manner
prescribed by the City to receive payment. The invoice shall be
accompanied by appropriate support for the payment claimed and, unless
previously submitted, by Equal Employment Opportunity, subcontractor
payment, employment and other reports due for the period covered by the
payment request.

D. The City may audit the Consultant’s performance of this agreement, the
adequacy of the Consultant’s accounting system, and the reasonableness
of the Consultant’s overhead rates, and retain the results for New York
State or Federal audit of the project. Costs claimed by or previously paid
to the Consultant that cannot be appropriately supported or which do not
comply with applicable City, New York State, or Federal regulations are
subject to disallowance. Amounts paid to the Consultant that are
subsequently disallowed are subject to recovery by the City from the
Consultant or, at the option of the City, may be offset or reduced against
current or future payment claims on this or other projects.
242



243



ARTICLE I, Part 5. Term

This Agreement shall commence (upon execution by the parties) (on DATE) and
shall terminate (one year from such date) ( on DATE).

ARTICLE I, Part 6. Time of Performance

A. The Consultant shall provide all reports, deliverables, and submittals in a
timely fashion.

B. The Consultant shall not be held responsible for delays caused by the City
of Rochester or by other parties not directly under its control.

C. The above time limits may be extended only by mutual written agreement
of the parties hereto. It is understood that it is the intention of the City to
have the service performed under this Agreement carried out as
expeditiously as possible.

ARTICLE I, Part 7. Removal of Personnel

All personnel assigned by the Consultant shall be subject to the approval of the
City and be required to cooperate with the City project personnel. In the event
that the Consultant's personnel fail to cooperate or perform their assigned tasks in
a reasonable manner as determined by the City, the City may require the
Consultant to replace such personnel.

ARTICLE I, Part 8. Authorized Agent

A. The City hereby designates the:

(City Department)

City Hall
30 Church Street
Rochester, New York 14614-1278

B. The Consultant hereby designates:


or an authorized representative in case of absence, as Authorized Agents
for the receipt of all notices, demands, vouchers, orders, permissions,
directions, and other communications pursuant to this Agreement, if
dispatched by registered or certified mail, postage prepaid, or delivered
personally to the Authorized Agents designated herein. The City's agent is
authorized to request in writing such additional services within the
maximum authorized compensation as the Agent deems necessary.

The parties reserve the right to designate other or additional Authorized
Agents upon written notice to the other.
244



ARTICLE I, Part 9. Ownership of Documents

All original notes, drawings, specifications and survey maps prepared by the
Consultant under this Agreement, upon completion of the work required herein,
or upon acceptance by the City of each individual Assessment report will become
the property of the City and shall be delivered to the City's Authorized Agent.
The Consultant may provide a complete reproducible set of drawings,
specifications, survey maps and all other documents in lieu of the originals.

ARTICLE I, Part 10. Confidentiality

The Consultant agrees that any and all data, analyses, materials or other
information, oral or written, made available to the Consultant with respect to this
Agreement, and any and all data, analyses, materials, reports or other information,
oral or written, prepared by the Consultant with respect to this Agreement shall,
except for information which has been or is publicly available, be treated as
confidential; and shall not be utilized, released, published or disclosed by the
Consultant at any time for any purpose whatsoever other than to provide
consultation or other services to the City.

ARTICLE I, Part 11. Organizational Conflict of Interest

A. The Consultant warrants that to the best of the Consultant's knowledge and
belief, there are not relevant facts or circumstances which could give rise
to an organizational conflict of interest, as herein defined, or that the
Consultant has disclosed all such relevant information.

B. An organizational conflict of interest exists when the Consultant performs
or agrees to perform services for another party that could foreseeable
implicate the City as a potentially responsible party in an environmental
enforcement action or claim against the City or otherwise increase the
potential liability of the City.

C. The Consultant agrees that if an actual or potential organizational conflict
of interest is discovered, the Consultant will make a full disclosure as soon
as possible in writing to the City. This disclosure shall include a
description of actions which the Consultant has taken or proposed to take,
after consultation with the City, to avoid, mitigate, or neutralize the actual
or potential conflict.

