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Tyler Technologies ERP
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'0! * ) ! 5 , 0 ! ) !)! !! 0 ,! 00 ! ! !, " 0! * !) !' * ' :( '%+ # ''''% ') ) * ' , '% ' ' )( * ,( * ) 0 - (, +* ' + : ' '% ' '% +: ''%, '%"'$0 % & '( %0 ) = 6 / 6/. 1 .2 '% 0 71/9" $35 > 2 1 6'%+ , ':( 0 5>? / 1 3 .2 /12 12 16 71/90/ .271/ 3.9 85 .2 2 1 3 2 . 3 2 12 / 6/. 1 21 /126 1 / 6/. 1 2 516 5/ 2 1 3 2 " $ 2.3 .2 11. 3.4 16 (,' %)+= (' %)+= '% "#010@ $= % % %' ) A= ''= ) - "#01$= )= A '%= '%+= '%= '% = '%= '%= '%"'$ , (, ' % * + ( '+ '+ + - 0 : + ( : * (' ' Boston, MA 02110 1,000,000 A 03/01/14 03/01/15 X X Evidence of Insurance Seamus King 11/17/13 COMP/COLL DED. $500 ILLINOIS NATL INS CO ATLANTIC SPECIALTY INS CO 1,000,000 1,000,000 Hays Companies of New England 1-617-723-7775 1,000,000 Tyler Technologies, Inc. 711013784-0001 AGGREGATE 2,000,000 2nd Floor 2,000,000 03/01/14 133 Federal Street X X 617.723.5155 5101 Tennyson Parkway 03/01/15 02/28/2014 PROFESSIONAL LIABILITY 10,000 X 1,000,000 406040422-0001 10,000,00001-593-30-05 mboisvert 711013784-0001 03/01/14 711013784-0001 X 15,000,000 X TYLER-2 1,000,000 Evidence of Insurance. X 03/01/15 B 23817 27154 N Plano, TX 75024 A 03/01/15 617.778.5069 X A 38655445 38655445 11/17/14 X A Thomas Honan 03/01/14 sking@hayscompanies.com 1,000,000 15,000,000 Sample of Implementation Plan DATE CITY, STATE NAME OF SYSTEM Confidential Revised January 12, 2010 SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis i SECTION 1 PROJECT SCOPE AGREEMENT ....................................................................... 1 1.1 Document Control Information ....................................................................................... 1 1.2 Change Control History ................................................................................................. 1 1.3 Introduction ................................................................................................................... 1 1.4 Project Phase Overview ................................................................................................ 2 1.5 Project Assumptions ..................................................................................................... 3 1.5.1 Personnel Assumptions ........................................................................................................... 4 1.5.2 Technical Support Assumptions .............................................................................................. 5 1.5.3 Client Homework Support Assumptions .................................................................................. 5 1.5.4 Operational Transfer Plan ....................................................................................................... 6 1.6 General Project Activities and Deliverables ................................................................... 6 1.6.1 Project Planning and Kickoff ................................................................................................... 6 1.6.2 System Administration ............................................................................................................. 6 1.6.3 Tyler Consulting Services ........................................................................................................ 6 1.6.4 Workflow .................................................................................................................................. 7 1.6.5 General Ledger........................................................................................................................ 7 1.6.6 Project Accounting .................................................................................................................. 8 1.6.7 Budgeting ................................................................................................................................ 8 1.6.8 Treasury Management ............................................................................................................ 9 1.6.9 Requisitions ............................................................................................................................. 9 1.6.10 Purchase Orders ..................................................................................................................... 9 1.6.11 Accounts Payable .................................................................................................................... 9 1.6.12 Bid Management ................................................................................................................... 10 1.6.13 Contract Management ........................................................................................................... 10 1.6.14 Inventory ................................................................................................................................ 10 1.6.15 Fixed Assets .......................................................................................................................... 11 1.6.16 GASB 34 Report Writer ......................................................................................................... 11 1.6.17 Work Orders, Fleet & Facilities Management ....................................................................... 11 1.6.18 General Billing ....................................................................................................................... 12 1.6.19 Accounts Receivable/Cash Receipting ................................................................................. 12 1.6.20 Tyler Forms Processing ........................................................................................................ 13 1.6.21 Munis Crystal Reports ........................................................................................................... 13 1.6.22 Munis Office ........................................................................................................................... 13 1.6.23 Tyler Content Management ................................................................................................... 13 1.6.24 Payroll .................................................................................................................................... 14 1.6.25 HR Management ................................................................................................................... 14 1.6.26 Applicant Tracking ................................................................................................................. 14 1.6.27 Pension Tracking ................................................................................................................... 15 1.6.28 Timekeeping Interface ........................................................................................................... 15 1.6.29 Business Licenses ................................................................................................................. 15 1.6.30 Permits & Code Enforcement ................................................................................................ 16 1.6.31 Central Property File ............................................................................................................. 16 1.6.32 Utility Billing ........................................................................................................................... 16 1.6.33 UB Meter Reader Interface ................................................................................................... 17 1.6.34 Tax Billing .............................................................................................................................. 17 1.6.35 CAMA Bridge ......................................................................................................................... 17 1.6.36 BSA Interface ........................................................................................................................ 18 1.6.37 CLT Interface ......................................................................................................................... 18 1.6.38 Tax Title/Tax Sale/Tax Lien ................................................................................................... 18 1.6.39 Delinquent Process ............................................................................................................... 18 1.6.40 Income Tax ............................................................................................................................ 19 1.6.41 Boat Excise ............................................................................................................................ 19 1.6.42 Excise Tax ............................................................................................................................. 19 SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis ii 1.6.43 NC Motor Vehicle Billing ........................................................................................................ 20 1.6.44 IL Vehicle Sticker ................................................................................................................... 20 1.6.45 VA Motor Vehicle Decal ........................................................................................................ 20 1.6.46 Parking Tickets ...................................................................................................................... 21 1.6.47 Enforcement Technology Handheld Interface ....................................................................... 21 1.6.48 NC Jury Selection .................................................................................................................. 21 1.6.49 Voter ...................................................................................................................................... 22 1.6.50 Animal Licenses .................................................................................................................... 22 1.6.51 Dashboard ............................................................................................................................. 22 1.7 Data Conversion ..........................................................................................................23 1.7.1 Conversion Process Steps and Activities .............................................................................. 26 1.7.2 Conversion Assumptions ....................................................................................................... 26 1.8 Project Scope Approval and Commitment ....................................................................27 SECTION 2 CHANGE MANAGEMENT .............................................................................. 28 SECTION 3 COMMUNICATION PLAN ............................................................................... 41 3.1 Document Control Information ......................................................................................41 3.2 Change Control History ................................................................................................41 3.3 Project Communication Plan Overview ........................................................................41 3.3.1 Description ............................................................................................................................. 41 3.3.2 Purpose ................................................................................................................................. 41 3.4 Summary of Communication Plan Elements ................................................................43 3.5 Meetings ......................................................................................................................45 3.5.1 Kick-Off Meeting(s) ................................................................................................................ 45 3.5.2 Project Status Management Meetings .................................................................................. 46 3.5.3 Project Team Meetings ......................................................................................................... 47 3.5.4 Munis Implementation Status Meetings ................................................................................ 48 3.6 Reporting .....................................................................................................................49 3.6.1 Project Status Reports .......................................................................................................... 49 3.6.2 Client Project Share Point Site .............................................................................................. 50 3.6.3 Sample Status Report ........................................................................................................... 51 3.7 Communication Paths ..................................................................................................53 3.7.1 Role-Based Communications ................................................................................................ 53 3.7.2 Communications ORG Chart ................................................................................................. 53 3.7.3 Sample Role-Based Communications Planning Grid............................................................ 54 3.7.4 Sample Project Contact List .................................................................................................. 54 SECTION 4 QUALITY MANAGEMENT / TESTING ............................................................... 56 4.1 Document Control Information ......................................................................................56 4.2 Change Control History ................................................................................................56 4.3 Description ...................................................................................................................56 4.4 Purpose........................................................................................................................56 4.5 Process ........................................................................................................................57 4.5.1 Verification Testing ................................................................................................................ 57 4.5.2 Static Environment Test ........................................................................................................ 57 4.5.3 Education ............................................................................................................................... 57 4.5.4 System Testing ...................................................................................................................... 57 4.5.5 Repeat Testing (only if needed) ............................................................................................ 57 4.5.6 Integration Testing ................................................................................................................. 57 4.5.7 Interface Testing .................................................................................................................... 57 4.5.8 Stress Testing........................................................................................................................ 57 4.5.9 Pre-Live Verification .............................................................................................................. 57 SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis iii 4.6 The Benefits of Testing ................................................................................................57 4.7 The Munis Testing Environment ...................................................................................58 4.8 Existing Plan ................................................................................................................58 4.9 Action Plan ...................................................................................................................58 4.9.1 Plan Approach ....................................................................................................................... 58 4.10 Measurement & Tracking ..........................................................................................59 4.11 The Munis Testing Conclusion ..................................................................................59 4.12 Sample Accounts Payable Static Environment Test Script ........................................59 4.13 Sample Budget Processing Static Environment Test Script ......................................60 4.14 Sample Contract Management Static Environment Test Script .................................61 4.15 Sample Fixed Assets Static Environment Test Script ................................................61 4.16 General Ledger Static Environment Test Script.........................................................62 4.17 Sample Project & Grant Accounting Static Environment Test Script ..........................63 4.18 Sample Purchase Order Static Environment Test Script ...........................................64 4.19 Sample Payroll & Human Resources Static Environment Test Script ........................65 SECTION 5 RISK MANAGEMENT .................................................................................... 67 5.1 Risk Management Overview.........................................................................................67 5.1.1 Description ............................................................................................................................. 67 5.1.2 Purpose ................................................................................................................................. 67 5.2 Key Processes .............................................................................................................67 5.2.1 Risk Management Plan Definition ......................................................................................... 67 5.2.2 Risk Management Planning Template .................................................................................. 67 5.2.3 SWOT Analysis ..................................................................................................................... 68 5.2.4 SWOT Analysis Template ..................................................................................................... 68 5.2.5 Risk Identification .................................................................................................................. 69 5.2.6 Risk Analysis ......................................................................................................................... 69 5.2.7 Risk Responses..................................................................................................................... 69 5.2.8 Monitoring Risks .................................................................................................................... 69 5.2.9 Lessons Learned ................................................................................................................... 70 5.3 Sample Populated Risk Register ..................................................................................71 5.3.1 Likelihood of Each Risk ......................................................................................................... 73 5.3.2 Grade of Seriousness of Each Risk ...................................................................................... 73 5.3.3 Status of Each Risk ............................................................................................................... 73 SECTION 6 SCHEDULE MANAGEMENT ........................................................................... 74 6.1 Document Control Information ......................................................................................74 6.2 Change Control History ................................................................................................74 6.3 Schedule Management Plan Overview .........................................................................74 6.3.1 Description ............................................................................................................................. 74 6.3.2 Purpose ................................................................................................................................. 74 6.4 Key Processes .............................................................................................................75 6.4.1 Description ............................................................................................................................. 75 6.4.2 Schedule Management Plan Definition ................................................................................. 75 6.4.3 Acceptable Schedule Change Reasons ................................................................................ 75 6.4.4 Schedule Analysis ................................................................................................................. 75 6.4.5 Schedule Responsibilities ..................................................................................................... 75 6.4.6 Monitoring Schedule .............................................................................................................. 75 6.4.7 Lessons Learned ................................................................................................................... 76 6.4.8 Schedule Management Planning Template .......................................................................... 76 6.5 Existing Plan ................................................................................................................76 6.6 Schedule Control/Action Plan .......................................................................................76 SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis iv SECTION 7 RESOURCE PLAN................................................................................... 77 7.1 Description ...................................................................................................................77 7.2 Purpose........................................................................................................................77 7.3 Process ........................................................................................................................77 7.4 Roles and Responsibilities Definition ............................................................................77 7.4.1 Tyler Project Manager ........................................................................................................... 77 7.4.2 <<Client>> Project Manager ................................................................................................. 77 7.4.3 <<Client>> System Administrator.......................................................................................... 78 7.4.4 <<Client>> Functional Leader ............................................................................................... 78 7.4.5 Facilities Resource Requirements......................................................................................... 78 7.4.6 End User Requirements ........................................................................................................ 79 7.4.7 Resource Risk Identification .................................................................................................. 79 SECTION 8 EDUCATION PLAN.................................................................................. 80 8.1 Document Control Information ......................................................................................80 8.2 Change Control History ................................................................................................80 8.3 Description ...................................................................................................................80 8.4 Purpose........................................................................................................................80 8.5 Process ........................................................................................................................81 8.5.1 Demonstration, Analysis, and Knowledge Transfer .............................................................. 81 8.5.2 Prerequisites .......................................................................................................................... 81 8.5.3 TO BE Demonstration ........................................................................................................... 81 8.5.4 Munis Application Training .................................................................................................... 81 8.5.5 Pre-Live Training ................................................................................................................... 81 8.5.6 Post Live Reconciliation Training .......................................................................................... 82 8.5.7 Post Live Output and Inquiry Training ................................................................................... 82 8.6 Logistics .......................................................................................................................82 8.6.1 Software/Hardware ................................................................................................................ 82 8.6.2 Facilities ................................................................................................................................. 82 8.6.3 Staff ....................................................................................................................................... 82 8.6.4 Schedule ................................................................................................................................ 82 8.7 Action Plan ...................................................................................................................83 8.8 Measurement & Tracking .............................................................................................83 SECTION 9 CONVERSION .............................................................................................. 84 9.1 Data Delivery Process ..................................................................................................84 9.2 Conversion Technical Assistance .................................................................................84 9.3 Data Conversion Information ........................................................................................85 9.3.1 Overview ................................................................................................................................ 85 9.3.2 Definitions .............................................................................................................................. 85 9.3.3 Supporting Material ............................................................................................................... 85 9.3.4 Data Formats ......................................................................................................................... 86 9.3.5 Timing and Reports ............................................................................................................... 86 9.3.6 Submission Methods ............................................................................................................. 86 9.3.6.1 Electronic Transfers ......................................................................................................................... 86 9.3.6.2 FTP .................................................................................................................................................. 87 9.3.6.3 E-mail .............................................................................................................................................. 87 9.3.6.4 Modem ............................................................................................................................................. 87 9.3.7 Munis® Conversion Verification Cover Page ........................................................................ 87 9.3.8 Sign-Off Sheet ....................................................................................................................... 89 SECTION 10 WORK BREAKDOWN STRUCTURE ................................................................ 90 SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 1 Section 1 Project Scope Agreement 1.1 Document Control Information Document Number Munis - <<Client>> - 001 Document Title: Munis Implementation Phase Project Scope Agreement Creation Date: 01/15/2009 Created By: Tyler PM Document Status: INITIAL VERSION 1.2 Change Control History Change Control Number Change Date Description 1.3 Introduction The Munis Division (Munis®) of Tyler Technologies, Inc. ® conducts the overall project for the implementation of the suite of Tyler Software Products in several Phases. These phases generally align by the product categories of: • Technical installation and setup • Financials • Payroll and Human Resources • Revenue Products This document addresses the scope of activities performed under the Munis Implementation Phase of the overall Tyler Software Products implementation project. Specifically, this document describes the expectations, participant roles and responsibilities, and project approach to implementation of the Munis suite of software modules for the <<Client>>. The Munis Implementation Phase (Project) requires the cooperative working relationship between two major entities; namely, <<Client>> who is the ultimate customer for the new system and Tyler who is the software vendor responsible for baseline and customization software delivery. This document describes the working relationships between <<Client>> and Munis, as well as the project activities, deliverables, and responsibilities required for the successful project completion. Acceptance of this Scope Agreement binds the major parties to the scope and approach for the Munis Implementation Phase as described in this document. Changes to this Scope Agreement may be made at any time, provided such changes follow the established formal change management approach defined later in this document, and such changes continue to represent agreed upon commitments. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 2 1.4 Project Phase Overview Tyler, in partnership with <<Client>>, will place into production the Munis software product suite and other supporting products, which includes, and is limited to, the following modules: • General Ledger • Budgeting • Performance Based Budgeting • Accounts Payable • Project & Grant Accounting • Requisitions • Purchase Orders • Inventory • Work Orders, Fleet & Facilities Management • Fixed Assets • Interface to BMI Asset Tracking • System Administration • Contract Management • Workflow • Bid Management • GASB 34 Report Writer • Treasury Management • Accounts Receivable/Cash Receipting • General Billing • Munis Content Management Software • Munis Office • Munis Crystal Reports • Tyler Forms Processing • Payroll • HR Management • Applicant Tracking • Pension Tracking • Timekeeping Interface • Business Licenses • Utility Billing • UB Meter Reader Interface • Permits & Code Enforcement • Tax Billing • CAMA Bridge • BSA Interface • CLT Interface • MA Tax Title • Maryland Tax Sale • ME, NH Tax Lien • NY Delinquent Process • VA Delinquent Process • VA Income Tax • VA Motor Vehicle Decal • Boat Excise • MA Excise Tax • NC Motor Vehicle Billing • IL Vehicle Sticker • Parking Tickets • Enforcement Technology Handheld Interface • Jury Selection – NC • Voter • Animal Licenses • Portal Other Munis software products and/or services that <<Client>> may elect to implement may be addressed as separate Phases and therefore are not within the scope of this Munis Implementation Project Phase. Working together, the Munis and <<Client>> project team will: Place all purchased Munis modules in a verification/test, training and production environment Assist in refining <<Client>>’s business procedures in accordance with the features and functionality of the Munis software SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 3 Define requirements for Munis customization for purchased functional modifications and interfaces with third-party systems Develop and present end-user training Convert <<Client>> legacy system data into Munis Perform system integration and acceptance testing according to Munis Test Strategies Assist in transitioning <<Client>> business operations into production with Munis Support post-implementation operations 1.5 Project Assumptions The following assumptions apply for project planning purposes and for defining the phase scope. At the initiation of the Project, <<Client>> Executive sponsors shall confirm <<Client>> buy-in for this Project by issuing an “executive mandate” to all <<Client>> departments stating the importance and priority of supporting this Project. Tyler shall provide <<Client>> Project Manager a draft Project Scope Plan, to support <<Client>>’s development of their own Project Scope Plan defining the Project’s goals and required commitments. Any modifications or enhancement requests not expressly stated or noted in contract will be deemed not within scope. Modifications or enhancements requested after contract signing must follow change management guidelines and have the potential to change cost, scope, schedule and live dates for project phases. The Tyler Project Manager is responsible for the initial development and life-cycle maintenance of the Munis Implementation Phase project plan (Plan). <<Client>> is responsible for participating in development and definition of the Plan, schedule planning, resource assignments, and approval of the final baseline Plan. Both Tyler and <<Client>> are responsible for adhering to and executing the project in accordance with the schedule and budget defined in the approved Plan. In the event either party finds that significant variance to planned schedule may occur or is occurring, then Tyler and <<Client>> Project Managers are responsible for determining the necessary corrective actions and updating the Plan accordingly. Microsoft® Excel version 2007 or Microsoft® Project are the software tools used to develop the Plan. The Plan will then be uploaded to the Microsoft® Share Point site for further maintenance. Tyler assumes that <<Client>>, at a minimum, has the internet tools necessary to read or view materials on the Share Point site. In the event <<Client>> may elect to add and/or modify <<Client>> business policies during the course of this Project, then such policy changes are solely <<Client>>’s responsibility to define, document and implement. In support of the overall project management activities, <<Client>> will: o Appoint a <<Client>> Project Manager with overall responsibility for <<Client>> resources and with the authority to ensure decisions and commitments from <<Client>> are made and communicated to the Tyler Project Manager in a timely and efficient manner. o Communicate to the Tyler Project Manager on the progress of <<Client>>’s internal deliverables and any deviation that would affect Tyler’s ability to meet the Project schedule. o Ensure that individuals with the authority to represent <<Client>> and to provide information needed by Tyler are available when necessary, attend meetings as required, and perform all activities assigned to <<Client>>. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 4 o Provide technical documentation and answer questions pertaining to (i) systems with which Munis is to interface and (ii) data that is to be converted into Munis format. o Maintain and manage a Project Risk Register. This document records potential risks to Project success and defines a risk mitigation approach. On a regular basis, the Tyler Project Manager and <<Client>> Project Manager shall review this log to ensure risks are being adequately addressed. In the event the Tyler Project Manager and <<Client>> Project Manager are unable to reach a mutually agreeable resolution to Project issues or concerns, then the following escalation process shall be followed: o <<Client>> shall advise the Tyler Project Manager of the need for escalation, then contact the Tyler Regional Manager, Penny Parsons, to present <<Client>>’s concerns and solicit resolution. o If resolution is not reached at this level, escalation may continue to Danelle Daley, Tyler National Implementation Manager. o If resolution is not reached at this level, escalation may continue to Chris Hepburn, PMP, Tyler Vice President of Services. 1.5.1 Personnel Assumptions The personnel listed below have been identified for the roles as indicated. These people will be assigned to their indicated roles during the entire implementation. In the case where the person is indicated as TBD (to be determined), it is assumed that qualified staff will be available as the schedule requires. Each organization is responsible to insure this assumption is valid. Position Staff Commitment Tyler Project Manager Part Time Tyler Consulting Project Manager Part Time Tyler Consulting Analyst - Financials Part Time Tyler Consulting Analyst – PR/HR Part Time Tyler Consulting Analyst – Revenue Part Time Tyler Financial Project Manager Part Time Tyler Implementer Part Time Tyler Implementer Part Time Tyler Payroll/HR Project Manager Part Time Tyler Implementer Part Time Tyler Implementer Part Time Tyler Revenue Project Manager Part Time Tyler Implementer Part Time Tyler UB Project Manager Part Time Tyler Implementer Part Time Tyler Technical Analyst Part Time Tyler Conversion Manager Part Time SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 5 Tyler Regional Manager Part Time <<Client>> Project Manager <<Client>> Conversion Support <<Client>> Functional Lead <<Client>> Functional Lead <<Client>> System Administration Lead <<Client>> Technical Support The following assumptions apply to staff resource assignments for the project: • Identified project staff resources will be available for project work in accordance with the schedule defined within the Plan. Project staff should not be required to spend time on other company business in lieu of or to the detriment of their project responsibilities. • Project staff shall be knowledgeable and experienced within their assigned functional area. • Additional subject matter experts shall be made available as necessary to address specific functional and procedural issues that might arise and require expertise beyond that of the immediate project staff. • To ensure knowledge and performance continuity, project staff shall be assigned to the Project for the entire duration of the Project Phase. • <<Client>> project staff is able and empowered to answer and resolve business issues on behalf of <<Client>>. 1.5.2 Technical Support Assumptions While the technical infrastructure setup and software installation are activities beyond the scope of the Munis Implementation project, technical preparations and deliverables have crucial ramifications for the Munis Implementation project. Therefore it is important that the following assumptions be satisfied: • <<Client>> shall have in place all hardware, software, and technical infrastructure necessary to support the Project. • The Munis modules shall be installed, functional, and available to project staff prior to the first hands-on sessions. • Network access to the Munis modules, printers and the Internet shall be available to all applicable <<Client>> and Tyler project staff. • <<Client>>, upon request from the Tyler Project Manager, will coordinate MIS functions such as system backups, loading releases and software updates, hardware installation, operating system setup and maintenance, and system administration. <<Client>> may be requested to perform these tasks in a timely manner in association with specific implementation requirements. 1.5.3 Client Homework Support Assumptions Throughout the course of the Project, Tyler will identify ‘homework’ assignments for <<Client>> to perform. Homework assignments include such activities as data entry, practicing training exercises, functional testing, conversion validation, etc. The following outlines major assumptions regarding these homework activities: • Each homework activity shall be identified and scheduled within the Project Plan and available in a “Homework” view on the Share Point site. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 6 • Tyler shall clearly define each assignment for <<Client>>, the anticipated deliverable from the assignment, and assignment completion schedule. • <<Client>> Project Manager is responsible for ensuring the assignments are accomplished in accordance with the timeline defined within in the Project Plan. 1.5.4 Operational Transfer Plan At the completion of each phase (i.e., Financials, PR, etc.) a transition teleconference call with Tyler support be coordinated as formal closure to a project phase. 1.6 General Project Activities and Deliverables 1.6.1 Project Planning and Kickoff The following outlines major assumptions and activities surrounding the Project Initiation and Kickoff phase of the Project: • <<Client>> shall assign and authorize a Project Manager prior to the start of this phase. • <<Client>> Project Manager, along with the Tyler Project Manager, shall participate in the review and final revision of the Project management and planning documents, which include this Munis Implementation Project Scope Agreement, the Project Risk Register, and the Communications Plan. • The Tyler Project Manager and <<Client>> Project Manager shall complete development of the Project Plan. • <<Client>> project staff shall participate with the Tyler Project Manager in the Project Kickoff meeting to discuss the project approach and expectations. 1.6.2 System Administration The following outlines major assumptions and activities surrounding the System Administration implementation phase of the Project: • Tyler shall advise <<Client>> on Munis security and user setup features (e.g., Munis Menu Security, ID Code Permissions, User Setup, etc.). • <<Client>> shall define and setup menu and end-user security options. • <<Client>> through data testing will approve the functional configuration options and setup. 1.6.3 Tyler Consulting Services The following outlines major assumptions and activities surrounding the Tyler Consulting Services phase of the Project: • Tyler Consulting shall conduct Best Process Improvement (“As Is”) interviews with functional leads in order to understand current practices, procedures and policies. • Tyler Consulting shall conduct “As Is” brainstorm sessions and analyze how to improve business processes utilizing Munis software. • Tyler Consulting shall conduct Business Solution Design (“To Be”) through: an in-depth review of Munis options; development, delivery and review of Best Practice Recommendations with Functional Leaders; analysis of auxiliary tables; and the recommendation of setup decisions, table design, and product utilization. • Tyler Consulting shall provide Munis Implementation with detailed setup plan. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 7 • Tyler Consulting shall review policy areas that may impact the <<Client>> and require <<Client>> action. • Tyler Consulting shall deliver an Excel spreadsheet with line item recommendations, decisions required, decision status and deadline. • Tyler Consulting shall provide Core User Desktop Procedures Documents outlining the major steps for the modules identified below, following policy decisions. • <<Client>> provide policy and procedure documentation. • <<Client>> will appoint Function Leads for each module. • <<Client>> will update Excel spreadsheet with <<Client>>’s decision made for each line item recommendation by deadlines. Modules included in this process are: • General Ledger • Project Accounting • Accounts Payable • Budget • Purchasing/Requisitions • Contract Management • Treasury Management • Fixed Assets & Inventory • Work Orders, Fleet & Facility Management • Miscellaneous Cash Receipts and General Billing • Payroll • HR Management • Applicant Tracking • Utility Billing • Parking Tickets • Business Licenses 1.6.4 Workflow The following outlines major assumptions and activities surrounding the Workflow implementation phase of the Project: • Tyler shall advise <<Client>> on Munis Workflow setup applicable to the Munis applications deliverables, (e.g., Approvers, Business Rules, etc.). • <<Client>> shall define and setup Workflow user options. • <<Client>> through data testing will approve the functional configuration options and setup. 1.6.5 General Ledger The following outlines major assumptions and activities surrounding the General Ledger implementation phase of the Project: • Tyler will assist the Client with the definition of a revised Chart of Accounts. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 8 • The Client shall approve the revisions to the Chart of Accounts prior to proceeding to the next stage of General Ledger implementation. • Tyler will assist the Client in the selection and definition of General Ledger functional configuration options (e.g., organization code, fund attributes, journal number controls, etc.). • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • The Client, with Tyler support, shall conduct configuration testing and approval using sample data prior to conversion data loading, verification or end-user training. • Tyler will provide a Chart of Accounts conversion spreadsheet to the Client and will review instructions for its completion. • Tyler will instruct the Client how to import and verify the Chart of Accounts converted data. • The Client is responsible for verifying the Chart of Accounts conversion. • The Client will approve the final converted data. • No General Ledger functional modifications are included within the <<TYPE>> Project scope. • Munis shall support the functional verification of the import of data into the General Ledger from external third-party interfaces. 1.6.6 Project Accounting The following outlines major assumptions and activities surrounding the Project/Grant Accounting implementation phase of the Project: • Tyler will assist the Client in the selection and definition of the Project/Grant Accounting functional configuration options (e.g., Funding Source/Grantor table, Grant Accounting integration with General Billing, etc). • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • No Project Accounting functional modifications are included within the <<TYPE>> Project scope. 1.6.7 Budgeting The following outlines major assumptions and activities surrounding the Budgeting implementation phase of the Project: • Tyler will assist the Client in the selection and definition of Budgeting functional configuration options (e.g., Budget levels, transfers/amendments, etc.). • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • The Client, with Tyler support, shall conduct configuration testing and approval using sample data prior to conversion data loading or verification. • Tyler will provide a Budgeting conversion spreadsheet and will review instructions for its completion (if purchased). • The Client will import and verify the Budgeting converted data. • The Client is responsible for verifying the Budgeting conversion data. • The Client will approve the final converted data. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 9 • No Budgeting functional modifications are included within the <<TYPE>> Project scope. 1.6.8 Treasury Management The following outlines major assumptions and activities surrounding the Treasury Management implementation phase of the Project: • Tyler will assist the Client in the selection and definition of Treasury Management functional configuration options (e.g., Bank Codes, Type Codes, etc.). • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • No Treasury Management functional modifications are included within the <<TYPE>> Project scope. 1.6.9 Requisitions The following outlines major assumptions and activities surrounding the Requisitions implementation phase of the Project: • Tyler will assist the Client in the selection and definition of Requisitions in coordination with Purchase Orders functional configuration options (e.g., Buyers, Approvers, etc.). • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through testing, will approve the functional configuration options and setup. • No Requisitions functional modifications are included within the <<TYPE>> Project scope. 1.6.10 Purchase Orders The following outlines major assumptions and activities surrounding the Purchase Orders implementation phase of the Project: • Tyler will assist the Client in the selection and definition of Purchase Orders functional configuration options (e.g., Req/PO numbering, Bill to/Ship to Codes, Commodity Codes, etc.). • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client will approve the functional configuration options and setup. • The Client, through data testing, will approve the functional configuration options and setup. • The Client with Tyler support shall conduct configuration testing and approval using sample data prior to conversion data loading or verification. • Tyler will provide a Purchase Order conversion spreadsheet and will review instructions for its use (if purchased). • Tyler will instruct the Client how to load and verify the Purchase Order converted data. • The Client is responsible for verifying the Purchase Order conversion. • The Client will approve the final converted data. • No Purchase Order functional modifications are included within the <<TYPE>> Project scope. 1.6.11 Accounts Payable The following outlines major assumptions and activities surrounding the Accounts Payable implementation phase of the Project: SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 10 • Tyler will assist the Client in the selection and definition of Accounts Payable functional configuration options (e.g., A/P Parameters, Miscellaneous Codes, etc.). • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • The Client, with Tyler support, shall conduct configuration testing and approval using sample data prior to conversion data loading or verification. • Tyler will provide an Accounts Payable conversion spreadsheet and will review instructions for its completion (if purchased). • Tyler will instruct the Client how to load and verify the Purchase Order converted data. • The Client is responsible for verifying the Accounts Payable conversion process. • The Client will determine and approve the final converted data. • No Accounts Payable functional modifications are included within the <<TYPE>> Project scope. • Munis shall support the functional verification of the import of data into Accounts Payable from external third-party interfaces. 1.6.12 Bid Management The following outlines major assumptions and activities surrounding the Bid Management implementation phase of the Project: • Tyler will assist the Client in the analysis of Bid Management functionality (e.g., Commodity Code integration, Bid/Master Catalog, etc.). • The Client, with Tyler support, is responsible for the testing of selected functional options. • The Client, through data testing, will approve the functional options and setup. • No Bid Management functional modifications are included within the <<TYPE>> Project scope. 1.6.13 Contract Management The following outlines major assumptions and activities surrounding the Contract Management implementation phase of the Project: • Tyler will assist the Client in the selection and definition of Contract Management functional configuration options (e.g., Parameter File, Miscellaneous Codes, etc.). • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • No Contract Management functional modifications are included within the <<TYPE>> project scope. 1.6.14 Inventory The following outlines major assumptions and activities surrounding the Inventory implementation phase of the Project: • Tyler will assist the Client in the selection and definition of Inventory functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client will approve the functional configuration options and setup. • The Client, through data testing, will approve the functional configuration options and setup. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 11 • The Client with Tyler support shall conduct configuration testing and approval using sample data prior to conversion data loading or verification. • Tyler will provide an Inventory conversion spreadsheet and will review instructions for its use (if purchased). • Tyler will instruct the Client how to load and verify the Inventory converted data. • The Client is responsible for verifying the Inventory conversion. • The Client will approve the final converted data. • No Inventory functional modifications are included within the <<TYPE>> Project scope. 1.6.15 Fixed Assets The following outlines major assumptions and activities surrounding the Fixed Assets implementation phase of the Project: • Tyler will assist the Client in the selection and definition of General Ledger functional configuration options (e.g., Parameter Table, Class, Sub-Class, Department Codes, etc.). • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • The Client, with Tyler support, shall conduct configuration testing and approval using sample data prior to conversion data loading or verification. • Tyler will provide a Fixed Assets conversion spreadsheet and will review instructions for its completion (if purchased). • Tyler will instruct the Client how to load and verify the Fixed Assets converted data. • The Client will verify the Fixed Assets converted data. • The Client is responsible for verifying the Fixed Assets conversion process. • The Client will approve the final converted data. • No Fixed Assets functional modifications are included within the <<TYPE>> Project scope. 1.6.16 GASB 34 Report Writer The following outlines major assumptions and activities surrounding the GASB34 Report Writer implementation phase of the Project: • Tyler will assist the Client in the selection and definition of the GASB34 Report Writer functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client will approve the functional configuration options and setup. 1.6.17 Work Orders, Fleet & Facilities Management The following outlines major assumptions and activities surrounding the Inventory implementation phase of the Project: • Tyler will assist the Client in the selection and definition of Work Orders, Fleet & Facilities Management functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client will approve the functional configuration options and setup. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 12 • The Client, through data testing, will approve the functional configuration options and setup. • The Client with Tyler support shall conduct configuration testing and approval using sample data prior to conversion data loading or verification. • Tyler will provide a Work Orders, Fleet & Facilities Management conversion spreadsheet and will review instructions for its use (if purchased). • Tyler will instruct the Client how to load and verify the Work Orders, Fleet & Facilities Management converted data. • The Client is responsible for verifying the Work Orders, Fleet & Facilities Management conversion. • The Client will approve the final converted data. • No Work Orders, Fleet & Facilities Management functional modifications are included within the <<TYPE>> Project scope. 1.6.18 General Billing The following outlines major assumptions and activities surrounding the General Billing implementation phase of the Project: • Tyler will assist the Client in the selection and definition of General Billing functional configuration options (e.g., A/R Codes, Charge Codes, integration with Projects/Grant Accounting, etc.). • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client will approve the functional configuration options and setup. • The Client, through data testing, will approve the functional configuration options and setup. • The Client with Tyler support shall conduct configuration testing and approval using sample data prior to conversion data loading or verification. • Tyler will provide a General Billing conversion spreadsheet and will review instructions for its use (if purchased). • Tyler will instruct the Client how to load and verify the General Billing converted data. • The Client is responsible for verifying the General Billing conversion. • The Client will approve the final converted data. • No General Billing functional modifications are included within the <<TYPE>> Project scope. 1.6.19 Accounts Receivable/Cash Receipting The following outlines major assumptions and activities surrounding the Accounts Receivable/Cash Receipting implementation phase of the Project: • Tyler will assist the Client in the selection and definition of Accounts Receivable/Cash Receipting functional configuration options (e.g., A/R Code, A/R Parameter File, etc.). • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • No Accounts Receivable/Cash Receipting functional modifications are included within the <<TYPE>> Project scope. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 13 1.6.20 Tyler Forms Processing The following outlines major assumptions and activities surrounding the Tyler Forms Processing implementation phase of the Project: • Munis will implement Tyler Forms as applicable to the Purchase Order, Accounts Payable Checks and General Billing Forms. • Munis Project Manager coordinates Tyler Forms Implementation to insure Client’s requirements and schedule are communicated in a timely manner. • Client is responsible for responding to Tyler Forms Implementation print solutions information requests in a comprehensive and timely manner. • Client agrees to sign-off on form designs no later than sixty (60) days before go-live. • Client will approve the print solution options selected. • Munis will support the Client’s verification and test of the delivered print solutions. • The Client shall provide final approval of the Client’s print solutions. • Munis Project Manager, with the assistance of the Client Project Manager, will monitor the progress of the Tyler Forms deliverables to insure compliance with the Project Plan. 1.6.21 Munis Crystal Reports The following outlines major assumptions and activities surrounding the Crystal Reports implementation phase of the Project: • The Client shall have the Crystal Reports software installed and available before Munis begins Munis Crystal Reports interface training • Tyler will assist the Client in the creation of report structure detail (e.g. Headers, Footers, Field and Text Objects, etc.). • Tyler will provide exercises to assist during the Crystal Report training. • Munis Crystal Reports training provides and introductory exposure to Crystal Reports functionality, but does not include the development of specific reports. • Munis Crystal Reports training will not take place until a suitable database with Client specific information is available for reporting purpose. 1.6.22 Munis Office The following outlines major assumptions and activities surrounding the Munis Office implementation phase of the Project: • Munis shall introduce and provide training of the integration of the Munis Office with the Microsoft® Office Suite during the presentation of each applicable module. 1.6.23 Tyler Content Management The following outlines major assumptions and activities surrounding the Munis Content Management Software implementation phase of the Project: • Installation is handled by Tyler-Munis Installation Team and Client. • Training is accomplished through a Video presentation. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 14 1.6.24 Payroll The following outlines major assumptions and activities surrounding the Munis Payroll Software implementation phase of the Project: • Tyler will assist the Client in the selection and definition of Payroll functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • The Client, with Tyler support, shall conduct configuration testing and approval using sample data prior to conversion data loading or verification. • Tyler will provide a Payroll conversion spreadsheet and will review instructions for its completion (if purchased). • Tyler will instruct the Client how to load and verify the Payroll converted data. • The Client is responsible for verifying the Payroll conversion process. • The Client will determine and approve the final converted data. • The Client will complete a minimum of two parallel payroll cycles. • No Payroll functional modifications are included within the <<TYPE>> Project scope. 1.6.25 HR Management The following outlines major assumptions and activities surrounding the Munis HR Management Software implementation phase of the Project: • Tyler will assist the Client in the selection and definition of HR Management functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • The Client, with Tyler support, shall conduct configuration testing and approval using sample data prior to conversion data loading or verification. • Tyler will provide a HR Management conversion spreadsheet and will review instructions for its completion (if purchased). • Tyler will instruct the Client how to load and verify the HR Management converted data. • The Client is responsible for verifying the HR Management conversion process. • The Client will determine and approve the final converted data. • No HR Management functional modifications are included within the <<TYPE>> Project scope. 1.6.26 Applicant Tracking The following outlines major assumptions and activities surrounding the Munis HR Management Software implementation phase of the Project: • Tyler will assist the Client in the selection and definition of Applicant Tracking functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 15 • The Client, with Tyler support, shall conduct configuration testing and approval using sample data prior to conversion data loading or verification. • Tyler will provide an Applicant Tracking conversion spreadsheet and will review instructions for its completion (if purchased). • Tyler will instruct the Client how to load and verify the Applicant Tracking converted data. • The Client is responsible for verifying the Applicant Tracking conversion process. • The Client will determine and approve the final converted data. • No Applicant Tracking functional modifications are included within the <<TYPE>> Project scope. 