D. The City may terminate this Agreement in whole or in part, if it deems
such termination necessary to avoid an organizational conflict of interest.
If the Consultant was aware of a potential organizational conflict of
interest prior to award, or discovered an actual or potential conflict after
award and did not disclose it, or misrepresented relevant information to
the City, the City may terminate the Agreement, debar the Consultant
from contracting with the City, or pursue such other remedies as may be
permitted by law or this Agreement. In such event, termination of this
245


Agreement shall be deemed a termination for default pursuant to Section
2.602.

E. The Consultant further agrees to insert in any subcontract hereunder,
provisions which shall conform to the language of this Article.


ARTICLE II, Part 1. Qualifications, Indemnity and Insurance

Section 2.101 Consultant's Qualifications for Duties, Compliance and Permits

A. The Consultant hereby agrees that it has, or will have, on its staff and will
retain during the performance of this service under this Agreement, all
appropriate professional personnel necessary to completely and accurately
perform the work and services under this Agreement.

B. The Consultant further agrees that the design of architectural or
engineering features of the work shall be accomplished by professionals
licensed to practice in New York State.

C. The Consultant further agrees to insure that its subcontractors, agents or
employees shall possess the experience, knowledge and character
necessary to qualify them individually for the particular duties they
perform.

Section 2.102 Consultant's Liability

The Consultant hereby agrees to defend, indemnify and save harmless the City of
Rochester against any and all liability, loss, damage, detriment, suit, claim,
demand, cost, charge, attorney's fees and expenses of whatever kind or nature
which the City may directly or indirectly incur, suffer or be required to pay by
reason of or in consequence of the carrying out of any of the provisions or
requirements of this Agreement, where such loss or expense is incurred directly or
indirectly by the City, its employees, subcontractors or agents, as a result of the
negligent act or omission, breach or fault of the Consultant, its employees, agents
or subcontractors. If a claim or action is made or brought against the City and for
which the Consultant may be responsible hereunder in whole or in part, then the
Consultant shall be notified and shall be required to handle or participate in the
handling of the portion of the claim for which it may be responsible as a result of
this section.

Section 2.103 General Liability Insurance

The Consultant shall obtain at its own expense general liability insurance for
protection against claims of personal injury, including death, or damage to
property, arising out of the Project. The amount of said insurance coverage shall
be the amount of Two Million Dollars if said insurance is a “Defense within
Limits” policy under which all claim expenses are included within both the
applicable limit of liability and self-insured retention. Otherwise, the insurance
coverage shall be in the amount of One Million Dollars. Said insurance shall be
246


issued by a reputable insurance company, authorized to do business in the State of
New York. Said insurance shall also name the City of Rochester as an insured.
The Consultant shall provide the City with a certificate of insurance from an
authorized representative of a financially responsible insurance company
evidencing that such an insurance policy is in force. Furthermore, the Consultant
shall provide a listing of any and all exclusions under said policy. The insurance
shall stipulate that, in the event of cancellation or modification the insurer shall
provide the City with at least thirty (30) days written notice of such cancellation
or modification. In no event shall such liability insurance exclude from coverage
any municipal operations or municipal property related to this Agreement.

Section 2.104 Professional Liability Insurance

The Consultant shall procure at its own expense professional liability insurance
for services to be performed pursuant to this Agreement, insuring the Consultant
against malpractice or errors and omissions of the Consultant, in the amount of
One Million Dollars. The Consultant shall provide the City with a certificate of
insurance from an authorized representative of a financially responsible insurance
company evidencing that such an insurance policy is in force. The certificate
shall contain a thirty (30) day cancellation clause which shall provide that the City
shall be notified not less than thirty (30) days prior to the cancellation, assignment
or change of the insurance policy. The Consultant shall also give at least thirty
(30) days notice to the City of such cancellation, amendment or change, and of
any lapse of insurance coverage under this Agreement.

Section 2.105 Workers' Compensation and Disability Benefits Insurance

This Agreement shall be void and of no effect unless the Consultant shall require
all the Consultant's subcontractors to keep insured, during the life of this
Agreement, all employees of said subcontractors as are required to be insured
under the provisions of the Workers' Compensation Law of the State of New
York. In the event the Consultant hires its own employees to do any work called
for by this Agreement, then the Consultant agrees to so insure its own employees.
The Consultant shall provide proof to the City, duly subscribed by an insurance
carrier, that such Workers' Compensation and Disability Benefits coverage has
been secured. In the alternative, Consultant shall provide proof of self-insurance
or shall establish that Workers’ Compensation and/or Disability Benefits coverage
is not required by submitting the current New York State Workers’ Compensation
Board’s form.

Section 2.106 Copyright or Patent Infringement

The Consultant shall defend actions or claims charging infringement of any
copyright or patent by reason of the use of adoption of any designs, drawings or
specifications supplied by it, and it shall hold harmless the City from loss or
damage resulting therefrom, providing however, that the City within ten days
after receipt of any notice of infringement or of summons in any action therefore
shall have forwarded the same to the Consultant in writing.

Section 2.107 No Individual Liability
247



Nothing contained in the Agreement shall be construed as creating any personal
liability on the part of any officer or agent of the City.

ARTICLE II, Part 2. Specific Design Restrictions

Section 2.201 Environmental Policy

The City has an obligation to assess the environmental impact of the Project and
to prepare any necessary state, federal, and/or local environmental impact
statements under the State Environmental Quality Review Act and the national
Environmental Protection Act. The City wishes to enhance the environment by
minimizing environmental degradation and by maximizing the Project benefits.

The Consultant, therefore, shall assist the City in determining whether
environmental impact statements ("EIS") should be prepared and shall assist the
City or the City's Environmental Specialist in preparing any necessary EIS. The
Consultant shall not be required to prepare an EIS, unless specifically required by
Article I of this Agreement.

ARTICLE II, Part 3. Employment Practices

Section 2.301 Equal Employment Opportunity

A. General Policy

The City of Rochester, New York reaffirms its policy of Equal Opportunity and
its commitment to require all contractors, lessors, vendors and suppliers doing
business with the City to follow a policy of Equal Employment Opportunity, in
accordance with the requirements set forth herein. This policy is adopted
pursuant to the City's Affirmative Action Plan, Article XV - Contract
Compliance. The City further does not discriminate on the basis of handicap
status in admission, or access to, or treatment or employment in its programs and
activities. The City is including these policy statements in all bid documents,
contracts, and leases. Contractors, lessors, vendors and suppliers shall agree to
comply with State and Federal Equal Opportunity laws and regulations and shall
submit documentation regarding Equal Opportunity upon the City's request.

B. Definitions

GOOD FAITH EFFORT - shall mean every reasonable attempt to comply with
the provisions of this policy by making every reasonable effort to achieve a level
of employment of minority groups and female workers that is consistent with their
presence in the local work force.

MINORITY GROUP PERSONS - shall mean a person of Black, Spanish surname
American, Asian American or American Indian ethnic or racial origin and
identity.

C. Compliance
248



The Consultant shall comply with all of the following provisions of this Equal
Opportunity Requirement:

1. The Consultant agrees that he will not discriminate against any
employee for employment because of age, race, creed, color,
national origin, sex, sexual orientation, disability, or marital status
in the performance of services or programs pursuant to this
Agreement, or in employment for the performance of such services
or programs, against any person who is qualified and available to
perform the work in which the employment relates. The
Consultant agrees to take affirmative action to ensure that
applicants are employed, and that applicants are hired and that
employees are treated during their employment, without regard to
their age, race, creed, color, national origin, sex, sexual orientation,
disability, or marital status.

2. If the Consultant is found guilty of discrimination in employment
on the grounds of age, race, creed, national origin, sex, sexual
orientation, disability or marital status by any court or
administrative agency that has jurisdiction pursuant to any State or
Federal Equal Opportunity laws or regulations, such determination
will be deemed to be a breach of contract, and this Agreement will
be terminated in whole or part without any penalty or damages to
the City on account of such cancellation or termination and the
Consultant shall be disqualified from thereafter selling to,
submitting bids to, or receiving awards of contract with the City of
Rochester for goods, work, or services until such time as the
Consultant can demonstrate its compliance with this policy and all
applicable Federal and State Equal Opportunity laws and
regulations.

3. The Consultant shall cause the foregoing provisions to be inserted
in all subcontracts, if any, for any work covered by this Agreement
so that such provisions will be binding upon each subcontractor,
provided that the foregoing provisions shall not apply to
subcontracts for standard commercial supplies or raw materials.

Section 2.302 The MacBride Principles

The Consultant agrees that it will observe Ordinance No. 88-19 of the City of
Rochester, which condemns religious discrimination in Northern Ireland and
requires persons contracting to provide goods and services to the City to comply
with the MacBride principles. A copy of the MacBride principles is on file in the
Office of the Director of Finance.