1.6.27 Pension Tracking The following outlines major assumptions and activities surrounding the Munis Pension Tracking Software implementation phase of the Project: • Tyler will assist the Client in the selection and definition of Pension Tracking Software functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • The Client, with Tyler support, shall conduct configuration testing and approval using sample data. • No Pension Tracking functional modifications are included within the <<TYPE>> Project scope. 1.6.28 Timekeeping Interface The following outlines major assumptions and activities surrounding the Munis Timekeeping Interface implementation phase of the Project: • Tyler will assist the Client in the selection and definition of Timekeeping Interface functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • No Timekeeping Interface functional modifications are included within the <<TYPE>> Project scope. 1.6.29 Business Licenses The following outlines major assumptions and activities surrounding the Munis Business Licenses Software implementation phase of the Project: • Tyler will assist the Client in the selection and definition of Business Licenses functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • The Client, with Tyler support, shall conduct configuration testing and approval using sample data prior to conversion data loading or verification. • Tyler will provide a Business Licenses conversion spreadsheet and will review instructions for its completion (if purchased). • Tyler will instruct the Client how to load and verify the Business Licenses converted data. • The Client is responsible for verifying the Business Licenses conversion process. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 16 • The Client will determine and approve the final converted data. • No Business Licenses functional modifications are included within the <<TYPE>> Project scope. 1.6.30 Permits & Code Enforcement The following outlines major assumptions and activities surrounding the Munis Permits & Code Enforcement Software implementation phase of the Project: • Tyler will assist the Client in the selection and definition of Permits & Code Enforcement functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • The Client, with Tyler support, shall conduct configuration testing and approval using sample data prior to conversion data loading or verification. • Tyler will provide a Permits & Code Enforcement conversion spreadsheet and will review instructions for its completion (if purchased). • Tyler will instruct the Client how to load and verify the Permits & Code Enforcement converted data. • The Client is responsible for verifying the Permits & Code Enforcement conversion process. • The Client will determine and approve the final converted data. • No Permits & Code Enforcement functional modifications are included within the <<TYPE>> Project scope. 1.6.31 Central Property File The following outlines major assumptions and activities surrounding the Munis Central Property File Software implementation phase of the Project: • Tyler will assist the Client in the selection and definition of Central Property File functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • The Client, with Tyler support, shall conduct configuration testing and approval using sample data prior to conversion data loading or verification. • No Central Property File functional modifications are included within the <<TYPE>> Project scope. 1.6.32 Utility Billing • The following outlines major assumptions and activities surrounding the Munis Utility Billing Software implementation phase of the Project: • Tyler will assist the Client in the selection and definition of Utility Billing functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • The Client, with Tyler support, shall conduct configuration testing and approval using sample data prior to conversion data loading or verification. • Tyler will provide a Utility Billing conversion spreadsheet and will review instructions for its completion (if purchased). SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 17 • Tyler will instruct the Client how to load and verify the Utility Billing converted data. • The Client is responsible for verifying the Utility Billing conversion process. • The Client will determine and approve the final converted data. • No Utility Billing functional modifications are included within the <<TYPE>> Project scope. 1.6.33 UB Meter Reader Interface The following outlines major assumptions and activities surrounding the Munis UB Meter Reader Interface implementation phase of the Project: • Tyler will assist the Client in the selection and definition of the UB Meter Reader Interface functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • No UB Meter Reader Interface functional modifications are included within the <<TYPE>> Project scope. 1.6.34 Tax Billing The following outlines major assumptions and activities surrounding the Munis Tax Billing Software implementation phase of the Project: • Tyler will assist the Client in the selection and definition of Tax Billing functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • The Client, with Tyler support, shall conduct configuration testing and approval using sample data prior to conversion data loading or verification. • Tyler will provide a Tax Billing conversion spreadsheet and will review instructions for its completion (if purchased). • Tyler will instruct the Client how to load and verify the Tax Billing converted data. • The Client is responsible for verifying the Tax Billing conversion process. • The Client will determine and approve the final converted data. • No Tax Billing functional modifications are included within the <<TYPE>> Project scope. 1.6.35 CAMA Bridge The following outlines major assumptions and activities surrounding the Munis CAMA Bridge implementation phase of the Project: • Tyler will assist the Client in the selection and definition of the CAMA Bridge functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • No CAMA Bridge functional modifications are included within the <<TYPE>> Project scope. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 18 1.6.36 BSA Interface The following outlines major assumptions and activities surrounding the Munis BSA Interface implementation phase of the Project: • Tyler will assist the Client in the selection and definition of the BSA Interface functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • No BSA Interface functional modifications are included within the <<TYPE>> Project scope. 1.6.37 CLT Interface The following outlines major assumptions and activities surrounding the Munis CLT Interface implementation phase of the Project: • Tyler will assist the Client in the selection and definition of the CLT Interface functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • No CLT Interface functional modifications are included within the <<TYPE>> Project scope. 1.6.38 Tax Title/Tax Sale/Tax Lien The following outlines major assumptions and activities surrounding the Munis Tax Title/Tax Sale/Tax Lien Software implementation phase of the Project: • Tyler will assist the Client in the selection and definition of Tax Title/Tax Sale/Tax Lien Software functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • Tyler will provide a Tax Title/Tax Sale/Tax Lien conversion spreadsheet and will review instructions for its completion (if purchased). • Tyler will instruct the Client how to load and verify the Tax Title/Tax Sale/Tax Lien converted data. • The Client is responsible for verifying the Tax Title/Tax Sale/Tax Lien conversion process. • The Client will determine and approve the final converted data. • The Client, with Tyler support, shall conduct configuration testing and approval using sample data prior to conversion data loading or verification. • No Tax Title/Tax Sale/Tax Lien functional modifications are included within the <<TYPE>> Project scope. 1.6.39 Delinquent Process The following outlines major assumptions and activities surrounding the Munis Delinquent Process implementation phase of the Project: • Tyler will assist the Client in the selection and definition of the Delinquent Process functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 19 • The Client, through data testing, will approve the functional configuration options and setup. • No Delinquent Process functional modifications are included within the <<TYPE>> Project scope. 1.6.40 Income Tax The following outlines major assumptions and activities surrounding the Munis Delinquent Process implementation phase of the Project: • Tyler will assist the Client in the selection and definition of the Income Tax functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • No Income Tax functional modifications are included within the <<TYPE>> Project scope. 1.6.41 Boat Excise The following outlines major assumptions and activities surrounding the Munis Boat Excise Software implementation phase of the Project: • Tyler will assist the Client in the selection and definition of Boat Excise functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • The Client, with Tyler support, shall conduct configuration testing and approval using sample data prior to conversion data loading or verification. • Tyler will provide a Boat Excise conversion spreadsheet and will review instructions for its completion (if purchased). • Tyler will instruct the Client how to load and verify the Boat Excise converted data. • The Client is responsible for verifying the Boat Excise conversion process. • The Client will determine and approve the final converted data. • No Boat Excise functional modifications are included within the <<TYPE>> Project scope. 1.6.42 Excise Tax The following outlines major assumptions and activities surrounding the Munis Excise Tax Software implementation phase of the Project: • Tyler will assist the Client in the selection and definition of Excise Tax functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • The Client, with Tyler support, shall conduct configuration testing and approval using sample data prior to conversion data loading or verification. • Tyler will provide an Excise Tax conversion spreadsheet and will review instructions for its completion (if purchased). • Tyler will instruct the Client how to load and verify the Excise Tax converted data. • The Client is responsible for verifying the Excise Tax conversion process. • The Client will determine and approve the final converted data. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 20 • No Excise Tax functional modifications are included within the <<TYPE>> Project scope. 1.6.43 NC Motor Vehicle Billing The following outlines major assumptions and activities surrounding the Munis Motor Vehicle Billing Software implementation phase of the Project: • Tyler will assist the Client in the selection and definition of Motor Vehicle Billing functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • The Client, with Tyler support, shall conduct configuration testing and approval using sample data prior to conversion data loading or verification. • Tyler will provide a Motor Vehicle Billing conversion spreadsheet and will review instructions for its completion (if purchased). • Tyler will instruct the Client how to load and verify the Motor Vehicle Billing converted data. • The Client is responsible for verifying the Boat Excise conversion process. • The Client will determine and approve the final converted data. • No Motor Vehicle Billing functional modifications are included within the <<TYPE>> Project scope. 1.6.44 IL Vehicle Sticker The following outlines major assumptions and activities surrounding the Munis Illinois Vehicle Sticker Software implementation phase of the Project: • Tyler will assist the Client in the selection and definition of the Illinois Vehicle Sticker functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • The Client, with Tyler support, shall conduct configuration testing and approval using sample data prior to conversion data loading or verification. • Tyler will provide an Illinois Vehicle Sticker conversion spreadsheet and will review instructions for its completion (if purchased). • Tyler will instruct the Client how to load and verify the Illinois Vehicle Sticker converted data. • The Client is responsible for verifying the Illinois Vehicle Sticker conversion process. • The Client will determine and approve the final converted data. • No Illinois Vehicle Sticker functional modifications are included within the <<TYPE>> Project scope. 1.6.45 VA Motor Vehicle Decal The following outlines major assumptions and activities surrounding the Munis Virginia Motor Vehicle Decal Software implementation phase of the Project: • Tyler will assist the Client in the selection and definition of the Virginia Motor Vehicle Decal functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 21 • The Client, with Tyler support, shall conduct configuration testing and approval using sample data prior to conversion data loading or verification. • Tyler will provide a Virginia Motor Vehicle Decal conversion spreadsheet and will review instructions for its completion (if purchased). • Tyler will instruct the Client how to load and verify the Virginia Motor Vehicle Decal converted data. • The Client is responsible for verifying the Virginia Motor Vehicle Decal conversion process. • The Client will determine and approve the final converted data. • No Virginia Motor Vehicle Decal functional modifications are included within the <<TYPE>> Project scope. 1.6.46 Parking Tickets The following outlines major assumptions and activities surrounding the Munis Parking Tickets Software implementation phase of the Project: • Tyler will assist the Client in the selection and definition of the Parking Tickets functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • The Client, with Tyler support, shall conduct configuration testing and approval using sample data prior to conversion data loading or verification. • Tyler will provide a Parking Tickets conversion spreadsheet and will review instructions for its completion (if purchased). • Tyler will instruct the Client how to load and verify the Parking Tickets converted data. • The Client is responsible for verifying the Parking Tickets conversion process. • The Client will determine and approve the final converted data. • No Parking Tickets functional modifications are included within the <<TYPE>> Project scope. 1.6.47 Enforcement Technology Handheld Interface The following outlines major assumptions and activities surrounding the Munis Enforcement Technology Handheld Interface implementation phase of the Project: • Tyler will assist the Client in the selection and definition of the Enforcement Technology Handheld Interface functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • No Enforcement Technology Handheld Interface functional modifications are included within the <<TYPE>> Project scope. 1.6.48 NC Jury Selection The following outlines major assumptions and activities surrounding the Munis Enforcement Technology Handheld Interface implementation phase of the Project: • Tyler will assist the Client in the selection and definition of the NC Jury Selection functional configuration options. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 22 • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • No NC Jury Selection functional modifications are included within the <<TYPE>> Project scope. 1.6.49 Voter The following outlines major assumptions and activities surrounding the Munis Voter Software implementation phase of the Project: • Tyler will assist the Client in the selection and definition of the Voter functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • The Client, with Tyler support, shall conduct configuration testing and approval using sample data prior to conversion data loading or verification. • Tyler will provide a Voter conversion spreadsheet and will review instructions for its completion (if purchased). • Tyler will instruct the Client how to load and verify the Voter converted data. • The Client is responsible for verifying the Voter conversion process. • The Client will determine and approve the final converted data. • No Voter functional modifications are included within the <<TYPE>> Project scope. 1.6.50 Animal Licenses The following outlines major assumptions and activities surrounding the Munis Animal Licenses Software implementation phase of the Project: • Tyler will assist the Client in the selection and definition of the Animal Licenses functional configuration options. • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • The Client, with Tyler support, shall conduct configuration testing and approval using sample data prior to conversion data loading or verification. • Tyler will provide an Animal Licenses conversion spreadsheet and will review instructions for its completion (if purchased). • Tyler will instruct the Client how to load and verify the Animal Licenses converted data. • The Client is responsible for verifying the Animal Licenses conversion process. • The Client will determine and approve the final converted data. • No Animal Licenses functional modifications are included within the <<TYPE>> Project scope. 1.6.51 Dashboard The following outlines major assumptions and activities surrounding the Munis Dashboard implementation phase of the Project: • Tyler will assist the Client in the selection and definition of the Dashboard functional configuration options. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 23 • The Client, with Tyler support, is responsible for the testing of selected configuration options. • The Client, through data testing, will approve the functional configuration options and setup. • No Dashboard functional modifications are included within the <<TYPE>> Project scope. 1.7 Data Conversion The conversion process for the Munis Implementation includes the following data sources. General Ledger Standard Chart of Accounts Option 1 Summary Balances up to 3 years Option 2 Budget Summary up to 3 years Accounts Payable Standard Vendors, Remittance Addresses, 1099 Amounts Option 1 AP Check History (Header, Detail) Option 2 AP Invoices (Header, Detail) Purchase Orders Standard Purchase Orders (Header/Detail) Fixed Assets Standard Master, GL Accounts, Funding Source, Purchase History. Option Fixed Assets History Inventory Standard Master Option 1 Commodity Codes Work Order/Fleet Maintenance Option 1 Work Order Option 2 Fleet History Option 3 Facilities SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 24 General Billing Standard CID Option 1 Recurring Invoices Option 2 Bills (Header, Detail), Payment History, Invoices Payroll, Human Resources, Applicant Tracking Standard Employee Master, Address Option 1 Deductions Option 2 Accruals (Vacation, Sick, Personal, etc.) Option 3 Accumulators (Earnings & Deductions totals by period) Option 4 Check History Option 5 Earnings & Deduction History Option 6 Applicant Tracking Option 7 Personnel Action History Option 8 Position Control History Option 9 State Retirement Tables Option 10 Certifications Option 11 Education Permits & Code Enforcements Standard Master Option 1 Applications Option 2 Violations Option 3 Inspections Business Licenses Standard BL Master, Customer Accounts Option 1 Bills (Header Detail) Utility Billing Standard UB Accounts, CIDs Option 1 Services/Meter Inventory Option 2 Assessments Option 3 Consumption History Option 4 Balance Forward AR Option 5 Service Orders SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 25 Option 6 Backflow Real Estate & Personal Property Tax Standard RE & PP Master, CID, Bills (Header, Detail), Payment History, Special Conditions Option 1 Tax Sale/Lien (CT, NY & MD only) Motor Vehicle Excise Tax Standard MV Master , Customer Accounts Option 1 Situs (NC Only) Option 2 Bills (header, detail), Payment History, Abatements/Adjustments Boat Excise Standard Master, CID Option 1 Bills (header, Detail), Payment History (Header, Detail), Tax Bill Activity Animal Licenses Standard Customer Accounts, Master Option 1 Bills (Header, Detail) Parking Tickets Standard Parking Ticket Master, Owner Plates, Customer Accounts Option 1 Bills (Header, Detail) Voter Standard Master Option 1 History The recommended process consists of the following main steps: 1. Team Planning and Direction 2. Table Mapping 3. Legacy Data Translation 4. Table Importing/Loading 5. Table Validation 6. Production (final) Data Validation SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 26 1.7.1 Conversion Process Steps and Activities Step 1: Team Planning and Direction: Informal training for the conversion team about the process and objectives of each step; the establishment of the roles and responsibilities to support the business decision process associated with the conversion. The conversion of the existing data will probably involve several business decisions in respect of the way the legacy data is mapped onto the Munis program tables. Step 2: Table Mapping The process of mapping the existing data to the Munis tables and making the necessary decisions for conversion; there is a recommended sequence for the consideration of the tables as represented within the conversion spreadsheets. Step 3: Legacy Table Translation The development and testing of the programs and/or processes used to create the data using the mapping rules. During this phase there will need to be regular revision of the results by the conversion team as data anomalies and exception conditions are discovered. Step 4: Table Importing/Loading This function takes the Legacy source data and populates the applicable Munis tables. Step 5: Table Validation The processing of the validation and integrity checking of the data followed by the correction of errors and the rerunning of validations; the creation processes developed in step 3 will need to be revised and rerun until the process is clean and ready for go live implementation. Step 6: Production (Final) Data Validation The process of creating the full production data from the ready for production, repeated until all errors and anomalies have been corrected. There are several processes run in a specific sequence to set up the table relationships and balance the financial data. Again, errors detected during this process could result in revisions of step 3 and 4. 1.7.2 Conversion Assumptions The following outlines the major assumptions and activities surrounding the conversion processes. • <<Client>> shall provide all legacy data in Munis standard conversion file formats. • Tyler shall provide definition of the standard file formats. • <<Client>> and Tyler will determine critical legacy sources for validation, e.g. reports, selected records, etc. • <<Client>> will generate required reports for validation in conjunction with data extraction. • Tyler shall provide Error Reports with explanation of discrepancies which may create a situation that will require manual maintenance at live. • <<Client>> will load data into Training database, and all verification will occur in the Training database. • Tyler shall not proceed with end-user training until acceptance and approval of the verification performed within the Training database is received from <<Client>>. • <<Client>> will insure that data is not loaded into the Live database until <<Client>> has provided written acceptance and approval of the verification performed within the Training database. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 27 • Prior to the final conversion process <<Client>> will suspend activity in their legacy system in accordance with the Project Plan. Tyler and <<Client>> will mutually agree as to when this suspension period should begin. • <<Client>> shall notify Tyler if <<Client>> takes over maintenance of converted master tables before all conversion steps for that module are complete. 1.8 Project Scope Approval and Commitment The following signatures represent the understanding and acceptance of the approach for the Munis Financials Project Phase as described within this Project Scope document: EXECUTIVE SPONSORS Tyler Signature ____________________________ Date________________ <<Client>> Signature _____________________________ Date________________ PROJECT MANAGERS Tyler Signature ____________________________ Date________________ <<Client>> Signature _____________________________ Date________________ SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 28 Section 2 Change Management 2.1.1 Introduction This Change Management overview has been developed for Munis Implementation Project Management to share with Client Project Management. This overview will introduce the theories and perspectives of Change Management. Understanding and using the change management strategy will be central to the ultimate application and success of your Munis Implementation. Client Project Management is encouraged to understand and manage change within their organization during the Munis implementation. Suggested website for additional Change Management information: http://www.change-management.com/ 2.1.2 Change Management Overview Change management is a structured process and set of tools for leading the people side of change. 2.1.2.1 The Natural Reaction to Change is Resistance • Expect resistance • Plan for resistance • Understand resistance 2.1.2.2 Primary Reasons for Change Management Strategies • Increase probability of project success • Manage employee resistance to change • Build change competency into organization 2.1.2.3 Integration of Project Management and Change Management Project Management is: Concrete and Tangible Manages processes, technology and organizational change Well understood and implemented at project conceptions Change Management is: Broad ,vague, intangible Manages the people side of change Typically not well understood and implemented after the fact SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 29 Integration of project management and change management planning at the inception of the project promotes project success. 2.1.2.4 Three Critical Elements for Successful Change • Executive Leadership - the required leadership to set the necessary changes into motion • Project Management - the fundamentals of managing a project, including the design of work tasks and the management of resources to implement changes on time and on budget • Change Management - the people side of change - represents the actions taken by the organization to help employees transition from the current state to the desired future state SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 30 2.1.3 Change is a Process The concept that "change is a process" has been well documented in change management literature for many years. By breaking change down into discrete process elements, change management practitioners can adapt their strategies and techniques based on the unique attributes of that phase. The most common lesson from this model for change is that managers must avoid treating change as a single meeting or announcement. The manager's role in change must be active and visible in all phases of the change process. A second important practical application for this concept is that change management activities must be tailored according to where you are in the change process. As a project moves from one phase to the next, the change management activities will shift to meet the changing needs of the organization. A larger lesson is that change must be viewed both as an organizational process and as an individual process. See Appendix for Self Assessment Tools. 2.1.3.1 Concepts of Change as a Process • Managers must avoid treating change as a single meeting or announcement. The manager's role in change must be ongoing, active and visible in all phases of the change process. • Change management activities must be tailored according to where you are in the change process. • Effective change management requires both an organizational and individual change management approach. • The timing for successful change should be dictated by the needs of the business to succeed and not by the readiness of employees. The faster the change, the more change management is required to prepare and enable employees. 2.1.4 Prosci © and the Change Management Learning Center Three Phase Change Management Process Phase 1 - Preparing for change o Prepare your team and/or staff for change management SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 31 o Enable your sponsors to support the change o Conducting the readiness assessments Phase 2 - Managing change o Awareness of the need for change (why) o Desire to support and participate in the change (our choice) o Knowledge about how to change (the learning process) o Ability to implement the change (turning knowledge into action) o Reinforcement to sustain the change (celebrating success) Phase 3 - Reinforcing Change o Collect and analyze feedback o Diagnose gaps and manage resistance o Implement corrective actions and celebrate successes 2.1.5 Change Management Communication Plan Communication is the most important and powerful tool in the Change Management strategy to breed change success. Sharing information with employees before, during and after a change will generate Awareness and Desire before the change; Knowledge and Ability during the change and Reinforcement after the change. See Appendix for sample communication plan. At the first indication of change, the sponsor of the change (City Manager, Senior Management or Project Manager) should use multiple communication venues and clearly state the following information to employees at least 5-7 times: • WHAT the change is • WHY the change is necessary • HOW the change will happen. • EXPECTATION of employees regarding the change 2.1.5.1 Communication Criteria Change Management Communications should implement the following criteria when communicating with employees: • Repeat messages 5 to 7 times • Use face-to-face – the most powerful form of communication • Answer WIIFM – (What’s in it for me?) • Utilize Q&A format – Gather Feedback, Respond to Feedback • Understand their interpretation – the employee version 2.1.6 Change Management Resistance Tools SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 32 Resistance is the norm, but your job as change managers is to understand the root cause of the resistance and address it. When employees resist change, you should first look upward in the organization. If you examine the management chain above the resistant employees, you may find the source of resistance to be a manager above these employees. If this is the case, you should address that point of resistance before addressing resistance with employees. Once you have found the highest point of resistance in that management chain, you can begin to remove the barrier to change. See Appendix for Self Assessment Tools. 