Section 2.303 Compliance with Labor Laws

The Consultant specifically agrees to comply with the labor law requirements of
Articles 8 and 9 of the Labor Law of the State of New York, and, more
249


specifically, with the requirements of Sections 220, 220-a, 220-d and 220-e of the
Labor Law. These provisions require the payment of prevailing wages and
supplements to, the verification of payment of wages of, and require preference in
the employment of New York residents, and prohibit discrimination based on
race, creed, color, sex, national origin, or age, and prohibit the permitting or
requiring of more than eight hours per day and forty hours per week from
laborers, mechanics, or workers on a public works construction project. The
foregoing requirements do not generally apply to professional staff, draftsmen, or
clerical help or most other employees of an engineer or architect who is
performing design, research, or inspection work only. The Consultant shall,
however, comply with all state, federal and local non-discrimination and equal
employment opportunity laws and rules and will be subject under this Agreement
to fines, penalties and contract termination when the City reasonably determines
that the Consultant has unlawfully discriminated because of the race, color, creed,
national origin, sex or age of any applicant for employment or any employees.


ARTICLE II, Part 4. Operations

Section 2.401 Political Activity Prohibited

None of the funds, materials, property, or services provided directly or indirectly
under this Agreement shall be used during the performance of the Agreement for
any partisan political activity, or to further the election or defeat of any candidate
for public office.

Section 2.402 Lobbying Prohibited

None of the funds provided under this Agreement shall be used for publicity or
propaganda purposes designed to support or defeat legislation pending before the
United States Congress, the Legislature of the State of New York or the Council
of the City of Rochester.

Section 2.403 Anti-Kickback Rules

Salaries of employees performing work under this Agreement shall be paid
unconditionally and not less often than once a month without deduction or rebate
on any account except only such payroll deductions that are mandatory by law or
permitted by the applicable regulations issued by the Secretary of Labor pursuant
to the "Anti-Kickback Act" of J une 13, 1934 (48 Stat. 948; 62 Stat. 108; title 18
U.S.C., section 874; and title 40 U.S.C., section 276c). The Consultant shall
comply with applicable "Anti-Kickback" regulations and shall insert appropriate
provisions in all subcontracts covering work under this Agreement to insure
compliance by subcontractors with such regulations and shall be responsible for
the submission of affidavits required of subcontractors thereunder except as the
Secretary of Labor may specifically provide for variations of or exemptions from
the requirements thereof.

Section 2.404 Withholding of Salaries

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If, in the performance of this Agreement, there is notice to the City of any
underpayment of salaries by the Consultant or by any subcontractor thereunder,
the City shall withhold from the Consultant out of payments due to it an amount
sufficient to pay the employees underpaid the difference between the salaries
required hereby to be paid and the salaries actually paid such employees for the
total number of hours worked. The amounts withheld may be disbursed by the
City for and on account of the Consultant or subcontractor to the respective
employees to whom they are due.

Section 2.405 Discrimination Because of Certain Labor Matters

No person employed on the work covered by this Agreement shall be discharged
or in any way discriminated against because the person has filed any complaint or
instituted or caused to be instituted any proceeding or has testified or is about to
testify at any proceeding relating to the labor standards applicable hereunder to
that person's employer.

Section 2.406 Status as Independent Contractor

The Consultant, in accordance with its status as an independent contractor,
covenants and agrees that it shall conduct itself in a manner consistent with such
status, that it will neither hold itself nor its employees out as, nor claim to be an
officer or employee of the City by reason hereof, and that it and its employees
will not by reason hereof, make any claim, demand or application for any right or
privilege applicable to an officer or employee of the City, including but not
limited to Workers' Compensation coverage, unemployment insurance benefits,
social security coverage, and retirement membership or credit.

ARTICLE II, Part 5. Documents

Section 2.501 Patents and Copyrights

The Consultant agrees that, in the event it, or any of its employees' develop any
material for which a copyright can be obtained which material was developed as a
result of or in connection with the work required pursuant to this Agreement, the
City shall own the copyright to any copyrightable material and may, in its
discretion, grant a royalty-free, non-exclusive license to use, reproduce and
distribute such copyrightable material. The Consultant further agrees that in the
event it, or any of its employees, develops any process, machinery or product for
which a patent would be obtainable, the Consultant shall provide the necessary
information to the City, so that the City can apply for such patent at its own
expense. Such patent shall become the property of the City; provided, however,
that the City may, in its discretion, may grant to Consultant a royalty-free, non-
exclusive license to produce or reproduce such patented product. The benefits of
either a patent or a copyright shall also inure to any public agency which finances,
in whole or in part, this project and such agency shall receive a royalty-free, non-
exclusive license to use, reproduce, manufacture and distribute the product or
mater which has been patented or copyrighted.

Section 2.502 Audit
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The Consultant agrees to maintain sufficient on-site records and information
necessary for the documentation of any and all facets of program operation
specified by this Agreement. The Consultant shall maintain all books, documents,
papers and other evidence pertinent to the performance of work under this
Agreement in accordance with generally acceptable accounting principles, and 40
CFR Part 30 in effect during the term of this Agreement. The Consultant agrees
to permit on-site inspection and auditing of all records, books, papers and
documents associated with this Agreement by authorized representatives of the
City, the State of New York, and the United States Government, and further
agrees to provide necessary staff support to the performance of such audit. The
Consultant agrees to maintain for a period of six (6) consecutive years following
termination of this Agreement any and all records, reports and other
documentation arising from the performance of this Agreement; however, this
period shall be extended beyond six years YES for any and all records and
information pertaining to unresolved questions, which have been brought to the
Consultant's attention by written notice by the City. The Consultant agrees to
furnish to the City data to include but not be limited to, intake records, status
change notices, termination notices, and follow-up records. Said reports will be
submitted periodically as required by the City.

Section 2.503 Content of Sub-Agreements

The Consultant agrees that all sub-agreements authorized by this Agreement shall
be in written form. The Consultant shall require all subcontractors to comply with
any of the following sections which may be in this Agreement: "Equal
Employment Opportunity; Affirmative Action and Employment of Local Labor;
Compliance with Labor Laws; Certifications Regarding Conflicts of Interest;
Anti-Kickback Rules; Interest of City and Contractor in Contract." It is the
purpose of this section to insure that all Agreements obligate all parties
performing work under this Agreement to comply with necessary governmental
programs and policies. The City may require the Consultant to submit copies of
such sub-agreements to the City. If such copies are not submitted upon request,
the City may have the right to withhold any and all payments to the Consultant to
those items of work which have not complied with this section.

ARTICLE II, Part 6. Termination

Section 2.601 Termination for Convenience of the City

A. This Agreement may be terminated by the City in accordance with this section
in whole, or from time to time, in part, whenever for any reason, the City shall
determine that such termination is in the best interest of the City. Any such
termination shall be effective upon written notice to the Consultant. However, no
such termination shall relieve the Consultant of any outstanding duties imposed
by the Agreement, including the requirement to hold the City harmless and to
maintain insurance coverage insuring against loss arising out of the Project.

B. If the Agreement is so terminated the City may take over the work and
services and prosecute the same to completion by contract or otherwise. The
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Consultant, upon such termination, shall transfer title, and in the manner directed
by the City, shall deliver to the City the completed or partially completed, plans,
drawings information, other property and records of work being performed,
which, if this Agreement had been completed, would be required to be furnished
to the City.

C. After receipt of written notice of termination, the Consultant shall promptly
submit to the City its termination claim in a form acceptable to the City. Such
claim shall in no event be submitted later than one year from the effective date of
termination.

D. In the event that the parties cannot agree, in whole or in part, as to the amount
due by reason of the termination of the Agreement pursuant to this clause, the
City shall pay the Consultant the amount determined as the total of the following:

1. The cost of all work performed prior to the effective date of
termination.

2. The cost of settling and paying claims arising out of and as a direct
result of the termination;

3. A sum as profit on subdivision 1. above, determined to be fair and
reasonable, provided however, that if the Consultant would have
sustained a loss on the entire Agreement had it been completed, no
profit shall be included or allowed under this subdivision 3., and an
appropriate adjustment shall be made reducing the amount of
settlement to reflect the indicated rate of loss. The total sum to be
paid under this section shall not exceed the total price of this
Agreement specified hereinabove, reduced by the amount of
payments otherwise made, and further secured by the value of
work remaining incomplete at the time of the termination of this
Agreement.