2.1.7 Change Management APPENDIX 2.1.7.1 Change Management Communication Plan Communication should take place before, during and after the change: Audience: All Employees Timing Message Content Delivery Mechanism Sender Date and Time First indications of Change” Multiple Communications What, why, and how is the change happening Presentation, Email, Intranet, Newsletter, Bulletin Board Sponsor and Project Manager Early stages of the project How the change will be implemented Presentation, Email, Intranet, Newsletter, Bulletin Board Sponsor and Manager or Supervisor During the design of the change Who will be affected by the change Presentation, Email, Intranet, Newsletter, Bulletin Board Project Manager Before Implementation When will training begin, who will be trained, where to find information Presentation, Email, Intranet, Newsletter, Bulletin Board Project Manager During the Implementation When and where of the training, workshops, information sessions Presentation, Email, Intranet, Newsletter, Bulletin Board Project Manager Post Implementation Ask for feedback, audit compliance with change Presentation, Email, Intranet, Newsletter, Bulletin Board Project Manager 2.1.7.2 Change Management Assessment Tools SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 33 Self Assessment for Change Management Do you feel that you have been presented with the correct information to understand the business reasons, benefits and risks of the current project? 1=No Awareness 2=Some Awareness 3=Neutral/Don’t know 4=Good Awareness 5=Great Awareness RANK Do you have the motivation and desire to help bring the current project to a successful implementation? 1=No Desire 2=Some Desire 3=Neutral/Don’t know 4=Good Desire 5=Great Desire RANK Do you have a clear understanding of the skills and knowledge necessary to bring the current project to success within your functional area? 1=No Knowledge 2=Some Knowledge 3=Neutral/Don’t know 4=Good Knowledge 5=Great Knowledge RANK Have you developed proficiency with the current project change in your functional area? 1=No Ability 2=Some Ability 3=Neutral/Don’t know 4=Good Ability 5=Great Ability RANK Are there incentives in place to help retain the change that the current project is bringing to your organization? 1=No Reinforcement 2=Some Reinforcement 3=Neutral/Don’t know 4=Good Reinforcement 5=Great Reinforcement RANK Are there any BARRIERS inhibiting your personal success with the current project? If so, what are they? SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 34 Are there any ENABLERS that have helped you succeed with the current project? If so, what are they? How do you rank your over-all progress and success with the current project? 1=No Success/Progress 2=Some Success/Progress 3=Neutral/Don’t know 4=Good Success/Progress 5=Great Success/Progress RANK SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 35 Self Assessment for Change Management - Small Are there any BARRIERS inhibiting your personal success with the current project? If so, what are they? Are there any ENABLERS that have helped you succeed with the current project? If so, what are they? How do you rank your over-all progress and success with the current project? 1=No Success/Progress 2=Some Success/Progress 3=Neutral/Don’t know 4=Good Success/Progress 5=Great Success/Progress RANK Change Management Resistance Self Assessment Self Assessment for Change Management - Resistance SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 36 Do you feel that you have been presented with the correct information to understand the business reasons, benefits and risks of the current project change? 1=No Understanding 2=Little Understanding 3=Neutral/Don’t know 4=Good Understanding 5=Great Understanding RANK Do you have the motivation and desire to help bring the current project change to a successful implementation? 1=No Motivation 2=Little Motivation 3=Neutral/Don’t know 4=Good Motivation 5=Great Motivation RANK Do you have a clear understanding of the skills and knowledge necessary to be proficient with the current project change? 1=No Knowledge 2=Little Knowledge 3=Neutral/Don’t know 4=Good Knowledge 5=Great Knowledge RANK Do you have the ability to take the skills and knowledge you have acquired and turn them into action to succeed with the current project change? 1=No Ability 2=Little Ability 3=Neutral/Don’t know 4=Good Ability 5=Great Ability RANK Are there incentives in place to help sustain the current project change that is currently being implemented within your organization? 1=No Reinforcement 2=Little Reinforcement 3=Neutral/Don’t know 4=Good Reinforcement 5=Great Reinforcement RANK Are there any BARRIERS inhibiting your personal success with the Project change? SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 37 If so, what are they? Are there any ENABLERS that have helped you succeed with the Project change? If so, what are they? How do you rank your over-all progress and success with the current project change? 1=No Success/Progress 2=Little Success/Progress 3=Neutral/Don’t know 4=Good Success/Progress 5=Great Success/Progress RANK Prosci ©Change Management Top-Ten Methods to Manage Resistance Method 1 - Listen and Understand Objections A critical step any manager should take when creating desire to change is to listen. The power of true listening and empathy is often underestimated. In many cases employees simply want to be heard and to voice their objections. Understanding these objections can often provide a clear path toward resolution. Listening can also help managers identify misunderstandings about the change. Rumors and background conversation often produce incorrect messages and wrong perceptions. Only through listening can managers identify these wrong perceptions and provide a correct and clear story about the change. Caution: When engaging in this process, managers should avoid debating or arguing with employees. The goal is to listen and understand, and provide clarity about the change. Method 2 - Focus on the "what" and let go of the "how" In some types of changes, it is effective for managers to let go of the "how" and simply communicate "what" needs to change. This process transfers ownership of the solution to employees. Managers can share a clear vision of the end state, along with specific goals and timelines with employees. Employees then take on the task of achieving that vision. Employee involvement and ownership naturally builds desire to support the change, and ensures that employee objections are addressed in their solution. This technique is especially useful in small groups or departments in which the change falls within the scope of that group, and has little or no impact on other groups or departments. Caution: If any combination of the following characteristics is present, then this process is more difficult to implement: • a change becomes significantly large such that cross-department coordination and design is required • the total number of employees is sufficiently large that they all cannot reasonably be involved in and take ownership of the design • the design of the future state is already pre-determined and cannot be changed • the change is dramatic and is happening quickly Attempts to simulate employee participation through interviews, focus groups and other channels of collecting input from large groups of employees can backfire. Employee input does not equal employee ownership of the change. Input from employees is a good and necessary process, but will not necessarily create a desire to change when direct involvement and ownership are absent. Method 3 - Remove Barriers SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 38 Desire to change can be inhibited by obstacles or barriers. These barriers may relate to family, personal issues, physical limitations or money. The first step when using this method is to have followed Method 1 so that you fully understand the individual situation with this employee. What may appear to be resistance or objections to the change may be disguised barriers that the employee cannot see past. Identify the barriers clearly. Determine ways that the business may be able to address these barriers. For example, if a change involves assigning a manager to a new location that requires commuting 2-hours each way, then a barrier for this manager may be a son or daughter who does not want to leave their current school (nor does the parent wish to miss the activities of their child). By allowing this manager to arrange a home office for two or three days each week, then the barrier to change related to family impact may be removed. Method 4 - Provide Simple, Clear Choices and Consequences Building desire is ultimately about choice. Managers can facilitate this process by being clear about the choices employees have during change. In many cases, the actual change may be out of the control of front-line supervisors and managers. In these cases, it is very important that managers communicate in simple and clear terms what the choices and consequences are for each employee. The City of Denver, Colorado, recently began one of the largest road construction projects in the state to widen the primary interstate highway that runs through the city. This project is called T-Rex. The design and building process were carefully planned many years before construction actually began. The construction crews on this project did not have control over the final design nor the construction sequence. Commuters certainly did not have control. However, this project was a role model for managing complex change. In this case the citizens of Denver and the surrounding areas were those impacted by the change. The project team created an ongoing communication campaign involving TV, radio and other media to: • Let people know what would happen and when. • Provide alternate routes and choices for commuting into Denver. • Share the consequences of taking certain routes at certain times, including providing ongoing information about the expected delays along each route. In this example, the change was going to happen no matter what. Yet, by communicating the choices to commuters and the potential consequences of each choice, some degree of control is given back to these commuters. That is also true of changes at work. Even when the change is defined and outside of local control, by providing simple and clear choices along with the consequences of those choices, you can put the ownership and control back into the hands of employees. Method 5 - Create Hope Many people will respond to the opportunity for a better future. They want to have hope. Managers can create desire to change by sharing their passion for change, creating excitement and enthusiasm, and creating hope in a better future for employees and for the organization. People will follow a leader that can create hope and whom they respect and trust. This method is the most effective when executive leadership, through visible and active participation with employees, creates hope and energy around the future state. Caution: Creating hope takes a special kind of person. We have all known individuals in our lives and throughout history that have the traits of leadership that cause people to hope and to follow. They create a vision and build promise for a better future. Public figures include John F. Kennedy, Martin Luther King, and Gandhi. Leaders with these qualities are rare but not absent in both government and in business today. If your organization has this type of leadership, then building desire to change becomes much easier. Method 6 - Show the Benefits in a Real and Tangible Way For some employees seeing is believing. Demonstrating the benefits of change in a real and tangible way can create desire with employees. Examples could include: SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 39 • Sharing case studies of other companies who have successfully completed a similar change (and the results they achieved). • Inviting guests to provide personal testimonials of how a similar type of change resulted in success for their organization. • Visibly demonstrating the success of pilot programs or trials within your own organization (share small wins and celebrate success publicly). Making the change real and demonstrating that success is possible can remove doubts and fears that some employees feel about change. Method 7 - Make a Personal Appeal When a manager has a close working relationship with an employee, using a personal appeal to support the change can create desire within an employee. A personal appeal works best with honest, open relationships where there is a high degree of trust and respect. A personal appeal may sound like: "I believe in this change." "It is important to me." "I want your support." "If you go with me on this, I will make sure this works out." In a personal appeal, there is both an emotional component and an expectations component (“I'm counting on you"). The emotional component is part of each persons desire to support the people they are close to and whom they trust. The "I'm counting on you" component has built in a sense that the employee will be taken care of in the future, regardless of how things turn out with the change. Both of these elements can build desire to support change. Method 8 - Convert the Strongest Dissenters Within every organization there exist outspoken opinion leaders. When one or more of these strong and vocal employees are against change, they can negatively influence many other employees within the organization. By targeting these strongest dissenters, managers can use special tactics and interventions suggested here to convert these employees to support the change. By doing so, the strongest dissenters can become your strongest advocates. They are often equally vocal in their support as they were in their resistance. By focusing your energy on a few strong resistors rather than on large groups of employees, two objectives are achieved for building desire to change. First, you regain some control over the powerful background conversation that takes place around the coffee pot and during breaks between employees. Second, you gain sponsors of change that are already influential with their peers. If you are not successful in converting these strongest dissenters, then Method 9 may be a viable option. Method 9 - Create a Sacrifice Often termed the "sacrificial lamb," removing a key manager that is demonstrating resistance to change sends a powerful signal to the organization as a whole. The message is: • They are serious about this change. • Resistance will not be tolerated. • The consequences for not moving ahead with the organization are real and severe. This method for creating desire to change is best used with a "Group 3" employee as discussed earlier. Often times these employees would be leaving the organization soon anyway. It is not necessary for this to be a negative experience for the employee that is leaving. Termination packages, early retirement offerings or a number of other programs can make this process good for the manager leaving, and at the same time send the right message to the organization. Does this always need to be perceived by other employees as a harsh course of action? A recent case study shows how this method was used in a way that was not hurtful to the organization or the person leaving. A senior level manager at a financial services firm was outspoken and critical of changes planned in both processes and systems. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 40 The resistance continued long enough that many employees came to the conclusion that this change would not happen after all. They had learned from past experience that if this key manager was opposed to the change, then it did not happen. The resistance was so plain that even an external consultant commented on the risk. Since the culture and values in this organization were very family-oriented (we take care of one another), imagine the surprise when the CEO announced that this resistant manager would be leaving the organization. What was notable in this case, however, was how the termination was presented in public. The manager was being given a celebration send- off and early retirement plan for his long-standing contribution to the company. The separation was positive for the manager, and, in his own way, the CEO sent a message to the organization. That message was that we can manage change and continue to live our values. Caution: Organizations should not look for a sacrificial lamb as a standard practice. This tool should be used after other options have failed and the change is at risk. When fear is created in an organization, this fear can play out in both negative and positive ways. Once a decision like this has been made, the organization needs to carefully manage the fallout from this approach. Method 10 - Use Money or Power When mid-level or senior managers are resistant to change, yet are critical to the success of the change and the organization, two incentives may be required to secure their support. These incentives would be used when all other methods for building desire have failed. • Increase their compensation or create a bonus program such that they are directly rewarded for the successful completion of the change. • Offer a promotion to a position they desire. In short, bargain. When a manager is necessary to ensure a smooth transition, and assuming that other barriers, obstacles or objections have been removed, then at some point you have to decide what you are willing to give up in order to gain their support. What is their contribution worth to the business, and how can the business negotiate for this endorsement and support. This negotiation should be specific on the actions and behaviors that are expected to support the change. An example of the need for this negotiation is with mergers and acquisitions. In these types of changes, key managers are necessary for successful transition. However, some of these key managers may have opposed the buy- out or merger. These special circumstances require different methods for keeping these critical managers on-board. Money and position are two tools that may create a desire to support the change in these circumstances. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 41 Section 3 Communication Plan 3.1 Document Control Information Document Number Munis - <<Client>> - 001 Document Title: Financials Phase Communications Plan Document File: Creation Date: Created By: Document Status: INITIAL VERSION 3.2 Change Control History Change Control Number Change Date Description 3.3 Project Communication Plan Overview 3.3.1 Description The Project Communication Plan identifies and describes the formal and informal communications that are critical throughout the Munis project. The Plan includes specific information regarding the type of communication, purpose, scope, objectives, audience, responsibilities, format, and timings. The formal committees, meetings, and communications identified in this plan will evolve as the project progresses through the various phases of testing and as the implementation of the system approaches. This plan should be updated by <<Client>> to reflect those changes. 3.3.2 Purpose The purpose of the Project Communication Plan is to outline the specific project communications that are required in order to successfully execute and manage the implementation of the Munis product. Communications are dependent on <<Client>> Management, <<Client>> Project Manager, Tyler Project Manager, Munis Business/Implementation Analysts, Munis Support, Team Leads, and Team Members to provide information and input regarding the need, opportunities, focus, target audience, content, and feedback related to communications throughout the Munis Implementation project lifecycle. The Project Team will: SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 42 • Identify all internal/external stakeholders and stakeholders’ need for project information • Provide accessible documentation of project status, actions, issues, risks, and change management requests • Communicate resource requirements to internal and external stakeholders While Tyler recognizes that <<Client>> has its own resources for managing communications (i.e. networks, websites, etc), Tyler has a dedicated communication resource tool for the Project. All documents related to the Munis Implementation Phase of Project will be posted to the Tyler SharePoint site, under the <<Client>>. An effective Project Communication Plan will be used to ensure that the project team is working together as a cohesive and unified group while creating a method to effectively and regularly deliver a status of the overall project to all stakeholders. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 43 3.4 Summary of Communication Plan Elements The following table summarizes the strategies used to meet the documented goals of the Communication Plan: Vehicle of Communication Audience Frequency Medium Owner(s) Date Delivered Expected Result Kick Off Meetings Client Project Manager, Functional Leaders, Project Team Start of Overall Project and each sub-project Presentation Tyler PM Client will receive information from Tyler PM to assist in planning and executing project. Executive Mandate Organization Start of Overall Project and each sub-project if necessary Letter Client Executive Officer Organization will understand the purpose and importance of the project as well as the level of commitment required to make it successful. Phase Planning Meetings Functional Leaders, Project Team Start of Overall Project and each sub-project Planning Document Tyler PM, Client PM Roles and responsibilities will be outlined as well as Scope review, communication streams, Quality Assurance processes and initial schedule development. Project Status Management Meetings Client Management Quarterly Status Reports, Budget Reports Client PM Provide overall project direction, executive sponsorship, and support in the adoption of new technology and business processes. Project Team Meetings Functional Leaders, Project Team Weekly Status Reports Client PM Provide key project participants and client management with detailed information regarding project task status, schedules, progress, and budget. Tyler Implementation Status Meetings Tyler PM and Client PM Bi-Weekly until 90 days from LIVE, then Weekly Issues Lists, Schedules, Deliverables Client PM Establish an effective channel of communications with the Tyler project team to ensure coordination of all tasks and completion of all activities. FAQ Document Organization Evolving Hardcopy, SharePoint Client PM Answer frequently asked questions about the project and its benefits SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 44 Project Plan Client Project Manager, Functional Leaders, Project Team Evolving Hardcopy, SharePoint Tyler PM Communicate clearly defined tasks, milestones, schedules and dependencies. Project Status Reports Client Project Manager, Functional Leaders, Project Team, Tyler PM Bi-Weekly Email Tyler PM Provide effective and timely communication to the key project stakeholders on the status of the Tyler Project at a detailed level. The goal is to keep the project stakeholders abreast of the current project status, project issues, upcoming events, and project milestones at a detailed level. Delivery point will be to Client PM for distribution. Critical Stop Sign- Offs Client Project Manager, Functional Leaders, Project Team, Tyler PM Evolving Hardcopy Tyler PM Provide clear acceptance and authorization to proceed. Project Web Space or Shared Directory Functional Leaders, Project Team, Organization, Community Evolving SharePoint Client PM Provide information and support for the project goals to the community and organization as well as providing access to key documents, schedules, etc. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 45 3.5 Meetings 3.5.1 Kick-Off Meeting(s) a) Purpose: The purpose of the Kick-Off Meeting is to outline the project progression, review roles and responsibilities, and inform <<Client>> with enough detail to allow for adequate project planning. <<Client>> Management Team is ultimately responsible for creating a receptive environment and establishing standards for the acceptance of change, enhanced business processes and information availability. b) Objectives: The objectives of the Kick-Off Meeting(s) are to: • Provide communications on the overall Munis Project to key stakeholders. • Identify, discuss, and facilitate the timely assignment of roles and responsibilities related to the project. • Determine target live dates and review associated project milestones, critical path activities, and project tasks. • Begin the process of building a unified Project Team. c) Members and Attendees: The Kick-Off Meeting will be attended by the following members: <<Client>> Project Manager – Jason Mann <<Client>> Project Sponsor – <<Client>> IT Services Director – Jonathan Feldman <<Client>> Finance Department Functional Leaders <<Client>> Human Resources Department Functional Leaders <<Client>> Business License Department Functional Leaders <<Client>> Utility Billing Department Functional Leaders <<Client>> Parking Tickets Department Functional Leaders Tyler Project Manager – Tyler TCS Manager – Tyler Financials Project Manager – Tyler Sales Representative – Tyler Regional Manager – Penny Parsons Other members of the Project Team will attend on an as required basis. d) Responsibilities: <<Client>> Project Manager and Tyler Project Manager will: • Schedule the Kick-Off meetings • Publish a recommended agenda prepared by the Tyler Project Manager SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 46 • Approve the attendance of any subject matter experts required to discuss agenda topics • Facilitate the meeting e) Owner: Tyler Project Manager f) Format: The Tyler Project Manager will prepare the agenda for the Kick-Off Meeting. <<Client>> Project Management Team will be responsible for organizing the appropriate attendees and publishing the agenda information at least 5 business days in advance of the meeting. g) Timing: When: Location: 3.5.2 Project Status Management Meetings a) Purpose: The purpose of the Project Status Management Meetings is to demonstrate and encourage consistent and visible support for the Munis Project and to build and maintain momentum throughout. <<Client>> Management Team is ultimately responsible for creating a receptive environment and establishing standards for the acceptance of change, enhanced business processes and information availability. b) Objectives: The objectives of the Project Status Management Meetings are to: • Provide communications on the status of Munis Project to key stakeholders. • Identify, discuss, and facilitate the timely resolution of issues and risk management related to the project. • Review project milestones, critical path activities, and project tasks which must be completed to meet go-live dates. • Receive input on project deployment, functions, and enhancements. c) Members and Attendees: <<Client>> Management Team will be comprised of the following members: <<Client>> Executive Team Other members of the Project Team will attend on an as required basis. d) Responsibilities: <<Client>> Project Manager will: • Schedule the monthly meetings • Schedule any special meetings • Review and publish a recommended agenda prepared by <<Client>> Project Manager • Approve the attendance of any subject matter experts required to discuss agenda topics • Facilitate the meeting • Approve the minutes of the meeting and publish them to all attendees SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 47 e) Owner: <<Client>> Project Manager – f) Format: <<Client>> Project Manager will prepare the agenda for <<Client>> Project Management Team. <<Client>> Project Management Team will be responsible approving the agenda together with any supporting information and publish the information at least 5 business days in advance of the meeting. <<Client>> Project Manager will be responsible for providing an overview of the status and budget of the overall Project as well as reviewing any remaining open items not resolved since the last meeting that may require <<Client>> Project Management Team action. <<Client>> Project Manager will provide a brief summary of the items completed within the past 3 months, tasks to be started in the next 3 months, and new issues that should be reviewed by <<Client>> Project Management Team. Throughout the meeting, action items will be identified and assigned. g) Timing: When: Monthly Location: To be Determined 3.5.3 Project Team Meetings a) Purpose: The purpose of Project Team Meetings is to review the overall Munis Project status, including budget, schedule, critical tasks, and issues facing the project. Project Team Meetings will be used to communicate task status and identify issues to ensure appropriate actions are taken on a timely basis to resolve open issues and meet scheduled due dates. b) Objectives: The objectives of the Project Team Meetings are as follows: • Document the status of the Munis Project to project team members and publish the results to the Project Team management. • Identify, discuss, assign responsibility, and determine due dates for issues related to the project. • Review the upcoming project milestones and associated project tasks to be completed to reach those milestones. c) Members and Attendees: The following project team members will be attending the Project Team Meetings. An alternate project team member must be identified to substitute where possible if the assigned team leader cannot attend: Other project members will be invited to the Team Meetings by the related Project Managers or Team Leads to provide information deemed critical for the Project Team to review. d) Responsibilities: SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 48 The Project Team Meetings are used to review the overall project progress and identify issues on a high level basis. <<Client>> Project Manager will be responsible for the following tasks: • Prepare a report that show actual schedule status versus projected status • Maintain an issue report with summary of issues, recommended actions, assignment of responsibility, and due date • Take minutes at the Project Team Meeting and publish the results within 5 business days <<Client>> Project Manager will use individual Project Team Meeting minutes to summarize all pertinent issues and create a consolidated version of project status to report to <<Client>> Management Team. e) Owner: <<Client>> Project Manager f) Format: <<Client>> Project Manager is responsible for the preparation of the agenda and conducting the meetings. <<Client>> Project Manager will be responsible for ensuring the creation and distribution of the agenda, together with supporting information, 24 hours in advance of the meeting. <<Client>> Project Manager will provide an overview of the project status during the meeting (both oral and written status reports) per the status reports. A review of the existing project issues and risks will be conducted and new project issue and risk items will be identified, discussed, and logged. Throughout the meeting, action items will be identified and assigned. A review of the action items from the previous week’s meeting will be conducted. <<Client>> Project Manager is responsible for documenting the outcomes of the meeting and publishing those outcomes to the Project Team. g) Timing: When: Time: h) Location: To be Determined 3.5.4 Munis Implementation Status Meetings a) Purpose: The purpose of the Munis Implementation Status Meeting is to facilitate and manage the efficient and effective implementation of Munis. b) Objectives: The objectives of the Munis Implementation Status Meeting are: • Manage and oversee the completion of the Implementation Plan. • Review, recommend and decide the resolution of implementation systems issues. • Review, recommend and decide the resolution of requested changes that affect the project. • Review, recommend and decide the resolution of project risks. • Recommend items to be escalated that need attention of management. c) Members: The Implementation Team will consist of the following project staff: Tyler Project Manager SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 49 <<Client>> Project Manager Tyler Project Manager(s) Other business area leads may be invited to attend for specific topics, or as specific systems are being implemented during the life of the project. Where a member is unable to attend an appropriate substitute should be provided. d) Responsibilities: <<Client>> Project Manager will be responsible for leading the meeting. Specific responsibilities include the following. • Facilitating the meeting • Ensuring that the meeting remains on schedule and completes within the allocated time • Presenting proper information in the meeting dialogue • Documenting outcome, responsibilities, and issues identified within the meeting • Distributing minutes summarizing the meeting outcomes e) Owner: <<Client>> Project Manager (Owns) Tyler Project Manager (Participates) f) Format: <<Client>> Project Manager is responsible for preparing the agenda and providing overall meeting leadership. The project attendees will provide status of assigned tasks; schedule; possible delays and slippages; project related issues; and new and existing Change Requests in accordance with the Change Control System. Throughout the meeting, action items will be identified and assigned. A review of the action items from the previous week’s meeting will be reviewed. g) Timing: When: Bi-Weekly until 90 days before Live Date, then Weekly Time: Location: 3.6 Reporting 3.6.1 Project Status Reports a) Purpose: The purpose of the Project Status Reports is to communicate a summary of the current project status, in writing, to <<Client>> Project Manager. The Project Status Reports present a view of an individual project based on schedule, task, and budget. b) Objective: The objective of the Project Status Reports is to provide effective and timely communication to the key project stakeholders on the status of the Munis Project at a detailed level. The goal is to keep the project stakeholders abreast of the current project status, project issues, upcoming events, and project milestones at a detailed level. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 50 c) Audience: The distribution list for the Project Status Report is as follows. Distribution: <<Client>> Project Manager d) Owner: Tyler Project Manager e) Responsibilities: The Tyler Project Manager is responsible for developing and uploading the Project Status Report to the Tyler-Client Share Point site. f) Format: A sample format for the Detailed Project Status Report can be found on Page 74. g) Timing: The Detailed Project Status Report will be published on a bi-weekly basis following Implementation Team Meetings. 3.6.2 Client Project Share Point Site a) Purpose: The purpose of the <<Client>> Project Share Point Site is to keep stake holders aware of the status of the Munis implementation. Users will be directed to this area to review current project status as well as provide input to the project team. b) Objective: The objective of <<Client>> Project Share Point Site is to facilitate and encourage information sharing between the Project team and members of the Organization. c) Audience : <<Client>> Project Share Point Site is meant to be accessible to all internal and external users who are involved at any level of the Munis Project. A link will be easily accessible to retrieve project information from <<Client>> Project Share Point Site. d) Owner: <<Client>> Project Manager (Contributing Role) Tyler Project Manager (Owner) e) Responsibilities: The Tyler Project Manager will have the primary responsibility of providing updated status for the Project Share Point Site on at least a monthly basis, or more often when critical systems are coming online. f) Format: The format of <<Client>> Project Share Point Site will be consistent from project phase to project phase. The following information will be required: • Project name • Project description • Start and anticipated end date • Anticipate users or group of users who will be impacted • Schedule of main events SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 51 • Project Team Members with email and phone numbers “Hot” news • List of critical dates/tasks happening in the short term • Information, warnings, requirements happening within a 2 week span of time g) Timing: <<Client>> Project Share Point Site will be updated on at least a monthly basis and could be updated daily based on the timing of critical applications. 3.6.3 Sample Status Report <<NAME>> Project Manager: Tyler Project Manager: Date of Submittal to <<Client>> Project Manager: For Project Period: Planned Accomplishments This Period: Product Overview Demonstration - In Depth Analysis Options- Knowledge Transfer to Functional Leaders Part I Product Overview Demonstration - In Depth Analysis Options- Knowledge Transfer to Functional Leaders Part II Client Submits Chart of Accounts Spreadsheet to Munis Consultant Munis Consultant Reviews Chart of Accounts and Provides Feedback to Client Client Makes Changes to Chart of Accounts Conversion Spreadsheet if Necessary Munis Consultant Delivers Part I Best Business Practice Recommendations Client Submits Chart of Accounts to Tyler PM for Conversion Finalize Financials Verification Test Reschedule Payroll Verification Test Tyler Consultant Delivers Part II As Is Analysis Notes Actual Accomplishments This Period: Product Overview Demonstration - In Depth Analysis Options- Knowledge Transfer to Functional Leaders Part I Product Overview Demonstration - In Depth Analysis Options- Knowledge Transfer to Functional Leaders Part II Client Submits Chart of Accounts Spreadsheet to Tyler Consultant Tyler Consultant Reviews Chart of Accounts and Provides Feedback to Client Client Submits Chart of Accounts to Tyler PM for Conversion – Complete for the school only. See notes below for the <<Client>>. Finalize Financials Verification Test SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 52 Reason for Variance (if any): Planned Accomplishments Next Period – Anticipated Delays Responsible Party Reason for Anticipated Delays Critical Issues: Action Items: Deadline: Decisions Needed: From Whom: Deadline: Date Days Purchased Days Used Days Remaining Adequate to Complete Project (Y/N) SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 53 3.7 Communication Paths 3.7.1 Role-Based Communications In a complex project with cross-functional project needs, clearly identifying and supporting the proper communications paths are critical to success. Too often, communications take place at an inappropriate level, resulting in effort redundancy, unclear ownership identification and general confusion. Role-based communications planning can reduce the problems that result from unclear communications channels and provide a detailed reference guide for all levels of project participants. 3.7.2 Communications ORG Chart The following chart details the typical communications hierarchy within a Tyler project implementation. Internal Communications are on a vertical path, starting from the Project Manager and moving through to other levels of project participants. External communications are horizontal and controlled within functional group. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 54 3.7.3 Sample Role-Based Communications Planning Grid Communication Source Appropriate Communication Recipient Subject Examples Functional Leaders Tyler Consultant Munis setup, high-level questions for functional requirements, all determinations of processes within Munis <<Client>> Project Manager Tyler Project Manager Change in schedules and scope, issue resolution, project planning, invoices Tyler Project Manager <<Client>> Project Manager Incomplete homework assignments, change in schedules and scope, issue resolution, project planning, milestone review Tyler Implementer <<Client>> Core Users, End Users Training materials, training classes <<Client>> Core Users, End Users Tyler Implementer Requests for clarification of training materials, homework. Tyler Consultant Functional Leaders Business Rules, Policy & Procedures, changes desired, Tyler Forms questionnaires & mock-ups, conversion specifications <<Client>> Core Users, End Users Functional Leaders Blocked dates, training issues, questions regarding policy changes Functional Leaders <<Client>> Project Manager Blocked dates, training issues, information for status meetings, homework status Tyler Project Manager Tyler Consultant, Tyler Implementer Consulting & training schedules & agendas, specific contractual deliverables, issues 3.7.4 Sample Project Contact List <<Client>> Project Team Role Contact Information Phone <<Client>> Project Sponsor <<Client>> Project Manager Functional Leader Functional Leader Functional Leader Functional Leader Functional Leader Tyler Forms Lead SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 55 Risk Management Lead Technical Lead Integration Lead Tyler Project Team Role Contact Information Phone Tyler Project Manager Tyler Consulting Services Manager Tyler Change Management Consultant Financials Project Manager Payroll/HR Project Manager Revenue Project Manager Utility Billing Project Manager Regional Implementation Manager Penny Parsons - penny.parsons@tylertech.com 800/772-2260, ext 5672 National Implementation Manager Danelle Daley - danelle.daley@tylertech.com 800/772-2260, ext 4456 Vice President - Services Chris Hepburn - chris.hepburn@tylertech.com 800/772-2260, ext 4138 Sales Representative SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 56 Section 4 Quality Management / Testing 4.1 Document Control Information Document Number Munis - <<Client>> - 001 Document Title: Financials Phase Project Quality Assurance Plan Document File: Creation Date: Created By: Tyler Project Management Document Status: INITIAL VERSION 4.2 Change Control History Change Control Number Change Date Description 4.3 Description A Quality Management/Testing Plan establishes processes and activities to ensure that project objectives outlined within the Scope Management Plan are successfully implemented. Any Quality Management/Testing Plan must work to address both the project and the product. Quality Management includes: • Quality Planning • Quality Assurance • Quality Control 4.4 Purpose The purpose of the Quality Management/Testing Plan is to define and monitor critical milestones. Failure to meet critical milestones will negatively impact the project scope. A Quality Management/Testing Plan will provide a controlled environment for high level product testing, taking into account full module integration, import and export interface integrity, functional flow and reliability. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 57 4.5 Process It is imperative that a Quality Management Plan and System Testing Plan be put into practice as part of the Project. The plan should include all of the processes required to ensure that the goals for the project are fully satisfied. The overall plan will include the following: 4.5.1 Verification Testing Baseline module test script completion, performed after installation (site optional). 4.5.2 Static Environment Test Policies and Procedures; Conclusion of Analysis with Functional Leaders, Knowledge Transfer, Stakeholder acceptance is required to move forward. 4.5.3 Education Policies and Procedures; Conclusion of End-User Training, User Sign Off and Stakeholder acceptance is required to move forward. 4.5.4 System Testing Completion of scenario processing throughout individual Modules, interfaces, and modifications, monitoring data integrity, process flow and integration. 4.5.5 Repeat Testing (only if needed) Performance of system testing once corrections to issues have been delivered. 4.5.6 Integration Testing Observation of inter-module data flow and effect, especially as it relates to the General Ledger. 4.5.7 Interface Testing Observation of interface data flow and effect, especially as it relates to the General Ledger. 4.5.8 Stress Testing Testing the system under heavy user loads, repetition of heavy processing deliberate invalid data entry which should return error messages, and attempts by multiple users to edit the same record. 4.5.9 Pre-Live Verification Incorporates Final Conversions and all Training. 4.6 The Benefits of Testing As an expected benefit from the completion of these tests, the following will also be achieved. • End-users will gain extensive product experience, develop a high-level of confidence in the Munis Product and understand their specific functions within the system. • The infrastructure of hardware and network design will be thoroughly tested. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 58 • Modifications and Interfaces are fully integrated into the Munis product. • A managed Issues List will be fully quantified. 4.7 The Munis Testing Environment Modifications, interfaces, conversions and other data and programmatic elements will be tested in the Training environment. This environment will also serve as the User Acceptance Test environment. The testing environment will provide the structure and supporting programs for User Testing to be performed throughout the duration of the Project. The desired result of the User Testing process is Functional Goal Acceptance achieved through managed issue identification, resolution, and testing. 4.8 Existing Plan Document <<Client>>’s existing Quality Management/Testing Plan in this space if there is one. 4.9 Action Plan 4.9.1 Plan Approach The following outlines the Munis test planning approach: • Work with <<Client>> Project Team to determine which processes, interfaces, and modifications need to be tested within the appropriate scenario processing. • Work with <<Client>> Project Team to create a Testing Outline that details step by step procedures for testing data integrity across all application processes. • Work with <<Client>> Project Team to identify Project Team members, and functional leaders, to define roles and responsibilities in performing scenario processing. • Sample documents for tracking the detail and progress of the testing process are provided at the end of this section.. Both <<Client>> Project Team and Tyler Implementation Team will provide results of all testing to <<Client>> Project Manager. In addition, tracking of all issues and their resolution will be maintained in an Issues Tracking Register. • <<Client>> Project Team, may choose, with the support of the Tyler Implementation Staff to develop written Test Cases for selected processes utilizing, as the starting point, <<Client>>’s Desktop Documents. • <<Client>>’s Project Team will Identify and communicate to select Product Specialists the assigned testing scenarios to be executed with assistance from Tyler Implementation Staff. • <<Client>>’s Staff and Tyler Project Team will review and assign priorities for response to identified program or procedural issues that result from completed testing scenarios. <<Client>>’s Project Team may choose to assign a Test Coordinator to work with Tyler Project Team. The responsibilities include: • Working with Tyler Project Team to oversee all functions of the testing process. Monitoring the quality and timeliness of the overall testing effort. • Facilitating testing completion by maintaining momentum during process. Checking that tests are completed in the order necessary to thoroughly sign-off on process. • Ensuring that all reports of issues are submitted to the Tyler and <<Client>> Project Manager in a complete and timely manner. • Review scenario processes and modify as necessary to align with any changes to policies and procedures. • Expectations of Tyler related to successful completion of Testing Phase are identified as follows: SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 59 o Provide training to <<Client>> staff. o Develop baseline scenario processes 4.10 Measurement & Tracking • Priority 0 Critical Issue - Cannot proceed without correction • Priority 1 High Issue - Can proceed but needs correction before Live • Priority 2 Medium Issue - Can proceed with Live Processing but fix needs to be delivered to comply with ERP goals • Priority 3 Low Priority Issue - Can proceed with Live, new desired functionality. Once corrections have been delivered, <<Client>>’s Project Team and Tyler Project Manager will determine if Repeat Testing can continue from stopped point or, if it must be restarted. <<Client>>’s Project Team will schedule and outline Stress Testing scenarios. Tyler will require a final sign-off prior to going live on any module. This sign-off document will outline the status of any remaining open issues related to the module, confirming the issue status and the associated Priority Code. <<Client>>’s Project Team and the Tyler Project Team will review all items and make a decision as to the ability to begin Live Processing in Munis. The sign off will signify the end of system test phase for the module. The decision to delay Live Processing should not be based on Issues whose status is a Priority 2 or 3. 4.11 The Munis Testing Conclusion Clear communication, recordkeeping, and analysis between <<Client>>’s Project Team, Tyler Project Manager and Tyler Implementation Teams are critical in order to move through the Testing Phase both successfully and in a timely manner. A member of these teams will need to identify the issues and then determine what type of issue resolution is necessary. Most issues can be categorized as they relate to the following: • Module Design or Setup • Best Practice Re-engineering. • Change in scope • Software modification requests Issue tracking, resolution accountability, timely testing, and completed issue resolution are absolutely necessary in successfully completing <<Client>>’s Project. The Testing Phase is a shared responsibility and must be recognized as such. 4.12 Sample Accounts Payable Static Environment Test Script TO BE PERFORMED IN TRAINING DATABASE WITH FUNCTIONAL LEADER • Create 5 complete vendor records from <<Client>> data (or use vendors created for purchase order testing) • Add 3 new accounts payable invoices to Munis including: o 1 invoice with no purchase order o 1 invoices that partially liquidates a purchase order o 1 invoices that fully liquidates/closes a purchase order • Post completed accounts payable invoices and review journal entries (both PO liquidation journal entries and AP journal entries) • Run Select Items To Be Paid Report SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 60 • Spool checks • Post cash disbursements journal and review journal entries • Perform accounts payable invoices maintenance o Change GL Account on an invoice o Change dollar amounts on an invoices o Cancel/Close an invoice o Review any journal entries created as a result of accounts payable invoice maintenance ACCOUNTS PAYABLE ITEMS THAT WILL NOT BE TESTED DURING ANALYSIS • Modifications (contractual or enhancements) • Workflow • Running reports • Munis office functionality • Tyler Forms Printing • Check Reconciliation • Imports/Exports • Purging • 1099 Processing • Direct Deposit Processing 4.13 Sample Budget Processing Static Environment Test Script TO BE PERFORMED IN TRAINING DATABASE WITH FUNCITONAL LEADER • Create budget labels in GL Parameters for at least two levels • Create a budget projection for the fund/expense accounts created during General Ledger testing • Enter budgets into level 1 for all expense accounts using: o Amounts o Detail o Quick entry • Roll budget from level 1 to level 2 • Review changes in Next Year Budget Entry from roll • Create a 1-sided budget amendment to assign budget figures to your expense accounts and post the entry • Create a 2-sided budget amendment to increase the budget for one account and reduce the budget for another account and post the entry • Review postings in Journal Inquiry • Review postings in GL Account Inquiry BUDGET PROCESSING ITEMS THAT WILL NOT BE TESTED DURING ANALYSIS SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 61 • Modifications (contractual or enhancements) • Workflow • Running reports • Munis office functionality • Imports/Exports • Purging • Posting the Budget • Year End/Open Budget Processing • Budget Builder 4.14 Sample Contract Management Static Environment Test Script TO BE PERFORMED IN TRAINING DATABASE WITH FUNCTIONAL LEADER • Create 5 complete vendor records from <<Client>> data (or use vendor records created for purchasing and/or accounts payable testing). • Create 1 complete requesting department record (or use department record created for purchasing testing). • Create 1 complete bill to/ship to code (or use bill to/ship to code created for purchasing testing). • Add 2 new contract records to Munis (encumbered and/or un-encumbered as per analysis decisions). • Post completed contract and review journal entries (if applicable). • Draw down from contracts using purchase order entry. o View updated contract values • Enter accounts payable invoice to pay contract vendor from the purchase order created in step 5. o View updated contract values • Maintain contract values and/or GL accounts CONTRACT MANAGEMENT ITEMS THAT WILL NOT BE TESTED DURING ANALYSIS • Modifications (contractual or enhancements) • Workflow • Running reports • Munis office functionality 4.15 Sample Fixed Assets Static Environment Test Script TO BE PERFORMED IN TRAINING DATABASE WITH FUNCTIONAL LEADER • Make sure purchasing accounts exist in your chart of accounts o Add them to the GL Master if necessary • Make sure fixed asset accounts exist in your chart of accounts (asset, contra, depreciation, accumulated depreciation) o Add them to the GL Master if necessary • Set depreciation method per analysis decisions SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 62 • Create at least 1 class code • Create at least 3 sub-class codes • Create at least 1 of each miscellaneous codes • Create 2 custodian codes • Create account relationships in fixed asset account maintenance (if applicable) between purchasing accounts and fixed asset accounts • Create 5 complete fixed asset records from <<Client>> data o Import 3 from posted purchase orders or invoices as per analysis decisions o Create 2 manually in the fixed assets module • Post the assets • Review journal entries • Improve an asset • Review journal entries • Retire an asset • Review journal entries • Depreciate all active assets • Review journal entries FIXED ASSETS PROCESSING ITEMS THAT WILL NOT BE TESTED DURING ANALYSIS • Modifications (contractual or enhancements) • Workflow • Running reports • Munis office functionality • Imports/Exports • Purging 4.16 General Ledger Static Environment Test Script TO BE PERFORMED IN TRAINING DATABASE WITH FUNCTIONAL LEADER • Set GL Parameters (segment names/sizes) as per chart of accounts workbook • Create 2 funds • Create segments, objects, and Org codes for 5 expense accounts within each fund and all required control accounts o One of the funds should be the fund your AP checks are cut from o One of the funds should be a fund you purchase from • Create complete GL accounts for the 5 expense accounts in each fund and all required control accounts • Create Due To/Due From records for your two funds • Create budget rollup codes if applicable for use in Purchase Order testing SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 63 • Create entries for current system year as set in GL Parameters in Journal Number Control Table • Create and post a single fund journal entry • Review posting in Journal Inquiry • Reverse posting and review entries • Create and post an journal entry between the two funds, using the “Gen DT/DF” option • Review posting in Journal Inquiry • Review accounts in GL Account Inquiry GENERAL LEDGER ITEMS THAT WILL NOT BE TESTED DURING ANALYSIS • Modifications (contractual or enhancements) • Workflow • Running reports • Munis office functionality • Imports/Exports • Purging • Month End Processing • Year End Processing • Carry Forward Method 4.17 Sample Project & Grant Accounting Static Environment Test Script TO BE PERFORMED IN TRAINING DATABASE WITH FUNCTIONAL LEADER • Create 2 complete grant codes, including o Miscellaneous codes o Grantor type code o Customer ID code o All data tabs available • Create projects from the 2 grants • Create project accounts in GL Master using existing expense accounts from the General Ledger testing and the two new project codes • Create and post a single fund journal entry using your project codes • Review posting in Journal Inquiry • Utilize project accounts during Purchase Order and Accounts Payable testing PROJECT AND GRANT ACCOUNTING ITEMS THAT WILL NOT BE TESTED DURING ANALYSIS • Modifications (contractual or enhancements) • Workflow SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 64 • Running reports • Munis office functionality • Imports/Exports • Purging • Reimbursement Processing 4.18 Sample Purchase Order Static Environment Test Script TO BE PERFORMED IN TRAINING DATABASE WITH FUNCTIONAL LEADER • Create 5 complete vendor records from <<Client>> data • Create 1 complete requesting department record • Create 1 complete bill to/ship to code • Create 1 type 2 and 1 type 4 commodity code (if using per analysis decisions – skip if not using) • Add 3 new purchase orders to Munis including: o Vendor o Commodity code (if using) o At least 2 line items o At least 2 GL Accounts o At least 1 project code • Note budget checking, including any budget rollup code checking if applicable • Post completed purchase orders and review journal entries • Print generic Munis purchase order form (Tyler Forms will not be tested) • Perform purchase order maintenance o Change GL Account on a purchase order o Change dollar amounts on a purchase order o Cancel/Close a purchase order o Review any journal entries created as a result of purchase order maintenance • Perform PO Receiving (if applicable per analysis decisions) PURCHASE ORDER PROCESSING ITEMS THAT WILL NOT BE TESTED DURING ANALYSIS • Modifications (contractual or enhancements) • Workflow • Running reports • Munis office functionality • Tyler Forms Printing • Imports/Exports • Purging SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 65 4.19 Sample Payroll & Human Resources Static Environment Test Script TO BE PERFORMED IN TRAINING DATABASE WITH FUNCTIONAL LEADER • Create 5 complete employee records from <<Client>> data, including the following for each of the 5 selected employees: o One fund on COA menu o Salary & benefit GL accounts on COA menu o Cash account on COA menu o Vendors for deductions & benefits on AP menu o One run type o Location/departments o B/u codes o Salary tables or ranges o Tax tables o One accrual table o Allocation codes (if applicable) o Deduction/Benefit master records for all codes employees currently utilize o Pay type master records for all codes employees currently utilize o Payroll exceptions/exemptions for processing o Job class codes o Position Control codes o Personnel Action Codes for New hire, Termination, Step Increase, COLA • Adding new hires via Personnel Actions Entry • Entering exceptions via EDFM • Entering exceptions via Time & Attendance (if applicable) • Garnishment calculation • Earning accrual time • Using accrual time • Allocating on the fly • Updating employee history • Spooling Checks (<<Client>> check form will not be utilized) • Posting to the GL o Pay posting appropriately o Benefits posting appropriately (i.e., following employee pay allocation) • Processing payroll vendor payments o Via AP or Payroll • Apply COLA increase SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 66 • Change benefits/deductions for an employee • Terminate/Inactivate an employee PAYROLL & HUMAN RESOURCES ITEMS THAT WILL NOT BE TESTED DURING ANALYSIS • Modifications (contractual or enhancements) • Direct Deposit File • Workflow • Munis Online • Interfaces (including timekeeping interfaces) • Payroll mag media files • Check and Direct Deposit Form Printing • Check Reconciliation (positive pay) • Running reports (except where indicated) • W2 processing • 1099R processing • Retro pay processing • Retirement mag media testing with retirement vendor • Munis office functionality • Salary & benefit projections • Personnel functions such as certifications, training, OSHA, etc. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 67 Section 5 Risk Management 5.1 Risk Management Overview 5.1.1 Description A Risk Management Plan involves defining methods and procedures for assessing and dealing with possible threats that could arise inside or outside the organization. Although the exact nature of potential disasters or their resulting consequences are sometimes difficult to determine, it is beneficial to perform a comprehensive risk assessment of all threats that can realistically occur to impact the organization. 5.1.2 Purpose The Risk planning process should identify and measure the likelihood of all potential risks and the impact on the organization if that threat occurred. To do this, each department should be analyzed separately since there may be variances in levels of automation, recovery processes, etc. The ultimate goal of the Risk Management Plan is to protect the organization, its employees and infrastructure from liabilities. In this instance, the Risk Management planning focus has been more specifically pointed towards risks that may impact the Munis Implementation project. The outcome of the Risk Assessment should be a clearly defined baseline of risks, how they will be dealt with, who will own them, the potential of occurrence, and any associated costs. 