Section 2.602 Termination for Default

A. The performance of work under this Agreement may be terminated by the
City in accordance with this clause in whole, or, from time to time, in part,
whenever the Consultant shall default in performance of this Agreement in
accordance with its terms (including in the term "default" any failure by the
Consultant to make progress in the prosecution of the work hereunder which
endangers such performance) and shall fail to cure diligently such default within a
period of ten days or (or such longer period as the City may allow) after delivery
by the City of a notice specifying the default.

B. If this Agreement is to be terminated, the City may take over the work and
services and prosecute the same to completion by contract or otherwise, and the
Consultant shall be liable to the City for any excess cost occasioned thereby.

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C. The total fee payable shall be such proportionate part of the fee as the value of
the actual work completed and delivered bears to the value of the work required
or contemplated by this Agreement.

D. This Agreement may not be so terminated if the failure to perform arises from
unforeseeable causes beyond the control and without the fault or negligence of the
Consultant.

E. If, after notice of termination of this Agreement under the provisions of this
section, it is determined for any reason that the Consultant was not in default or
that the default was excusable the rights and obligations of the parties shall be the
same as if the notice of termination had been issued pursuant to the clause of this
Agreement entitled "Termination for the Convenience of the City."

F. The rights and remedies of the City provided in this clause are in addition to
any other rights and remedies provided by law or under this Agreement.
ARTICLE II, Part 7. General

Section 2.701 Prohibition Against Assignment

A. The Consultant agrees that it is prohibited from assigning or otherwise
disposing of this Agreement or any of its contents, or of its right, title or interest
therein, or of its power to execute such contract to any other person or corporation
without the previous consent in writing of the City.

B. The Consultant shall be permitted to contract with other professions
(particularly in the fields of forestry, horticulture or landscape architecture) for
portions of the Project provided, however, the City approves, in writing, the
selection of the individual, firm or firms contracted with and the Consultant shall
remain responsible to the City for all provisions of this Agreement pertaining to
services by other professionals.

Section 2.702 Compliance with All Laws

The Consultant agrees that during the performance of the work required pursuant
to this Agreement, the Consultant, and all employees working under its direction,
shall strictly comply with all local, state or federal laws, ordinances, rules or
regulations controlling or limiting in any way their actions during their said
performance of the work required by this Agreement. Furthermore, each and
every provision of law, and contractual clause required by law to be inserted in
this Agreement shall be deemed to be inserted herein. If, through mistake or
otherwise, any such provision is not inserted or is not correctly inserted, then
upon the application of either party this Agreement shall be forthwith physically
amended to make such insertion or correction.

Section 2.703 Successors

The City and the Consultant each bind their successors, executors, administrators
and assigns in respect of all covenants of this Agreement.

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Section 2.704 Interest of City and Consultant in Contract

The City and the Consultant agree that no member, officer, or employee of the
City or of the Consultant or assignees agents shall have any interest, direct or
indirect, in any contract or subcontract or the proceeds thereof, for work to be
performed in connection with the program assisted under the Agreement.

Section 2.705 Permits, Laws and Taxes

A. In the event that services performed by the Consultant for the City are subject
to taxation under Article 28 of the Tax Law (sales and compensating use tax) the
Consultant shall receive from the City the material necessary to obtain a tax
exempt certificate upon written request.

B. The Consultant shall pay all taxes, applicable to the work and materials
supplied under this Agreement, it being understood that in no case shall any such
tax be borne by the City, except as provided in subparagraph A. above.

Section 2.706 Obligations Limited to Funds Available

The parties specifically agree that the Consultant's duty to perform work under
this Agreement and the City's obligation to pay for that work, including any out-
of-pocket and subcontracting expenses of the Consultant, shall be limited to the
amount of money actually appropriated by the City Council and encumbered (i.e.,
certified as being available) for this Project by the City Director of Finance (or his
authorized deputy). This provision shall limit the parties' obligation to perform
even though this Agreement may provide for the payment of a fee greater than the
appropriated and encumbered amount.

Section 2.707 Extent of Agreement

This Agreement constitutes the entire and integrated Agreement between and
among the parties hereto and supersedes any and all prior negotiations,
Agreements, and conditions, whether written or oral. Any modification or
amendment to this Agreement shall be void unless it is in writing and subscribed
by the party to be charged or by its authorized agent.

Section 2.708 Law and Forum

This Agreement shall be governed by and under the laws of the State of New
York and the Charter of the City of Rochester. The parties further agree that
Supreme Court of the State of New York, held in and for the County of Monroe
shall be the forum to resolve disputes arising out of either this Agreement or work
performed according thereto. The parties waive all other venue or forum
selections. The parties may agree between themselves on alternative forums.

Section 2.709 No Waiver

In the event that the terms and conditions of this Agreement are not strictly
enforced by the City, such non-enforcement shall not act as or be deemed to act as
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a waiver or modification of this Agreement, nor shall such non-enforcement
prevent the City from enforcing each and every term of this Agreement thereafter.

Section 2.710 Severability

If any provision of this Agreement is held invalid by a court of law, the remainder
of this Agreement shall not be affected thereby, if such remainder would then
continue to conform to the laws of the State of New York.


ARTICLE III. STANDARD NEW YORK STATE AND FEDERAL CLAUSES

Section 3.101. Extra Work

If the Consultant is of the opinion that any work the Consultant has been directed to
perform is beyond the scope of this agreement and constitutes extra work, the Consultant
shall promptly notify the City's Authorized Agent in writing of this fact prior to
beginning any of the work. The City shall be the sole judge as to whether or not such
work is in fact beyond the scope of this agreement and constitutes extra work. In the
event that the City determines that such work does constitute extra work the City shall
provide extra compensation to the Consultant in a fair and equitable manner. If neces-
sary, an amendatory agreement providing the compensation and describing the work
authorized shall be issued by the City to the Consultant for execution after approvals have
been obtained from necessary City officials and, if required, from the Federal Highway
Administration.

Section 3.102. Non-Discrimination Requirements.

The Consultant agrees to comply with all applicable Federal, State and local Civil Rights
and Human Rights laws with reference to equal employment opportunities and the provi-
sion of services. In accordance with Article 15 of the Executive Law (also known as the
Human rights Law) and all other State and Federal statutory and constitutional non-
discrimination provisions, the Consultant shall not discriminate against any employee or
applicant for employment because of race, creed, color, sex, national origin, age,
disability or marital status. Furthermore, in accordance with Section 220-e of the Labor
Law, if this is a contract for the construction, alteration or repair of any public building or
public work or for the manufacture, sale or distribution of materials, equipment or
supplies, and to the extent that this contract shall be performed within the State of New
York, Consultant agrees that neither it nor its sub-consultants shall, by reason of race,
creed, color, disability, sex or national origin; (a) discriminate in hiring against any New
York State citizen who is qualified and available to perform the work; or (b) discriminate
against or intimidate any employee hired for the performance of work under this contract.
If this is a building service contract as defined in Section 230 of the Labor Law, then, in
accordance with Section 239 thereof, Consultant agrees that neither it nor its
subcontractors shall, by reason of race, creed, color, national origin, age, sex or disability;
(a) discriminate in hiring against any New York State citizen who is qualified and
available to perform the work; or (b) discriminate against or intimidate any employee
hired for the performance of work under this contract. Consultant is subject to fines of
$50.00 per person per day for any violation of Section 220-e or Section 239 as well as
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possible termination of this contract and forfeiture of all monies due hereunder for a
second or subsequent violation.

Section 3.103. Agreement Executory.

The Consultant specifically agrees that the Agreement shall be deemed executory only to
the extent of the monies available, and no liability shall be incurred by the State or
Federal governments beyond the monies available for the purpose.

Section 3.105. Inspection.

The duly authorized representatives of the State, and on Federally aided projects,
representatives of the Federal Highway Administration, shall have the right at all times to
inspect the work of the Consultant.

Section 3.105. Proprietary Rights.

The Consultant agrees that if patentable discoveries or inventions should result from
work described herein, all rights accruing from such discoveries or inventions shall be the
sole property of the Consultant. However, the Consultant agrees to and does hereby grant
to the United States Government and the State of New York a non-exclusive, non-
transferable, paid-up license to make, use, and sell each subject invention throughout the
world by and on behalf of the Government of the United States and States and domestic
municipal governments, all in accordance with the provisions of 48 CFR 1-27.

Section 3.106. Certification required by 49 CFR, Part 29.