5.2 Key Processes Regardless of whether the threat is internal or external, the Risk Assessment should include the following processes: 5.2.1 Risk Management Plan Definition • Determine the approaches to risk • Identify Methodology for dealing with risk • Identify Stakeholders • Finalize Risk Management Plan 5.2.2 Risk Management Planning Template Project Name: Prepared by: Date: Description of Risk Management Methodology to be Used: Approaches Tools Data Sources Roles and Responsibilities: Risk Management Action #1: Team Leader SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 68 Team Members Support Risk Management Action #2: Team Leader Team Members Support [Add sections as needed] Budget: Timing: (Describe how risk management will relate to the project life cycle, and at what points it will be reviewed during the execution of the project) 5.2.3 SWOT Analysis A SWOT Analysis is a strategic planning tool used to evaluate the Strengths, Weaknesses, Opportunities, and Threats involved in a project or in a business venture. Strengths and weaknesses are internal to an organization. Opportunities and threats originate from outside the organization. A SWOT analysis, usually performed early in the project development process, helps organizations evaluate the environmental factors and internal situation facing a project. Strengths and weaknesses are attributes that measure your internal capability. Opportunities and threats refer to how the external environment affects your team/business/group. Ideally a cross- functional team or a task force that represents a broad range of perspectives should carry out SWOT analyses. 5.2.4 SWOT Analysis Template Project Name: Prepared by: Date: Project Manager: SWOT Analysis Facilitator: SWOT Analysis Participants: SWOT Analysis Recorder: Date of SWOT Analysis: Project Strengths: (What potential strengths exist about the project, the project team, the sponsor, the organization structure, the client, the project schedule, the project budget, the product of the project, etc.?) 1. 2. 3. 4. Project Weaknesses: (What potential weaknesses exist about the project, the project team, the sponsor, the SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 69 organization structure, the client, the project schedule, the project budget, the product of the project, etc.?) 1. 2. 3. 4. Project Opportunities: (What potential opportunities exist in regard to achieving the project requirements, the product requirements, the project schedule, the project resources, the project quality, etc.?) 1. 2. 3. 4. Project Threats: (What potential threats exist in regard to achieving the project requirements, the product requirements, the project schedule, the project resources, the project quality, etc.?) 1. 2. 3. 4. 5.2.5 Risk Identification • Reviewing tools for identifying risks • Defining risk categories • Validating that identified risk is the root cause, not the symptom • Completing Risk Register 5.2.6 Risk Analysis • Analyzing impact • Analyzing probability • Analyzing budgetary impact • Prioritizing risks 5.2.7 Risk Responses • Avoiding • Transferring • Mitigating • Accepting 5.2.8 Monitoring Risks • Identifying risk triggers SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 70 • Continuing assessment and review • Status Reporting 5.2.9 Lessons Learned • Evaluate responses • Modify plan SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 71 5.3 Sample Populated Risk Register Id Description of Risk Likelihood Grade Mitigation Actions Responsible Party 1 Commitment of key stakeholders to the project. L C Keep open line of communications with key project stakeholders as identified in the communications management plan and monitor progress and activity. 2 Vacation and conference schedules interfering with availability for training sessions. L D <<Client>> to review all conference and vacation schedules and will provide back-up for key personnel for Munis training sessions and consider each request based on its impact to the overall project success. 3 Incomplete homework assignments resulting in delays in training. M C Functional owners will submit a homework status report to <<Client>> Project Manager every Friday. Tyler PM and <<Client>> PM will review the status and report to key stakeholders and project sponsor any slippage in tasks. 4 Lack of clearly defined written School Business practices and procedures resulting in inefficient training of the TEMS modules. This includes last minute major policy changes that result in re-training, re-conversion of data, and changes in auxiliary tables. H A All policies and procedures manuals will be completed by 5/31/09 by each Functional Leader 5 Limited personnel resources and over-commitment of key personnel throughout the project H A Review existing projects that impact key personnel and if necessary, bring in additional resources from other internal departments or temporary employees to minimize the impact to project success. 6 Hurricane/Severe Weather that could impact training schedule and go-live. H A Accept risk and reschedule training sessions as soon as it is feasible. This could include increasing concurrent training sessions. Accept that the go-live could be delayed. 7 Project scope creep caused by expectations of stakeholders that extend beyond the scope of the project. L C All requests for software modifications, additional training day requests, and activities that could delay the overall project must be approved by <<Client>> Project Team, <<Client>> Project Sponsor and Tyler Project Manager which will become the project change control board. 8 Lack of resources to complete conversion verification. H B Purchase additional Munis services to assist in conversion verification. Assign backup resources in advance of receipt of conversion data. Hire and train temporary help from external source to handle SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 72 routine tasks to free up existing staff for verification of conversion. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 73 5.3.1 Likelihood of Each Risk L LOW Probability of occurrence is minimal M MEDIUM Potential of occurrence is increasing but not yet probable H HIGH Occurrence is probable E EXTREME Occurrence is imminent N/A NOT ASSESSED Not assessed 5.3.2 Grade of Seriousness of Each Risk 1 Item poses an immediate risk. Risk mitigation actions must be put into effect immediately. 2 Item poses a potential risk. Risk mitigation actions warrant continual monitoring as its potential is increasingly likely and preparation for invoking mitigation needs to be made. 3 The risk item needs to be routine reassessed. No immediate action is required. 5.3.3 Status of Each Risk OPEN The risk item continues to pose a potential risk and therefore is being monitored. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 74 Section 6 Schedule Management 6.1 Document Control Information Document Number Munis - <<Client>> - 001 Document Title: Financials Phase Schedule Management Plan Document File: Creation Date: January 26, 2009 Created By: Document Status: INITIAL VERSION 6.2 Change Control History Change Control Number Change Date Description 6.3 Schedule Management Plan Overview 6.3.1 Description A Schedule Management Plan involves defining the processes of how the master project schedule will be established, managed and modified. 6.3.2 Purpose The following are the major elements of Schedule Management: • Tracking Schedule Progress • Changing the Project Schedule • Schedule Reporting • Closing the Project Schedule The Schedule Management Plan is a living, flexible plan that can be modified to accommodate efficient schedule management that will impact the Munis Implementation project. The Project Plan will be updated and maintained on a regular basis throughout the project in order to make sure the Schedule is on track. The outcome of the Schedule Management Plan should be a clearly defined baseline of acceptable changes, how they will be dealt with, who will own them in order to ensure the timely accomplishments of the project objectives as outlined in the Project Plan. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 75 6.4 Key Processes 6.4.1 Description Development of the Schedule Management Plan should include the following processes: 6.4.2 Schedule Management Plan Definition • Identify acceptable reasons for change • Evaluate how the change will affect the overall project – time, cost, scope and performance • Identify Stakeholders authorized to request changes • Identify how the schedule change request will be processed • Assign the individuals that will be involved in the approval of the changes • Update the Communication Plan to reflect how the schedule and any changes will be distributed. • Finalize Schedule Management Plan 6.4.3 Acceptable Schedule Change Reasons • • • 6.4.4 Schedule Analysis • Impact on time • Impact on cost • Impact on scope • Impact on performance • Identify Milestones baseline from the other management plans 6.4.5 Schedule Responsibilities • Tyler Project Manager • <<Client>> Project Manager • Functional Leaders 6.4.6 Monitoring Schedule • Set up a time frame for regular meetings to discuss the project progression as well as any changes. • Review Project plan and Milestones baseline • Identify and assess the schedule change • Complete a Schedule Change form and submit with required supporting documents • Continuing assessment of the Project Plan • Status Reporting SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 76 6.4.7 Lessons Learned • Evaluate responses • Modify plan 6.4.8 Schedule Management Planning Template Project Name: Prepared by: Date: Acceptable Reasons for Changes to Baseline Schedule: Effect of Potential Acceptable Change: Time – Will this affect the targeted go-live date for this module or other modules? Cost – Can this change be accomplished without additional costs involved? Scope - How will this change affect the implementation of other modules? Performance – Will this change create an issue for internal or external resources? Stakeholders Authorized to Request Changes to Schedule: Client Project Manager: Tyler Project Manager: Schedule Change Request Process: Stakeholders to Approve/Finalize Schedule Changes: Process for distributing/communicating Schedule Changes: [Add sections as needed] Process for Tracking Schedule Progress during the duration of the Project: 6.5 Existing Plan Insert Existing Schedule Plan 6.6 Schedule Control/Action Plan In order for a Schedule Management Plan to be a successful tool in any project, the following processes must be identified: • Performance reporting • Measurement of the performance • Progress reporting • Variance analysis • Schedule updates SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 77 Section 7 RESOURCE PLAN 7.1 Description A Resource Plan establishes and includes the processes that organize and manage the project team and the necessary physical resources for the project tasks. The project team is comprised of the people who have assigned roles and responsibilities for completing the project. The physical resources are those tools needed to ensure the completion of all necessary tasks for the project. Resource Management Includes: • Resource Planning • Acquiring Resource Team and Tools • Develop the Project Resources • Manage the Project Resources and Tools 7.2 Purpose The purpose of the Resource Management Plan is to identify and document project roles, responsibilities, reporting relationships, as well as the allocation of resource tools for the project. The Resource Management Plan will also identify risks to the project due to resource turnover, resource availability, and resource conflicts. The Resource Management Plan will outline the human resources identified as functional leaders for each module and the requisite time commitment required for each component of the project. For multiple phase projects the resource allocation for required training tools will be identified. 7.3 Process The Resource Management Plan is a critical component for a successful project implementation. The plan should include the identification of all functional leaders, schedule or availability conflicts that will affect the project calendar and any resource allocations or restrictions that would impact the training schedule for the project. 7.4 Roles and Responsibilities Definition 7.4.1 Tyler Project Manager • Providing an initial task list for the project • Working with <<Client>> PM to coordinate an implementation schedule • Scheduling Munis resources for training days • Coordination of conversion services with appropriate departments within Munis. • Oversee project and monitor progress with <<Client>> PM • Hold regular conference calls with <<Client>> PM to review status and progress of project and to identify any outstanding issues. 7.4.2 <<Client>> Project Manager • Identify and communicate to Tyler PM requirements for a successful implementation of Munis • Coordinate with Tyler PM to develop and maintain implementation schedule which identifies specific milestones and establishes accountability SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 78 • Scheduling <<Client>> resources for training days. This includes but is not limited to personnel, equipment and training rooms. • Identify additional employee training needs and update schedule • Ensure that employees accomplish tasks on time, including monitoring homework assignments • Review invoices and approve payment in accordance with the contract and associated milestones • Oversee Project and monitor progress with Tyler PM • Develop conversion specifications with Tyler PM • Analyze and prove conversion data • Coordinate MIS functions such as system backups, loading releases and software updates, hardware installation and operating system setup • Coordinate regular internal project meetings determining status of tasks and listing outstanding issues, refer to Munis Communication Management Plan for frequency and schedule. Communicate these to the Tyler PM at each project management meeting. • Provide and facilitate 3rd Party Vendor Communication Plan and Escalation Process • Initiate all Change Requests to project management plans as requested by <<Client>> 7.4.3 <<Client>> System Administrator • Load Releases or coordinate with OSDBA if an OSDBA Contract has been purchased • Copy LIVE database to Training database as needed for training days • Create any necessary data tapes or conversion files to be transmitted to Munis or 3rd Party Vendors • Add new users and printers • Perform basic server system maintenance • Ensure all users understand Munis log-on process and have necessary permission for all training sessions 7.4.4 <<Client>> Functional Leader • Participate in appropriate analysis sessions and help determine and develop policy and procedures • Complete security templates for all end users • Attend all training sessions or appoint an appropriate management level designee • Performance Tracking review with Tyler PM on end user competency on trained topics • Provide end users with dedicated time to complete required homework tasks • Act as supervisor/cheerleader for the new Munis process • Identify and communicate to <<Client>> PM any additional training needs or scheduling conflicts • Help document lessons learned at end of each phase and signoff on formal acceptance for phase close-out 7.4.5 Facilities Resource Requirements • Training environment free of interruptions • Space for trainees to take notes and organize documents • Access to the Munis system • A working networked Munis printer SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 79 • A telephone • A whiteboard or easel with markers • Ideally 1 PC per user being trained 7.4.6 End User Requirements • Basic competency in computer skills • Mandatory attendance at all applicable training sessions • Practice and complete all homework on an acceptable time line • Demonstrate competency with Munis processing prior to GO LIVE 7.4.7 Resource Risk Identification To be identified and incorporated into Risk Management Plan as deemed appropriate • Changes in the Work Breakdown Structure or duration of the project which may impact employee availability • Employee competency • Language issues • Time Zones differentials and impacts on travel and web-ex sessions • Departmental coverage or closure for employee training • Political environment • Multi-track implementations o Training rooms o Scheduling conflicts o Database environment issues – may require multiple training database installation • Employee Turnover – Back up personnel identified o Pending retirements o Pending elections o Maternity/Sick Leave absences • Understanding Scope Definition • Buy-in at all levels for Munis Project SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 80 Section 8 EDUCATION PLAN 8.1 Document Control Information Document Number Munis - <<Client>> - 001 Document Title: Financials Phase Project Quality Assurance Plan Document File: Creation Date: Created By: Tyler Project Management Document Status: INITIAL VERSION 8.2 Change Control History Change Control Number Change Date Description 8.3 Description An education plan lays out the process of transferring knowledge between Munis and <<Client>>. We refer to our plan as an education as opposed to a training plan for several reasons. First, the process of transferring knowledge is vital to the analysis phase of our project. During analysis we: review the “AS IS” environment, provide Munis demonstrations, review questionnaires and flow charts, and ultimately arrive at a “TO BE” model. The TO BE model becomes the foundation for user training. Second, training denotes a classroom setting with teacher and pupil. While training will occur, it is a piece of the overall education needed to be a proficient Munis user. 8.4 Purpose The purpose of the Education Plan is to: • Communicate the process to stakeholders and Munis functional leaders • Answer specific questions (where will classrooms be established, what database environment will be utilized, etc.) • Establish action items link project personnel as owners. • Define measurement criteria to ensure the Education Plan has been successfully followed. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 81 8.5 Process It is imperative that an Education Plan be put into practice as part of the Tyler Project. The plan should include all of the processes required to ensure that the goals for the project are fully satisfied. The overall plan will include the following: 8.5.1 Demonstration, Analysis, and Knowledge Transfer Tyler employees will perform the following tasks: • As Is review • Product overview demonstration • In depth analysis of Munis options • Flow chart review • Questionnaire review This phase will involve the functional leaders. The goal of this phase is to transfer high level knowledge between parties. The output will be policies and procedures related to the use of Munis. The policies and procedures will determine the training agenda to be delivered to the end users. For example, if commodity codes are not going to be utilized within Munis Purchasing, then the training outlines for Purchasing should remove the discussion of commodity codes. 8.5.2 Prerequisites Tyler has three tools that are required prerequisites prior to user training: Training Database- All users must have access to the Munis training environment. The users must have logins established and know how to access the training environment. Navigational Videos- Tyler will provide Munis navigational videos to <<Client>>. The videos can be stored on a network folder for broad access. The videos demonstrate basic Munis functions including: menu navigation, table/screen navigation, add/update/output, search, browse data records and the Munis toolbar. How To Manuals- In addition to Munis on-line help, Tyler offers a variety of How To manuals depicting baseline Munis functionality and the steps required to process records. For example, the How to Enter a Requisition manual shows a beginning Munis user the steps necessary to create a requisition. The How To manuals can be found online at http://support.munis.com (under Customer Tools, Knowledge Base). We have found that users who utilize the prerequisites learn Munis at a faster pace and retain more classroom discussion than their peers whose first exposure to Munis is their first training day. 8.5.3 TO BE Demonstration This process allows the Functional Leaders to see a working Munis system with <<Client>> data. We will process sample data according to the defined policies and procedures. The intended education is an overall understanding of the integration of Munis applications, a review and understanding of security options, and workflow touch points. 8.5.4 Munis Application Training In this phase we are conducting classroom training. 8.5.5 Pre-Live Training These repeated classes provide end users the opportunity to review Munis functionality in a classroom environment. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 82 8.5.6 Post Live Reconciliation Training The process of reconciling data IS reviewed during pre-live training. However, we feel that hands on training with live data provides a better overall understanding of the Munis tables and how to reconcile daily, weekly, and monthly functions. 8.5.7 Post Live Output and Inquiry Training The output and inquire routines ARE reviewed during pre-live training. However, we feel that hands on training with live data provides a better overall understanding of the Munis options related to extracting needed information. 8.6 Logistics Tyler and <<Client>> will work together to define education logistics. The following table should be used as a starting point for defining logistics. The final logistics table will become part of the Education Plan. 8.6.1 Software/Hardware • How many databases will be utilized? • Will we establish a Financials Training environment separate from Payroll? • Who will refresh the training database? • Will a second server be utilized? 8.6.2 Facilities • How many training rooms will be utilized? • Where are the locations of each training room? • How many workstations will be in each training room? • How many printers will be in each training room? • Other training room requirements (white board, phone, etc.) • Who will schedule the training room? 8.6.3 Staff • How many students per teacher? • How many students per workstations? • What are the hours of training? • Who will be trained on each Munis application? • Who will conduct attendance? • Will management be present for each session? • Who will train the end-users (Munis versus Functional Leaders)? 8.6.4 Schedule • Who will determine the exact days for training? • Who will notify staff members? SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 83 • How far in advance will the training schedule be built? 8.7 Action Plan The final logistics table will be placed into the following table format which will become the Action Plan Logistic Item Owner Date Needed Date Completed 8.8 Measurement & Tracking Tyler and <<Client>> will develop a mutually agreed upon training survey which users will complete at the conclusion of each session. Surveys will be reviewed by: <<Client>> PM, Tyler PM, and <<Client>> Functional Leader. The intent of the survey is to validate knowledge transfer and alert management to the need for additional training or new approaches desired by staff. Sample survey questions follow: • Did you review the prerequisite materials prior to training? • Did you watch the Munis Navigation Video? • Did you review the How To documentation? • Did you understand the training scripts? • What would you change about the class? SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 84 Section 9 Conversion The conversion process is the most time critical element of the project plan. It is your responsibility to provide Tyler with readable conversion data with file layouts and control totals where applicable by the deadlines set forth in the project plan. Failure to meet conversion deadlines can directly impact your live date(s). The following five pages provide you with detailed information concerning the Data Conversion process. 9.1 Data Delivery Process The conversion process begins with the following steps: • The conversion department at Tyler reviews the contract to determine which conversions were purchased and determine whether additional tasks will be required and/or desired. • The Tyler Project Manager develops the schedule for sending initial data and supporting documentation and set timelines for return of the converted data. Timing is critical to meeting your dates for going LIVE. • The customer delivers the data files to the conversion department along with the name(s) and phone numbers of user and technical contacts who can answer questions regarding details of the conversion data and the file layouts and those who will be responsible for installing the converted data. Timely transfer of data can be facilitated by any of the following methods. At least one of these facilities must be available with staff trained to use them: • Internet Access (to our web site: www.tylertech.com) • FTP file transfer • Email with WinZip (Windows NT) or tar (UNIX) capabilities • Tapes, diskettes or other compatible media When creating files for conversion, you must include the following: • Report with control totals o Total records o Total dollars by category (interest, consumption, billed, paid, outstanding, etc.) • File Layout/File Definition • Sample Output o Sample Tax Bill showing Billing/Payment/Interest/Amount Due o Sample UB Bill showing readings/Consumption/Billing/Payments/Prior Due/Current Due Tyler has a dedicated Internet Server used for downloading conversion files. We encourage <<Client>>s to utilize this server to download converted files; the alternative is mailing tapes, which can take days. <<Client>>s can access the Tyler server via an Internet connection. To ensure efficient downloading of files, we recommend a minimum connection of 56K to the Internet; otherwise data transfer will be extremely slow. <<Client>>s will need FTP knowledge to download off the Munis® server. 9.2 Conversion Technical Assistance If you have any questions about the following information that we are requesting, or about the Data Conversion process in general, please feel free to call Robyn Smart - Oliver at (800)772-2260 extension 4158. If you have additional information about your system that you feel is important, but we have not asked about, we'd appreciate hearing about it. You can also call us if you need assistance in collecting the requested information. We may not have specific answers for all computer systems, but we may be able to find someone who can help you. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 85 • Address all packages to: Tyler Technologies Munis Data Conversion Department 370 U.S. Route 1 Falmouth, ME 04105 Telephone No. 207-781-2260 (required on some Air Bills) • Pack diskettes and tapes in sturdy containers or envelopes, reinforced with stiff cardboard, to prevent damage. • Unless specifically instructed, all materials should be sent via an air express carrier (Federal Express, Airborne, UPS, Express Mail, etc.) overnight or 2nd day (when available). It is a good idea to go with a service that lets you track your packages. • PLEASE DO NOT SHIP MATERIALS VIA U.S. Postal Service 9.3 Data Conversion Information 9.3.1 Overview The first step in the conversion process, from the standpoint of the Conversion Department, is getting the following from you: • data file(s) , • data layout(s), • supporting documentation • (optional) screen prints or other specific examples. 9.3.2 Definitions • Data files are the actual information from your current (old) system. If your current system consists of spreadsheets or other simple databases, you may send these. If your current system is already set up in more sophisticated data files, you may have parameter files, code table files, master data files, temporary and work files, and transaction files. You will want most of the master data and some transaction data converted, depending upon your contract, but not parameters or code tables. So examine those files that have the module ID as part of their key (for instance, employee number in payroll), and send those that seem appropriate for the conversions purchased. (For more on the format and transfer of data files, see below.) • A data layout is a document that details how the data is arranged into records and fields within the data file. It includes record lengths (if fixed) and field names, fields sizes (if fixed) or delimiters, field types (character, number, date, Boolean, etc…), and field positions (either absolute or relative) within the data record. Two common examples are the COBOL “fd” and the Informix 4gl “schema”. For spreadsheet data, the layout is implied from column headings and sizes. Without some type of data layout, the data file is useless. 9.3.3 Supporting Material Supporting material is often necessary for decoding and converting the data. First, field names may need further description. For example, will the programmer know that ‘MAST-TITLE’ means ‘payroll position’ in your old system? Or perhaps you need to tell the programmer to use ‘FTE-HOW-MANY’ as the number of active FTE array elements. Second, codes may need translation (e.g., in the field ‘MAST-DED-TYPE’, 1 might stand for Dollar SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 86 Amount, 2 for Percentage). Finally, and most important, data may need a crosswalk that shows the translation of old system codes to new Munis codes. The most common application of a code crosswalk is when payroll deduction codes are being converted, and the old system’s codes do not fit into the Munis deduction code scheme. Other common crosswalks include 1099 box codes, parcels, departments, employee numbers, locations, and GL accounts. These crosswalks are typically entered into a spreadsheet, but the Conversion Department can open and use any document that is supported by Microsoft Word or Microsoft Excel. The conversion programmer will examine your data files and layouts, and use the supporting materials to interpret, crosswalk, and generally re-arrange the data from your old system into Munis format. If you have sent some specific examples to check, the programmer will look closely at the converted data for a few of these people or items before sending the data to you for intensive proofing. 9.3.4 Data Formats Data Files may be submitted in a variety of formats including: • ASCII (Line Sequential) – types include: o Fixed Length (preferred) o Delimited • BINARY - Data must be in fixed length records, but may include: o Zoned and packed decimal, floating point, and binary numbers o ASCII or EBCDIC character sets • SPREADSHEETS, DATABASES AND OTHER APPLICATIONS We can convert data directly from a number of applications, as opposed to having you export data to a generic format. Please do not export files to another format unless specifically requested. You may wish to look at Munis® file layouts to help you decide what to send, but do not go to a great deal of trouble to match your data format to ours. The conversion department will do the matching. 9.3.5 Timing and Reports In addition to sending data, you should run a number of reports that you will later use to proof the conversion. You and your Munis® Project Manager will decide which reports are required. FOR VERIFICATION PURPOSES IT IS IMPERATIVE THAT REPORTS FOR PROOFING BE RUN AT THE SAME TIME THAT DATA IS CREATED FOR TRANSFER TO Munis®. THERE SHOULD BE NO INTERVENING TRANSACTIONS POSTED BETWEEN THE DATA TRANSFER AND THE REPORTING. We emphasize this point because we have had conversions in which <<Client>> transferred data to tape, posted transactions then ran the reports. Under these conditions, it is difficult to match the data to the output on the report. Do not send these proofing reports to the Conversion department. You will want to hold on to them until you get the converted data back from us, at which time you will use them to verify the integrity of the conversion. 9.3.6 Submission Methods 9.3.6.1 Electronic Transfers Speed, simplicity and reliability make this the preferred method of submitting data and supporting materials. Conversion Department Staff will work with you to identify the best method of Electronic Transfers for your conversion. Methods include: SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 87 9.3.6.2 FTP Requires direct Internet connection or access to an Internet Service Provider. Direct Internet Connection is preferable, as very large files can then be transferred efficiently. Access through an Internet Service Provider generally means that one hop will require a modem transfer, which is relatively slow. 9.3.6.3 E-mail Systems supporting binary attachments provide an excellent method of transferring System Information and small data files. Attachment size is currently limited to 12 MBs, which accommodates most <<Client>> data files as long as they are compressed. 9.3.6.4 Modem Only feasible for extremely small <<Client>>s. This method is more costly than the Internet (due to toll phone calls) and not nearly as reliable. May be adequate for transferring System Information Files. <<Client>> must have communications software installed, preferably one that includes the ZMODEM transfer protocol. The XMODEM or Kermit protocol is acceptable, but generally less reliable and a little slower than ZMODEM. In many cases, initial data transfers to and from Munis® may be performed on physical media due to the volume of data being transferred. However, towards the end of the conversion/ implementation process, there is often a need to transfer smaller files (e.g., corrections, amendments, additions). Having an electronic transfer option available at this stage of the implementation is invaluable to the success of the implementation. 9.3.7 Munis® Conversion Verification Cover Page General notes and suggestions for easing the conversion process: • Remember to get from your original system, each time data is sent to the conversion department, any reports and/or screen prints that will later help you to verify the converted data. • At each conversion step, you will be sent one or more Error Report(s), text file(s) containing “err” somewhere in the name, xx_err.txt. Be sure to read carefully through the warning messages, as they indicate problems encountered when converting your data, and often hold the explanation for discrepancies in the verification process. In addition, many of the messages indicate a situation that will require manual maintenance later, when you go live with the converted data. If you also receive a Readme text file, it may include further explanations of error messages and conversion decisions. • Converted data is generally loaded to a Training database first, and not loaded to the Live database until you verify and accept it. However, because parameters (control data) and code tables are entered on-site, it is important to handle this in such a way that manual data entry is mostly done in only one database. Discuss this with your Project Manager, and be sure that those responsible know where to load conversion data at each step and have the ability to copy live to test. • Important! Conversion of the same data over again with requested changes (repeated conversion steps) will completely overwrite the files/tables involved, in whatever database(s) they are loaded, so do not begin your own maintenance of any data until you are satisfied that the corresponding conversion step is done. If you want to begin data entry, and are not sure whether this area of data will be affected by further conversions, ask the conversion programmer. • Please notify the conversion programmer if you take over maintenance of a converted master table before all conversion steps for that module are done, since the programmer then needs to consider how adds, drops, and changes in the master will affect the other conversion steps. (Employee Master, for instance, is often taken over by <<Client>> before many other payroll tables are converted, but this requires program changes and additional information sent by <<Client>>.) • Processes and reports recommended by the conversion department for each module are only the minimum; in all cases, additional verification is needed. This may include spot-checking several individual IDs through all screens; browsing through a single screen for a selected group of IDs; verifying various data SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 88 fields, counts, and amounts for selected groups, through screens and/or reports; and processing additional transactions. All data and processes critical to your organization should be checked carefully. SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 89 9.3.8 Sign-Off Sheet <<Client>> SIGN-OFF SHEET Please sign and date the following statement of minimum verification and acceptance and send it to the conversion department manager: I, __________________________________, affirm that the reports and processes recommended (printed name of person responsible) by Tyler Conversion Department, have been run and as authorized representative for ___________________________________ am satisfied with individual conversion data fields (printed customer name) and amount totals, and have seen that converted records will process correctly through appropriate transactions. _________________ ________________________________________ _______________ (module) (signature of person responsible) (date) SAMPLE Munis IMPLEMENTATION PLAN Confidential Munis 90 Section 10 Work Breakdown Structure ID Task Name 1 Phase 1 - Financials 1 Initiation - FINANCIALS 2 Contract Signing 3 Project or Phase Kick-off 4 Project Planning - FINANCIALS 5 Scope Management 6 Schedule Management 7 Quality Management/Testing Plan 8 Communications Plan 9 Risk Management Plan 10 Change Management Plan 11 Resource Management Plan 12 Conversion Planning 13 Tyler Forms Kick-off Conference Call 14 Review Tyler Forms Processing 15 Discuss Printers and Equipment 16 Establish Timelines 17 Finalize Project Management Plans 18 Develop Schedule for Functional Leader Phase 19 Control Point 1 - Project Planning 20 Client Sign-off on Plans/Phase I Schedule 21 Structural Foundation - FINANCIALS 22 Chart of Accounts Analysis and Design 23 Review MUNIS Chart of Accounts Structure Options 24 Discuss General Ledger Setup and Conversion Parameters, to include: 36 Review Fund Structures 49 Establish internal and external reporting objectives with new chart of accounts design 50 Tyler Product Consultant provides Client with Chart of Accounts Conversion Spreadsheet and reviews instructions to complete 51 Client completes COA design in spreadsheet 52 COA Conversion 53 COA Conversion Validation 54 COA Conversion Acceptance & Authorization to Load 55 Load COA Conversion 56 Software Installation 57 Conference Call with Installation Team 58 Software Installed 59 Verification Test 61 System Administration Training 103 Control Point 2 - Structural Foundation 104 Verification Test Script Sign-off 105 Chart of Accounts Design Sign-off 106 Knowledge Transfer and Analysis - FINANCIALS 107 Knowledge Transfer - MUNIS to Functional Leaders 108 In Depth Analysis of MUNIS Options 109 Knowledge Transfer - Functional Leaders to MUNIS 110 Process Flow Charts and Questionnaires 111 Desired Changes in Business Policies 112 Auxiliary Table Analysis 113 Foundation Test Plan for Policies & Procedures 114 Conversions Analysis 115 Conversion Data Mapping 116 Forms Analysis 117 Data 118 Questionnaires 119 Form Templates 120 Form Mockups 121 Proof Order 122 Verification Conference Call 123 Control Point 3 - Knowledge Transfer & Analysis 124 Client Sign-off on Test Plan -1 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 Task Split Milestone Summary Project Summary External Tasks External Milestone Inactive Task Inactive Milestone Inactive Summary Manual Task Duration-only Manual Summary Rollup Manual Summary Start-only Finish-only Progress Deadline Oshkosh WI - Gantt Chart Page 1 Project: Master Project - Number of M Date: Fri 10/31/14 ID Task Name 125 Client Sign-off on Conversion Plan 126 Static Environment Test of To-Be Model - FINANCIALS 127 Hand Enter Data Control Set 128 Process "Live" Transactions 129 Perform 5-day Transaction Test 130 Perform Reconciliation Test 131 Validate Form Design, Data & Transfer Data File 132 Validate Reporting 133 Validate Process Flow 134 Security 135 Workflow 136 Control Point 4 - Static Environment Test 137 Sign-off on Control Set Performance 138 Client Sign-off to Move Forward 139 Implementation - Form Design - FINANCIALS 140 Create Form Designs 141 Merge Data with Form Designs 142 Load Forms on Tyler Forms Server 143 Test Form on Tyler Forms Printer 144 Create and Send Data Proofs to Client 145 Data Proof Acceptance 146 Control Point 5 - Form Design 147 Authorization to Load Forms on Client's Tyler Forms Server 148 Load Forms 149 Implementation - Training and Testing - FINANCIALS 150 Data Population 151 Conversion 152 Client Completes Building Auxiliary Tables 153 Complete Workflow 154 Test Against Quality Plan 155 Test Against Policies 156 Functional Leader Sign-off on Test 157 Training 158 Process Data and Parallels 159 Onsite Form Testing 160 Test Interfaces 161 End User Training - Train the Trainer 162 End User Training - Train Decentralized Staff 163 Control Point 6 - Training and Testing 164 Functional Leader Sign-off on Training 165 Client Sign-off to Move Forward 166 Live Preparation - FINANCIALS 167 Go Live Planning 168 GL Balances Conversion 169 Account Changes in 3rd Party Systems 170 Stress Testing Schedule 171 Legacy System Cut-Off Procedures 172 Imports/Exports Interfaces 173 Forms Status 174 Go-Live Processing 175 Review status of all conversions 176 Review schedule for Final Conversion Passes 177 Review all parameters in all modules - verify set up in LIVE 178 Review ID Code Permissions in LIVE 179 Review Menu Security in LIVE 180 Review Workflow/Business Rules set up in LIVE 181 Run Full Table Validation in Live Database - Print, date and sign 182 Verify all necessary hardware and software installed 183 Final Conversion 184 Final Conversion Runs -1 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 Task Split Milestone Summary Project Summary External Tasks External Milestone Inactive Task Inactive Milestone Inactive Summary Manual Task Duration-only Manual Summary Rollup Manual Summary Start-only Finish-only Progress Deadline Oshkosh WI - Gantt Chart Page 2 Project: Master Project - Number of M Date: Fri 10/31/14 ID Task Name 185 Final Conversion Validation 186 Load Final Conversion 187 Final Training 188 Open Lab Review Training 189 Stress Testing 190 Control Point 7 - Live Preparation 191 Conversion Acceptance 192 Client Sign-off to Begin Live Processing 193 Live Processing - FINANCIALS 194 Perform Live Processes 195 Post Live Review 196 Post Live Support 197 Reconciliation 198 Policy Review 199 Reporting 200 Control Point 8 - Live Processing 201 Client Sign-off on Post Live Review 202 Phase or Project Closure - FINANCIALS 203 Transition to Support & Customer Care 204 Document Lessons Learned 205 Control Point 9 - Phase or Project Closure 206 Functional Leaders Sign-off 207 Project Manager Sign-off 2 Phase 2 - Work Orders & Assets 1 Initiation 2 Contract Signing 3 Initial Client Contact 4 Schedule Project Kick-off/Analysis Visit 5 Schedule Verification Testing 6 Request Training Black Out Dates 7 Request Current Client Reports, Business Policy & Procedure documentation 8 Forms - Tyler Forms Kits provided to Client 9 Verification Testing (WebEx Session) 10 Conduct Verification Test 11 Control Point 1 12 Client Acceptance of Verification Test Script 13 Project Planning 14 Scope Management 15 Schedule Management 16 Quality Management/Testing 17 Communication Plan 18 Risk Management 19 Change Management 20 Resource Management 21 Conv - Conversion Planning 22 Conv - Review Contracted Conversion Options 23 Conv - Establish Conversion Timelines 24 Conv - Provide Client with Conversion Loading Instructions 25 Forms - Forms Planning 26 Forms - Review Existing Forms to determine Forms Requirements 27 Forms - Tyler Forms Kickoff Conference Call 28 Forms - Review Tyler Forms Process 32 Provide Initial Program Plan 33 Include Schedule for Functional Leader Phase 34 Control Point 2 35 Client Acceptance of Plans 36 Knowledge Transfer and Analysis 37 Knowledge Transfer from Functional Leaders to Tyler 38 Questionnaire & Current Business Practices 39 Discuss Potential Changes in Business Practices -1 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 Task Split Milestone Summary Project Summary External Tasks External Milestone Inactive Task Inactive Milestone Inactive Summary Manual Task Duration-only Manual Summary Rollup Manual Summary Start-only Finish-only Progress Deadline Oshkosh WI - Gantt Chart Page 3 Project: Master Project - Number of M Date: Fri 10/31/14 ID Task Name 40 Knowledge Transfer from Tyler to Functional Leaders 41 "As-Is" Product Overview Demonstration 42 TCS - Tyler Consulting Services (If Purchased) 43 TCS - Best Business Practices "To-Be" Delivered 44 TCS - Desktop Procedural Draft Development 45 TCS - Foundation: Test Plan Policy & Procedure 46 Conv - Conversion Analysis 47 Conv - Client Uploads Full Data Set, Layouts, WO table unloads and Companion Reports to FTP Server 48 Conv - Complete Conversion Process Document Including Crosswalks and Data Maps 49 Conv - Provide Completed Conversion Process Document Including Crosswalks and Data Maps 50 Conv - Conversion Request Form Sent to Conversion Team 51 Conv - Conversion Team to Review Data, Crosswalk Info, Analysis 52 Conv - Conversion Team Approval of Data Integrity 53 Forms - Analysis 54 Forms - Proof Request Preparation 71 Final Program Plan 72 Deliver Final Project Plan to Client 73 Control Point 3 74 Client Acceptance of Final Project Plan 75 Structural Foundation 76 Parameters & Auxiliary Settings 77 Code Structure Options 78 Reporting Needs 79 Import/Export File Layouts 80 System Admin Training 81 Auxiliary Table Setup 82 Client Homework 84 Control Point 4 85 Client Acceptance of Code Design 86 Client Acceptance of Auxiliary Table Completion 87 Static Enviornment Test (Set) of To Be Model 88 To-Be Solution training with Hand-keyed Control Data 89 TCS - Test Desktop Procedures 90 Static Environment Training/Testing 97 Forms - Sample Data Created 98 Control Point 5 99 TCS - Client Acceptance of Best Business Practices Document(s) (If TCS) 100 Client Acceptance of Control Set Performance 101 Client Acceptance to Move Forward 102 Implementation 103 Conv - Conversion Execution 104 Conv - Conversion Programming 108 Conv - Data Population 139 Forms - Execution 140 Forms - Design 146 Forms - Proofing 151 Training and Testing 152 Super User Training (Using Converted Data) 160 Forms - Testing 163 End User Training (Topics TBD) 164 User Acceptance Testing 167 Control Point 6 172 Live Preparation 173 Review Role Based Security 174 Review Auxiliary Table Setup 175 Review Workflow & Event Notification Setup 176 Mod - Modification moved to Live Environment 177 Conv - Conversion Final Pass 178 Conv - Final Data Extract Provided with table unloads and Companion Reports 179 Conv - Final Conversion Pass Delivered to Client -1 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 Task Split Milestone Summary Project Summary External Tasks External Milestone Inactive Task Inactive Milestone Inactive Summary Manual Task Duration-only Manual Summary Rollup Manual Summary Start-only Finish-only Progress Deadline Oshkosh WI - Gantt Chart Page 4 Project: Master Project - Number of M Date: Fri 10/31/14 ID Task Name 180 Conv - Refresh Training Database 181 Conv - Final Pass Loaded into MUNIS Train 182 Conv - Verify Data 183 Conv - Final Pass Loaded into MUNIS Live 184 Conv - Verify Data 185 Control Point 7 186 Conv - Client Acceptance of Final Conversion 187 Client Acceptance to Begin Live Processing 188 Live Processing 189 Perform Live Transactions in MUNIS 190 Enter Held Transactions 191 Onsite Go Live Support 192 Control Point 8 193 Client Live on MUNIS!!! 194 Post Live 195 30 Day GL Reconciliation Process 196 Control Point 9 197 Client Acceptance on 30 day GL Reconciliation Process 198 Closure 199 Project Evaluation and Feedback (Lessons Learned) 200 Transitional Services Call 201 Control Point 10 202 Client Acceptance of Project Closure 3 Phase 3 - Tax Billing 1 Initiation - TAX 2 Phase Kick-Off 3 Project Planning - TAX 4 Scope Management 5 Schedule Management 6 Quality Management/Testing 7 Communication Plan 8 Risk Management 9 Change Management 10 Resource Management 11 Conversion Planning 12 Existing Forms Review 13 Tyler Forms Kick-off Conf Call 14 Review Tyler Forms Process 15 Discuss Custom Programming & Impact on Scope 16 Discuss Printers and Equipment 17 Establish Timelines 18 Provide Initial Project Plan 19 Control Point - Planning Phase 20 Client Acceptance of Plans and Initial Project Plan 21 Structural Foundation - TAX 22 Questionnaire and Current Business Practices 23 Parameters and Auxiliary Settings 24 Charge Code Structure Options 25 Interfaces 26 Reporting Needs 27 Import/Export File Layouts 28 System Administration Training 29 Control Point - Structural Foundation 30 Client Acceptance of Charge Code Design 31 Knowledge Transfer and Analysis - TAX 32 Knowledge Transfer from Functional Leaders to Tyler 33 Changes in Business Practice 34 Knowledge Transfer from Tyler to Functional Leaders 35 Product Overview Demonstration 36 Best Practices (if contracted) -1 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 Task Split Milestone Summary Project Summary External Tasks External Milestone Inactive Task Inactive Milestone Inactive Summary Manual Task Duration-only Manual Summary Rollup Manual Summary Start-only Finish-only Progress Deadline Oshkosh WI - Gantt Chart Page 5 Project: Master Project - Number of M Date: Fri 10/31/14 ID Task Name 37 Modifications/Interfaces Analysis 38 Conversion Analysis 39 Forms - Analysis 40 Proof Request Preparation 41 Proof Request Transmissions 42 Forms - Verification Conference Call 43 Deliver Final Project Plan to Client 44 Auxiliary Table Setup 45 Control Point - Knowledge and Transfer Analysis 46 Client Acceptance of Client Specification Document 47 Client Acceptance of Tyler Forms Quote (if applicable) 48 Client Sign Off on Final Project Plan 49 Client Acceptance of Auxiliary Table Completion 50 Static Enviornment Test (Set) of To Be Model 51 To-Be Solution training with Hand-keyed Control Data 52 Test Desktop Procedures, if contracted 53 Static Environment Test 54 Control Point - Static Environment Test 55 Client Acceptance of Best Business Practices, if contracted 56 Client Sign Off on Control Set Performance 57 Client Authorization to Move Forward 58 Implementation - TAX 59 Conversion Execution 60 Conversion Programming 64 Data Population 65 Conversion Validation 66 Forms Execution 67 Forms - Design 72 Forms Proofing 73 Implementation Training and Testing 74 Core User Training-Master Programs, Processing, Maintenance 75 Forms - Testing 76 End User Training 77 User Acceptance Testing 80 Control Point - Implementation 81 Client Acceptance of Conversion 82 Client Acceptance to Load Forms into LIVE database 83 Client Acceptance of Training 84 Client Authorization to Move Forward 85 Live Preparation - TAX 86 Role Based Security Review 87 Auxiliary Tables Review 88 Verify Cash Station Functionality 89 Modifications moved to Live Environment 90 Conversion Final Pass 91 Control Point - Live Preparation 92 Client Signs Final Conversion Signoff Document 93 Client Sign Authorization to Begin Live Processing 94 Live Processing - TAX 95 Perform Live Transactions in MUNIS 96 Onsite Go Live Support 97 Control Point - Live Processing 98 Client Live on MUNIS 99 Post Live Proceses - TAX 100 Post Live Reconciliation 101 Control Point - Post Live Processing 102 Client Acceptance of Reconciliation Test 103 Phase Closure - TAX 104 Document Lessons Learned 105 Transitional Services Call -1 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 Task Split Milestone Summary Project Summary External Tasks External Milestone Inactive Task Inactive Milestone Inactive Summary Manual Task Duration-only Manual Summary Rollup Manual Summary Start-only Finish-only Progress Deadline Oshkosh WI - Gantt Chart Page 6 Project: Master Project - Number of M Date: Fri 10/31/14 ID Task Name 106 Control Point - Phase Closure 107 Client Acceptance of Project Closure 4 Phase 4 - Utility Billing 1 Initiation 2 Phase Kick-Off 3 Project Planning 4 Scope Management 5 Schedule Management 6 Quality Management/Testing 7 Communication Plan 8 Risk Management 9 Change Management 10 Resource Management 11 Conversion Planning 12 Existing Forms Review 13 Tyler Forms Kick-off Conf Call 14 Review Tyler Forms Process 15 Discuss Custom Programming & Impact on Scope 16 Discuss Printers and Equipment 17 Establish Timelines 18 Provide Initial Project Plan 19 Control Point - Planning Phase 20 Client Acceptance of Plans and Initial Project Plan 21 Structural Foundation 22 Questionnaire and Current Business Practices 23 Parameters and Auxiliary Settings 24 Charge Code Structure Options 25 Interfaces 26 Reporting Needs 27 Import/Export File Layouts 28 System Administration Training 29 Control Point - Structural Foundation 30 Client Acceptance of Charge Code Design 31 Knowledge Transfer and Analysis 32 Knowledge Transfer from Functional Leaders to Tyler 33 Changes in Business Practice 34 Knowledge Transfer from Tyler to Functional Leaders 35 Product Overview Demonstration 36 Best Practices (if contracted) 37 Modifications/Interfaces Analysis 38 Conversion Analysis 39 Forms - Analysis 40 Proof Request Preparation 41 Proof Request Transmissions 42 Forms - Verification Conference Call 43 Deliver Final Project Plan to Client 44 Auxiliary Table Setup 45 Control Point - Knowledge and Transfer Analysis 46 Client Acceptance of Client Specification Document 47 Client Acceptance of Tyler Forms Quote (if applicable) 48 Client Sign Off on Final Project Plan 49 Client Acceptance of Auxiliary Table Completion 50 Static Enviornment Test (Set) of To Be Model 51 To-Be Solution training with Hand-keyed Control Data 52 Test Desktop Procedures, if contracted 53 Static Environment Test 54 Control Point - Static Environment Test 55 Client Acceptance of Best Business Practices, if contracted 56 Client Sign Off on Control Set Performance 57 Client Authorization to Move Forward -1 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 Task Split Milestone Summary Project Summary External Tasks External Milestone Inactive Task Inactive Milestone Inactive Summary Manual Task Duration-only Manual Summary Rollup Manual Summary Start-only Finish-only Progress Deadline Oshkosh WI - Gantt Chart Page 7 Project: Master Project - Number of M Date: Fri 10/31/14 ID Task Name 58 Implementation 59 Conversion Execution 60 Conversion Programming 64 Data Population 65 Conversion Validation 66 Forms Execution 67 Forms - Design 72 Forms Proofing 73 Implementation Training and Testing 74 Core User Training-Master Programs, Processing, Maintenance 75 Forms - Testing 76 End User Training 77 User Acceptance Testing 80 Control Point - Implementation 81 Client Acceptance of Conversion 82 Client Acceptance to Load Forms into LIVE database 83 Client Acceptance of Training 84 Client Authorization to Move Forward 85 Live Preparation 86 Role Based Security Review 87 Auxiliary Tables Review 88 Verify Cash Station Functionality 89 Modifications moved to Live Environment 90 Conversion Final Pass 91 Control Point - Live Preparation 92 Client Signs Final Conversion Signoff Document 93 Client Sign Authorization to Begin Live Processing 94 Live Processing 95 Perform Live Transactions in MUNIS 96 Onsite Go Live Support 97 Control Point - Live Processing 98 Client Live on MUNIS 99 Post Live Proceses 100 Post Live Reconciliation 101 Control Point - Post Live Processing 102 Client Acceptance of Reconciliation Test 103 Phase Closure 104 Document Lessons Learned 105 Transitional Services Call 106 Control Point - Phase Closure 107 Client Acceptance of Project Closure -1 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 Task Split Milestone Summary Project Summary External Tasks External Milestone Inactive Task Inactive Milestone Inactive Summary Manual Task Duration-only Manual Summary Rollup Manual Summary Start-only Finish-only Progress Deadline Oshkosh WI - Gantt Chart Page 8 Project: Master Project - Number of M Date: Fri 10/31/14 1.1.1 Deliverable Expectations 1.1.2 Tyler Functional Project Managers Objective: Maintaining control of MUNIS deliverables, project scope, budgetary constraints, and communications. Deliverables Project Plan by Phase Project Calendar MUNIS Status Reports Agendas Issues Tracking Sheet Account Reconciliation Tracking Sheet Change Order Forms Format: All outputs of Tyler Project Management scope will be provided in soft copy. 1.1.3 Client Project Manager Objective: Maintaining control of City tasks, internal project scope, internal budgetary constraints, internal resource management and communications. Deliverables Resource Availability Calendar Internal Project Status Reports Critical Stop Sign-offs Schedule Acceptance Notice Issues Tracking Sheet Change Order Forms Format: All outputs of Client Project Management scope will be provided in soft copy. 1.1.4 Risk Management Objective: Defining methods and procedures for assessing and dealing with possible threats that could arise inside or outside the organization. Deliverables Risk Management Plan Risk Register Status Reports Format: Tyler will provide the base Risk Management Plan and Risk Register and work with the Client Project Manager and team to refine them to their final versions. These will be published on the Project SharePoint site. Risks will be jointly monitored on the Project SharePoint site, throughout the project. 1.1.5 Change Management Objective: Develop Change Management Plan to ensure that all changes (i.e., scope, technical, schedule, and cost) are properly identified, evaluated, implemented or rejected, tested, and documented. Deliverables Change Management Plan Change Management Tools Format: Tyler and Client will co-develop the Change Management Plan. Tyler will provide the base Change Management Plan and work with the Client Project Manager and team to refine it to its final version. Unless specifically contracted, the client is responsible for the internal Change Management Process. 1.1.6 Quality Management Plan Objective: To define metrics and processes for performing system testing and maintaining quality standards. Tyler and Client will co-develop the Quality Management Plan. Tyler will provide the base Quality Management Plan and work with the Client Project Manager and team to refine it to its final version. Client owns responsibility for developing test scripts unless otherwise contracted. Policy Testing is a shared responsibility, reliant on Client providing updated Policy manuals for use in testing. Security, Integration, Unit and Regression Testing are shared tasks completed during all other testing processes. Parallel Testing is performed with certain applications and is a shared task for initial test and shifted to Client ownership for subsequent parallels. Deliverables Quality Management Plan Format: Quality Management Plan and Verification Test are delivered in soft format. 1.1.7 Communications Plan Objective: To define the formal and informal communications that are critical throughout the Tyler project. The Plan includes specific information regarding the type of communication, purpose, scope, objectives, audience, responsibilities, format, and timing. Tyler and Client will co-develop the Communication Plan. Tyler will provide the base Communication Management Plan and work with the Client Project Manager and team to refine it to its final version. Project Status Meetings and Project Team Meetings are internal to the client. Tyler Implementation Meetings are a shared responsibility. Project Status Reports are generated by the Tyler PM on a bi-weekly basis. Deliverables Communications Management Plan Project Status Reports Tyler SharePoint site Agendas Format: Agendas for meetings, the Communication Plan and Status Reports will be delivered in soft format. 1.1.8 Schedule Management Objective: To define the process of how the master project schedule will be established, managed and modified. Tyler and the Client will co-develop schedule management plan. Tyler will provide the base Schedule Management Plan and work with the Client Project Manager and team to refine it to its final version. Format: Calendars for Tyler activities will be delivered in soft format. Requests for Schedule Changes and Schedule Reporting will also be delivered in soft format. Deliverables Schedule Management Plan Project Schedule Format: Schedule Management Plan and Project Schedule will be delivered in soft format and published on the Project SharePoint site. 1.1.9 Scope Management Plan Objective: To define the scope of activities performed under the Tyler Contract. Specifically, this describes the expectations, participant roles and responsibilities, and project approach to implementation of the suite of Tyler software modules. Tyler and Client will co-develop the Scope Management Plan. Tyler will provide the base Scope Management Plan and work with the Client Project Manager and team to refine it to its final version Deliverables Scope Management Plan Project Contract Statement of Work Format: The Scope Management Plan will be delivered in soft format and published on the Project SharePoint site. 1.1.10 Resource Management Plan Objective: To establish the processes that organize and manage the project team and the necessary physical resources for the project tasks. Tyler and Client will co-develop the Resource Management Plan. Tyler will provide the base Resource Management Plan and work with the Client Project Manager and team to refine it to its final version The Client Project Manager is responsible for managing the plan as is applicable to internal resources. The Tyler Project Manager is responsible for managing the plan as is applicable to Tyler resources. Deliverables Resource Management Plan Format: The Resource Management Plan will be delivered in soft format and published on the Project SharePoint site. 1.1.11 Education Management Plan Objective: Define the process of transferring knowledge bi-directionally between Tyler and the Client. Tyler and Client will co-develop the Education Management Plan. Tyler will provide the base Education Management Plan and work with the Client Project Manager and team to refine it to its final version The Client Project Manager is responsible for managing the plan as is applicable to internal resources. The Tyler Project Manager is responsible for managing the plan as is applicable to Tyler resources. Deliverables Education Management Plan Format: The Education Management Plan will be delivered in soft format and published on the Project SharePoint site. 1.1.12 Conversion Processes Objective: Plan and define the conversion process, identify activities, and define assumptions, complete conversion programming and proofing. Tyler and Client will co-develop the Conversion Plan. Tyler will provide the base Conversion Plan and work with the Client Project Manager and team to refine it to its final version The Client Project Manager is responsible for managing the plan as is applicable to internal resources. The Tyler Project Manager is responsible for managing the plan as is applicable to Tyler resources. The Tyler Conversion Team is responsible for programming, running and loading the conversion. Tyler owns training Client on Data Verification process and assists in issue resolution. Client Project Manager owns Conversion Acceptance. Deliverables Conversion Plan Contracted conversion files Tyler assistance/training on data validation Conversion Acceptance Sign-off Format: The Conversion Plan will be delivered in soft format and published on the Project SharePoint site. Tyler’s Implementation Methodology groups Client and Tyler resources based on their functional role within the project. This allows for easier staffing and communication both within the Client and between the Client and Tyler’s Project Team. Below is an explanation of the different resources and their responsibilities in the project. (Note: The roles defined below are typical project roles. Due to the size and staffing of our clients, one person may hold multiple roles within a project. The individuals involved in the project, along with their assigned role(s) will be identified during project planning for further clarification of responsibilities.) 