The signator to this Agreement, being duly sworn, certifies that, except as noted below,
its company and any person associated therewith in the capacity of owner, partner,
director, officer, or major stockholder (five percent or more ownership):

A. is not currently under suspension, debarment, voluntary exclusion, or
determination of ineligibility by any Federal agency:

B. has not been suspended, debarred, voluntarily excluded or determined ineligible
by any Federal agency within the past three years;

C. does not have a proposed debarment pending; and,

D. has not been indicted, convicted, or had a civil judgment rendered against it by a
court of competent jurisdiction in any matter involving fraud or official
misconduct within the past three years.

Section 3.107. Certificate required by 40 CFR 1506.58

If the work of the Project includes the preparation of an Environmental Impact Statement
(EIS), the signator to this Agreement, being duly sworn, certifies that its company and
any person associated therewith in the capacity of owner, partner, director, officer, or
major stockholder (five percent or more ownership) does not have any financial or other
interest in the outcome of the project including:
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A. an existing contract for the Project's ROW incidental work or construction
engineering; or

B. ownership of land, options to buy land, or some business enterprise which would be
financially enhanced or diminished by any of the Project alternatives.

This does not preclude the Consultant from being awarded a future contract covering the
work described in Item 1 of this Article or being awarded Phases V and VI Final Design
after the EIS has been approved.

Section 3.108. Certification for Federal-Aid Contracts

The prospective participant certifies, by signing this Agreement, to the best of his or her
knowledge and belief, that:

A. No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or
employee of any Federal agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in connection with the awarding
of any Federal contract, the making of any Federal grant, the making of any Federal
loan, the entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any Federal contract, grant,
loan, or cooperative agreement.

B. If any funds other than Federal appropriated funds have been paid or will be paid to
any person for influencing or attempting to influence an officer or employee of any
Federal agency, a Member of Congress, an officer or employee of Congress, or an
employee of Member of Congress in connection with this Federal contract, grant
loan, or cooperative agreement, the undersigned shall complete and submit Standard
Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its
instructions.

This certification is a material representation of fact upon which reliance was placed
when this transaction was made or entered into. Submission of this certification is a
prerequisite for making or entering into this transaction imposed by Section 1352, Title
31, U.S. Code. Any person who fails to file the required certification shall be subject to a
civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

The prospective participant also agrees by submitting his or her bid or proposal that he or
she shall require that the language of this certification be included in all lower tier
subcontracts, which exceed $100,000 and that all such sub-recipients shall certify and
disclose accordingly.

Section 3.109. Records Retention

The Consultant shall establish and maintain complete and accurate books, record
documents, accounts and other evidence directly pertinent to performance under this
contract (collectively called the “Records”). The Records must be kept for a minimum of
six (6) years after final payment is received. The City, State, Federal Highway
258


Administration, or any authorized representatives of the Federal Government, shall have
access to the Records during normal business hours at an office of the Contractor within
the State of New York, or a mutually agreeable reasonable venue within the State, for the
term specified for the purposes of inspection, auditing, and copying.

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Section 3.110. Sub-Contracts

The Consultant shall include these Standard New York State and Federal Clauses in any
and all agreements with sub-contractors and sub-consultants for performance of services
under this agreement.


IN WITNESS WHEREOF, the parties have duly executed this Agreement on the
day first written above.



THE CITY OF ROCHESTER



By:_______________________


CONSULTANT


By:________________________
Title: _______________________
Federal Tax Payer Id. No.:


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STATE OF NEW YORK
COUNTY OF MONROE

On this day of , 20 , before me, the subscriber, personally came
____________, to me known, who being by me duly sworn, did depose and say that he
resides in the City of Rochester, that he is the _________of the City of Rochester, the
municipal corporation described in the above Agreement; that he signed his name thereto
by authority of Ordinance No. __ .

______________________________
Notary Public



STATE OF NEW YORK
COUNTY OF MONROE

On this _____ day of __________, 20_ before me, the undersigned, a Notary Public in
and for said State, personally appeared __________________________, personally
known to me or proved to me on the basis of satisfactory evidence to be the individual(s)
whose name(s) is (are) subscribed to the within instrument and acknowledged to me that
he/she/they executed the same in his/her/their capacity(ies), and that by his/her/their
signature(s) on the instrument, the individual(s), or the person upon behalf of which the
individual(s) acted, executed the instrument.


________________________________
Notary Public








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