1.1.1 Tyler Project Team Tyler Project Manager Scheduling and leading the Kick-Off Meeting Providing an initial task list for the project Working with the Client PM to coordinate an implementation schedule Scheduling Munis resources for training days Coordination of services with Tyler Forms Coordination of conversion services with appropriate departments within Munis. Oversee project and monitor progress with Client PM Hold regular conference calls with Client PM to review status and progress of project and to identify any outstanding issues. Manage Change Orders Implementation Consultant Perform Verification Testing Deliver System Administration Training Deliver Knowledge Transfer Analysis Participate in Static Environment Testing Assist with Forms Analysis Perform System Design and Auxiliary Table Analysis Assist with Data Conversion Analysis Train Client in Conversion Validation process Assist in Testing and Parallel Processes Super User Training Decentralized Training (if purchased) Pre-live services Go-live support Post-live reconciliation and training Implementation Analyst Immediate direct support for Implementation Staff on site. Assistance in all Implementation Specialist’s duties. Assistance to Implementation Staff on site for tracking or obtaining information so Implementation Staff can continue training or continue with a process without interruption. Special processing or assistance in the absence of an Implementation Specialist. Conversion Programmer Validate data files are readable Provide definition of the standard file formats Development and testing of the programs and/or processes used to create the data using the mapping rules Perform conversion Revision of the results as data anomalies and exception conditions are discovered Tyler Forms Designer Provide specifications for all purchased forms Review requirements for equipment and supplies Provide instruction sheets and form mock-up sheets Conduct review of client’s form mock-up sheets Create form designs Install forms software and approved forms Provide training on forms Technical Support Participate in transition call from implementation to support Provide timely response to questions and issues based on call priorities Escalate issues to Senior Analysts and Development as needed Seek client confirmation of issue resolution Support Account Manager Participate in transition call from implementation to support Provide post-live status conference calls Help to identify post-live service needs Coordinate any items that span several departments. Maintain ongoing relationship 1.1.2 Client Project Resources Client Executive Sponsor Member of Management – the person who approved the funds and resources for the project. Typically does not have a direct role in the project. Must be kept updated on the status of the project – budget, scope, schedule, etc. Designates the ERP project a top priority for the Client during implementation. Assists in issue resolution, when necessary. (i.e., a team member is unable to make a timely decision, a team member has other priorities resulting in missed due dates). Client Project Manager Works with the Tyler Project Manager to ensure tasks are completed and decisions are made in a timely fashion. Is able to escalate unresolved issues or disputes in a timely manner. Assists the Tyler Project Manager in defining the Project Management Plan in order to effectively manage the scope of the project and all changes that occur throughout the life of the project. Ability to obtain proper authorization of Change Orders to the contract based on business decisions that may impact the scope of the project. Client System Administrator Load Releases and code Copy LIVE database to Training database as needed for training days Create any necessary conversion files to be transmitted to MUNIS or 3rd Party Vendors Add new users and printers Perform basic server system maintenance Ensure all users understand MUNIS log-on process and have necessary permission for all training sessions Ensure network and infrastructure meets or exceeds requirements provided by Tyler Attend scheduled Installation and System Administration training Client Functional Leaders Provide detailed policy information Analyze potential policy changes Subject matter experts on selected modules Participate in knowledge transfer and analysis sessions Sign off on system design Participate in form design Participate in conversion mapping and validation Participate in testing and parallels Assign department resources for training and internal project tasks Complete Workflow and Security templates for all end users Complete Auxiliary Tables Attend all training sessions or appoint an appropriate management level designee Assess end user competency on trained topics Assess policy compliance Provide end users with dedicated time to complete required homework tasks Act as supervisor/cheerleader for the new MUNIS process Identify and communicate to Client PM any additional training needs or scheduling conflicts Help document lessons learned at end of each phase and signoff on formal acceptance for phase close- out Perform Live Processes Client Core Users Attend scheduled implementation sessions after initial analysis May be involved in initial analysis Assist with set up of codes and tables Assist with testing processes, forms, interfaces, etc Assist with conversion data proofing Complete tasks as assigned. Practice skills learned within training before Live processing date. Communicate Departmental needs to Functional Leaders, Project Manager and MUNIS Project Manager (i.e. approval work flow, reporting, etc.) Communicate any problems, errors or difficulties understanding or applying accepted Policies and Procedures to Functional Leaders and Project Manager Demonstrate competency with MUNIS processing prior to GO LIVE Perform Live Processes Client End Users Have basic computer skills: Using a mouse Clicking on an icon to open a new window Minimizing windows Switching between open windows Printing screens Understanding the desktop Able to log in to network and Munis Attend Training as offered. The End User should be prepared to dedicate to training day(s) completely, freeing themselves of daily responsibilities and interruptions. Complete tasks as assigned. Practice skills learned within training before Live processing date. Communicate Departmental needs to Functional Leaders, Project Manager and MUNIS Project Manager (i.e. approval work flow, reporting, etc.) Communicate any problems, errors or difficulties understanding or applying accepted Policies and Procedures to Functional Leaders and Project Manager Demonstrate competency with MUNIS processing prior to GO LIVE Perform Live Processes Attachment A: Reference Form References shall be included subject to the City’s preferences cited in Section 9.0 of the RFP. It is mandatory for proposers to complete the following table for all references. CONTACT INFORMATION Organization Name: City of Hartford, CT Organization Size / Description Population: 124,000 Budget: 463 Million Employee Count:13,000 Contact Name: Mary Pippen Title: MHIS Manager/ Project Leader Address: 260 Constitution PL Hartford CT 06113 Phone: (860) 757-9430 Email: PIPPM001@hartford.gov PROJECT INFORMATION Project Name: Tyler Munis ERP Solution Project Dates: (Start-Finish) 36 months Implementation and went LIVE in January of 2008 Project Description: The mission of the MUNIS Financial System Resources project is to implement an integrated Enterprise Resource Planning (ERP) financial system that promotes the joint vision of the City of Hartford, Hartford Public Schools District, to deliver “world class” service to their constituent populations. The MUNIS Financial Systems project envisions an environment of full collaboration among the City of Hartford, the Hartford Public Schools District that examines current practices and identifies improvement opportunities, which leverage human capital resources, institutional knowledge, and technology in an effort to continuously improve service and productivity City-wide. The essential scope of the MUNIS Financial System Project is to implement the core financial modules (General Ledger, Budgeting, and Accounts Payable) City-wide in its vanilla or native form, with notable exceptions related to regulatory compliance, audits requirements and best financial/accounting practices. Other modules that will be put in place are: General Billing, Treasury Management, GASB 34 Report Writer, and Project Accounting. The goal of this implementation is to replace the current Smart Stream financial application by July 1, 2008. This Enterprise Resources Planning package will allow the City and BOE financial operations to function more efficient and stream financial transaction for better and accurate accounting practices. Was the project completed on time and on budget? If not, provide a description. Yes, at Tyler, we believe your software should be delivered and implemented on schedule, and within budget. That’s more than a goal for Tyler. It’s an expectation. A well-planned implementation incorporates best business processes, role-based business intelligence, and unique user interfaces that increase efficiency and productivity. Leveraging your Tyler software to improve overall operations is an investment—but the ultimate return is tied directly to a successful implementation. Tyler’s well-planned, closely monitored, and controlled implementation maximizes your return with a standardized process designed for success. We place as much importance on the planning, executing, and monitoring of the implementation process as our clients dedicate to choosing the right software system. We understand the implementation of a new software system is a major undertaking, one that you don’t want to repeat every 5-7 years. In fact, a recent GFOA study states that an ERP system ought to last 10-15 years. We think it should last longer. That’s why our goal is to provide you with the best implementation experience possible, backed by our professional team of developers, implementers, and support staff. Provide any lessons learned: Tyler’s Munis solution allowed the City and BOE financial operations to function more efficient and streamline financial transaction for better and accurate accounting practices CONTACT INFORMATION Organization Name: Clermont County, OH Organization Size / Description Population: 193,000 Budget: 275 Million Employee Count:1,250 Contact Name: Chris Mehlman Title: Deputy Auditor – Financial Operations Address: 101 East Main Street Batavia, OH 45103 Phone: 513.732.7576 Email: cmehlman@clermontcountyohio.gov PROJECT INFORMATION Project Name: Tyler Munis ERP Solution Project Dates: (Start-Finish) 24 Month Implementation and went LIVE in July of 2011 Project Description: Clermont County invested in a wide range of Tyler’s MUNIS financial and human resource applications with the goal of improving its business operations through the automation of processes, enhanced tracking and reporting, and workflow features offered by the solution. Using Tyler’s role-tailored dashboard, Clermont County department heads gained convenient access to budgetary, payroll and staffing information in the Munis system, eliminating the need to request data from within their department or from other offices. Human resources was another area in which Clermont County gained efficiencies by employing Tyler’s Munis solution. Munis is designed to ease applicant tracking, making it possible to build personnel records once an applicant is hired and eliminating the need for duplicate entries by staff. The county also completely automated its payroll process, as well as provided employees with access to information and services through the self-service function of MUNIS Payroll. Was the project completed on time and on budget? If not, provide a description. Yes, at Tyler, we believe your software should be delivered and implemented on schedule, and within budget. That’s more than a goal for Tyler. It’s an expectation. Provide any lessons learned: Clermont County was able to utilize internal expertise and knowledge to implement the Munis ERP solution to provide cost savings and efficiencies. Clermont looked to utilize the system and change internal business practices to best utilize the system. CONTACT INFORMATION Organization Name: City of Brookfield, WI Organization Size / Description Population: 40,000 Budget: 45 Million Employee Count: 334 Contact Name: Kevin Beck Title: Information Technology Director Address: 2000 N. Calhoun Rd. Brookfield, WI 53005-5054 Phone: (262) 796-6645 Email: Beck@ci.brookfield.wi.us PROJECT INFORMATION Project Name: Tyler Munis ERP Solution Project Dates: (Start-Finish) 7 Month Implementation went LIVE in January 2009 Project Description: Brookfield invested in a wide range of Tyler’s MUNIS financial, revenue and human resource applications with the goal of improving its business operations through the automation of processes, consolidation, enhanced tracking and reporting, and workflow features offered by the solution. Was the project completed on time and on budget? If not, provide a description. Yes, at Tyler, we believe your software should be delivered and implemented on schedule, and within budget. That’s more than a goal for Tyler. It’s an expectation. Provide any lessons learned: Since 1966 Tyler has enjoyed significant success working with clients across the United States, Canada, and the Caribbean—clients ranging from small towns, independent schools, municipal boards and utility districts to large cities, counties and state-wide school districts. How do we do it? For starters, Tyler considers every prospective Munis client's unique vision and needs—from product design and development to in-house PMI® certified implementation teams and HDI-CSR® certified support staff. Combine that with the robust, technically advanced, fully integrated 360-degree solution that Munis offers—and it’s no wonder it’s one of the most widely-selected ERP solutions on the market today. But don’t just take our word for it—take a look at who’s joined the Munis family in the last two years: City of Wichita Falls, TX 5/2014 (replaced SCT Banner) Crow Wing County, MN 4/2014 (replaced SunGard BiTech) City of Racine, WI 4/2014 (replaced Harris GEMS) Las Alamos County, NM 4/2014 City of College Station, TX 4/2014 (replaced SunGard HTE) City of New Port Richey, FL 3/2014 (replaced SunGard HTE) City of Grant Pass, OR 3/2014 (replaced SunGard HTE) City of Rowlett, TX 3/2014 (replaced New World Systems) City of New Port Beach, CA 3/2014 (replaced SunGard Pentamation) Chatham County, NC 3/2014 (replaced SunGard HTE) City of Rapid City, SD 3/2014 (replaced SunGard Bi-Tech) Portage County, WI 3/2014 (replaced Homegrown solution) Town of Herndon, VA 3/2014 (replaced SunGard HTE) City of Greenville, NC 2/2014 (replaced SunGard HTE) Monroe County, WI 2/2014 (replaced ACS) City of Bloomington, MN 1/2014 (replaced SunGard HTE) City of West Jordan, UT 1/2014 City of Lafayette, IN 1/2014 (replaced New World Systems) City of Allen, TX 1/2014 (replaced SunGard HTE) City of Ukiah, CA 1/2014 Washington Township, OH 1/2014 (replaced Software Solutions Inc.) Lincoln County, NC 12/2013 (replaced New World Systems) Madison County, NY 12/2013 (replaced Systems East) El Paso County, TX 12/2013 (replaced Harris Cogsdale) City of Columbus, IN 12/2013 (replaced Keystone Information Systems Horry County, SC 12/2013 (replaced Homegrown solution) Pasco County, FL 12/2013 (replaced AMS) City of Pasadena, CA 12/2013 (replaced SunGard One Solution) City of San Marcos, TX 12/2013 (replaced Oracle) Sumner County, TN 12/2013 (replaced Local Government Solutions) City of Mission Viejo, CA 11/2013 (replaced SunGard Bi-Tech) Town of Greenburgh, NY 11/2013 (replaced ACS) Town of Bridgewater, MA 11/2013 (replaced WTI) Jefferson County, NY 11/2013 (replaced New World Systems) City of Hopewell, VA 11/2013 (replaced Harris Gems) City of Marco Island, FL 11/2013 (replaced American Data Group) City of Columbia, MO 11/2013 (replaced SunGard HTE) City of Opelika, AL 10/2013 (replaced SunGard HTE) Franklin County, VA 10/2013 (replaced Harris GEMS) Northumberland County, PA 9/2013 (replaced Harris GEMS) Forsyth County, GA 9/2013 (replaced Harris GEMS) City of Joliet, IL 9/2013 (replaced SunGard HTE) City of Clinton, SC 9/2013 (replaced QS/1 Government Solutions) Town of Windham, CT 9/2013 (replaced SunGard Phoenix) Newton County, GA 9/2013 (replaced Harris TBS) City of Boulder, CO 8/2013 (replaced Harris Cogsdale) City of Green Bay, WI 8/2013 (replaced SunGard HTE) City of Hallandale Beach, FL 7/2013 (replaced SunGard HTE) City of Lynnwood, WA 7/2013 (replaced Harris GEMS) Rowan County, NC 6/2013 (replaced SunGard HTE) City of West Lafayette, IN 6/2013 Town of Hopkinton, MA 6/2013 (replaced IMG Financials) Town of Saugus, MA 6/2013 (replaced ACS) City of Pueblo, CO 6/2013 (replaced SunGard HTE) Town of New Milford, CT 5/2013 (replaced R Walsh) Baltimore County, MD 5/2013 City of Longmont, CO 4/2013 (replaced In-House Solution) City of River Falls, WI 4/2013 (replaced Civic Systems) Otero County, NM 4/2013 Town of South Kingston, RI 3/2013 (replaced ADMINS) Town of Goffstown, NH 3/2013 (replace Interware Dev) City of Paso Robles, CA 3/2013 (replaced Harris Govern) El Dorado County, CA 3/2013 (replaced Harris Cogsdale) Union County, OH 3/2013 (replaced MFCD) City of Wheaton, IL 3/2013 (replaced IDC) City of Chaska, MN 3/2013 (replaced Gemini) City of Kannapolis, NC 2/2013 (replaced Harris GEMS) Village of Pleasant Prairie, WI 1/2013 (replaced Cassell) City of Oakland Park, FL 1/2013 (replaced Harris Govern) City of Beverly Hills, CA 12/2012 (replaced SunGard Pentamation) City of Lebanon, TN 12/2012 (replaced Local Government Corp) Gila River Indian Community 12/2012 Fauquier County, VA 12/2012 (replaced Brite) City of Round Rock, TX 12/2012 (replaced PeopleSoft) Livingston County, MI 12/2012 (replaced Harris Cogsdale) City of Santa Barbara, CA 11/2012 (replaced ADMINS) Sweetwater County, WY 11/2012 (replaced SunGard HTE) City of Mesquite, TX 10/2012 City of Iowa City, IA 9/2012 (replaced ADMINS) City of Naples, FL 9/2012 (replaced SunGard HTE) Laramie County, WY 9/2012 (replaced SunGard HTE) Miami County, OH 9/2012 City of Cape Girardeau, MO 9/2012 Berrien County, MI 8/2012 (replaced In-House Solution) City of Cortland, NY 8/2012 (replaced In-House Solution) City of Fairhope, AL 7/2012 (replaced In-House Solution) Town of Mount Desert, ME 7/2012 (replaced Harris Trio) Clinton County, OH 7/2012 (replaced In-House Solution) Butler County, OH 7/2012 (replaced Oracle) Otero County, NM 6/2012 City of Gillette, WY 6/2012 (replaced SunGard HTE) City of Charlotte, NC 6/2012 (replaced PeopleSoft) Williamson County, TN 6/2012 (replaced Local Gov’t Corp) City of Manassas Park, VA 6/2012 (replaced Brite) Person County, NC 5/2012 (replaced Logics LLC) City of Lenexa, KS 5/2012 (replaced Sungard Pentamation) City of Boulder City, NV 5/2012 (replaced SunGard HTE) City of Sierra Vista, AZ 5/2012 (replaced SunGard HTE) City of Hayward, CA 4/2012 (replaced Unisys) Seneca County, NY 4/2012 (replaced AMS) City of Baltimore, MD 3/2012 St Lawrence County, NY 3/2012 (replaced Harris GEMS) City of Sioux Falls, SD 3/2012 (replacing SunGard HTE) City of Colleyville, TX 3/2012 City of Des Moines, IA 1/2012 (replaced PeopleSoft) City of New Bedford, MA 12/2011 (replaced Harris GEMS) Ottawa County, MI 10/2011 (replaced New World Systems) City of Culver City, CA 9/2011 (replaced JD Edwards) Town of Jupiter, FL 9/2011 (replaced SunGard HTE) City of Bradenton, FL 9/2011 City of Alexandria, VA 8/2011 (replaced Harris Cogsdale) Sussex County, DE 8/2011 (replaced JD Edwards) City of Bountiful, UT 8/2011 (replaced New World Systems) City of Sanibel, FL 8/2011 (replaced SunGard HTE) City of Roswell, GA 8/2011 (replaced SunGard Pentamation) City of Smyrna, GA 8/2011 (replaced SunGard Pentamation) City of Plant City, FL 7/2011 City of Lewiston, ID 7/2011 (replaced Harris GEMS) City of Waukesha, WI 7/2011 (replaced JD Edwards) City of Miramar, FL 6/2011 (replaced SunGard Pentamation) Mason County, GA 6/2011 (replaced Compu Tech) Prince George County, VA 6/2011 City of Alpharetta, GA 6/2011 (replaced SunGard HTE) City of Florence, SC 4/2011 (replaced homegrown system) City of Sandy Springs, GA 2/2011 (replaced SunGard HTE) City of Covina, CA 2/2011 (replaced SunGard Bi-Tech) Vanderburgh County, IN 1/2011 (replaced homegrown system) Escambia County, FL 1/2011 Local Government: City of Racine (replaced Harris GEMS) Population: 81,855 Annual Budget: $148M Employees: 1,300 Contact: Kathy Kasper, Purchasing Director Phone: (262) 636-9143 E-mail: kathryn.kasper@cityofracine.org Date Installed: 4/2014 Applications Used: Financial Human Resources Revenue Specialty Items GL, Budget, AP Payroll A/R, Cash Receipting Business Analytics Purchasing Human Resources General Billing Self Service Fixed Assets Applicant Tracking Business Licenses Content Manager Contract Management Special Assessments Project Accounting Content Management Content Management Local Government: City of Green Bay (replaced Harris GEMS) Population: 104,300 Annual Budget: $101M Employees: 1,500 Contact: Dawn Foeller, Director of Finance Phone: 920-448-3026 E-mail: dawnfo@ci.green-bay.wi.us Date Installed: 9/2013 Applications Used: Financial Human Resources Revenue Specialty Items GL, Budget, AP Payroll A/R, Cash Receipting Business Analytics Purchasing Human Resources General Billing Self Service Fixed Assets Employee Expense Reimbursement CAFR Reporter Project Accounting Content Manager Contract Management Tyler Pulse Bid Management Risk Management Local Government: City of Madison Population: 208,055 Annual Budget: $455 M Employees: 2,000 Contact: Patty McDermott, Accounting Manager Phone: (608) 266-4478 E-mail: pmcdermott@cityofmadison.com Date Installed: 5/2010 Applications Used: Financial Human Resources Revenue Specialty Items GL, Budget, AP Payroll A/R, Cash Receipting Business Analytics Purchasing Human Resources General Billing Self Service Fixed Assets Applicant Tracking Utility Billing CAFR Reporter Project Accounting Employee Expense Reimbursement ESRI Interface Bid Management Content Manager Contracts Disaster Recovery Service Inventory OSDBA Performance Based Budgeting Local Government: City of Waukesha (replaced JD Edwards) Population: 65,000 Annual Budget: $94 M Employees: 576 Contact: Chris Pofahl, Project Manager Phone: (262) 524-3566 E-mail: cpofahl@ci.waukesha.wi.us Date Installed: 8/2011 Applications Used: Financial Human Resources Revenue Specialty Items GL, Budget, AP A/R, Cash Receipting Business Analytics Purchasing General Billing Content Manager Fixed Assets Tyler Cashiering CAFR Reporter Project Accounting Animal Licenses Cash Management WI Tax Billing Local Government: City of River Falls (replaced Civic Systems) Population: 15,000 Annual Budget: $30 M Employees: 150 Contact: Julie Bergstrom, Director of Finance Phone: (715) 426-3416 E-mail: jbergstrom@rfcity.org Date Installed: 4/2013 Applications Used: Financial Human Resources Revenue Specialty Items GL, Budget, AP Payroll A/R, cash Receipting Business Analytics Purchasing Human Resources General Billing Content Manager Fixed Assets Project Accounting Cash Management Local Government: Village of Pleasant Prairie (replaced Civic Systems) Population: 16,000 Annual Budget: $30 M Employees: 500 Contact: Daniel Honore, Director of IT Phone: 262-925-6771 E-mail: dhonore@plprairiewi.com Date Installed: 1/2013 Applications Used: Financial Human Resources Revenue Specialty Items GL, Budget, AP Payroll A/R, Cash Receipting Business Analytics Purchasing Human Resources General Billing Self Service Fixed Assets Applicant Tracking Utility Billing CAFR Reporter Project Accounting Animal Licenses Content Manager Cash Management Tyler Cashiering Local Government: City of Mequon (replaced New World Systems) Population: 24,000 Annual Budget: $20 M Employees: 300 Contact: Tom Watson, Director of Finance Phone: (262) 236-2955 E-mail: twatson@ci.mequon.wi.us Date Installed: 7/2010 Applications Used: Financial Human Resources Revenue Specialty Items GL, Budget, AP Payroll A/R, Cash Receipting Business Analytics Purchasing Human Resources General Billing Self Service Fixed Assets Applicant Tracking Utility Billing CAFR Reporter Project Accounting Animal Licenses Content Manager Inventory Business Licenses Disaster Recovery Work Orders Permits/Inspections MapLink GIS Utility Billing OSDBA Local Government: City of Brookfield (replaced New World Systems) Population: 37,000 Annual Budget: $45 M Employees: 350 Contact: Robert Scott, Director of Finance Phone: (262) 796-6643 E-mail: scott@ci.brookfield.wi.us Date Installed: 5/2008 Applications Used: Financial Human Resources Revenue Specialty Items GL, Budget, AP Payroll A/R, Cash Receipting Business Analytics Purchasing Human Resources General Billing Self Service Fixed Assets Applicant Tracking WI Tax Billing CAFR Reporter Project Accounting Permits/Inspections Content Manager Business Licenses MapLink GIS OSDBA Disaster Recovery Local Government: City of Sun Prairie Population: 21,000 Annual Budget: $30 M Employees: 500 Contact: Brenden Pautsch, Administration Phone: (608) 825-0843 E-mail: bpautsch@cityofsunprairie.com Date Installed: 11/2008 Applications Used: Financial Human Resources Revenue Specialty Items GL, Budget, AP Payroll A/R, Cash Receipting Business Analytics Purchasing Human Resources General Billing Self Service Fixed Assets Permits/Inspections OSDBA Project Accounting Work Orders Inventory Local Government: City of Oshkosh Population: 63,000 Annual Budget: $67 M Employees: 700 Contact: Tony Neumann, Director of IT Phone: (920) 236-5148 E-mail: tneumann@ci.oshkosh.wi.us Date Installed: 2/2007 Applications Used: Financial Human Resources Revenue Specialty Items Payroll Business Analytics Human Resources Self Service Local Government: City of West Bend Population: 28,200 Annual Budget: $45 M Employees: 300 Contact: Amy Ajack, IS Director Phone: 262-335-5189 E-mail: iscoord@ci.west-bend.wi.us Date Installed: 7/2006 Applications Used: Financial Human Resources Revenue Specialty Items GL, Budget, AP Payroll A/R, Cash Receipting Business Analytics Purchasing Human Resources General Billing Self Service Project Accounting Permits/Inspections OSDBA Inventory Special Assessments Work Orders Animal Licenses Cash Management Local Government: City of Sheboygan Population: 50,800 Annual Budget: $72 M Employees: 500 Contact: Dave Augustin, IT Director Phone: (920) 459-3302 E-mail: dave.augustin@ci.sheboygan.wi.us Date Installed: 3/2008 Applications Used: Financial Human Resources Revenue Specialty Items GL, Budget, AP Payroll A/R, Cash Receipting Business Analytics Purchasing Human Resources General Billing Self Service Fixed Assets Applicant Tracking Permits/Inspections Content Manager Project Accounting Business Licenses CAFR Reporter Cash Management Parking Tickets Local Government: City of New Berlin Population: 38,200 Annual Budget: $42 M Employees: 250 Contact: Susan Lukas, IT Director Phone: (262) 797-2440 E-mail: slukas@newberlin.org Date Installed: 12/2003 Applications Used: Financial Human Resources Revenue Specialty Items GL, Budget, AP Payroll A/R, Cash Receipting Business Analytics Purchasing Human Resources General Billing Self Service Project Accounting Utility Billing SaaS WI Tax Billing Permits/Inspections Local Government: City of Eau Claire Population: 62,000 Annual Budget: $86 M Employees: 600 Contact: Tom Hoff, Financial Services Director Phone: (715) 839-4748 E-mail: tom.hoff@eauclairewi.gov Date Installed: 8/2000 Applications Used: Financial Human Resources Revenue Specialty Items GL, Budget, AP A/R, Cash Receipting Business Analytics Purchasing General Billing Self Service Project Accounting Utility Billing SaaS Permits WI Tax Billing Local Government: City of La Crosse Population: 52,000 Annual Budget: $93 M Employees: 575 Contact: Jacky Greschner, Director of IS Phone: (608) 789-8226 E-mail: greschnerj@cityoflacrosse.org Date Installed: 8/1999 Applications Used: Financial Human Resources Revenue Specialty Items GL, Budget, AP A/R, Cash Receipting Business Analytics Purchasing General Billing Self Service Fixed Assets Permits/Inspections Project Accounting WI Tax Billing Bid Management Animal Licenses Inventory Tyler Cashiering Work Orders Cash Management Local Government: City of Beloit Population: 36,000 Annual Budget: $67 M Employees: 365 Contact: Ray Gorsline, Director Of Information Technology Phone: 608-364-6753 E-mail: gorsliner@beloitwi.gov Date Installed: 5/1998 Applications Used: Financial Human Resources Revenue Specialty Items GL, Budget, AP Payroll A/R, Cash Receipting Business Analytics Purchasing Human Resources General Billing Self Service Fixed Assets Applicant Tracking Animal Licenses OSDBA Project Accounting Business Licenses Disaster Recovery Work Orders Permits/Inspections Inventory Local Government: Portage County (replaced In-House system) Population: 67,000 Annual Budget: $97.5 M Employees: 883 Contact: Jennifer Jossie, Finance Director Phone: (715) 346-1330 E-mail: jossiej@co.portage.wi.us Date Installed: 3/2014 Applications Used: Financial Human Resources Revenue Specialty Items GL, Budget, AP Payroll A/R, Cash Receipting Business Analytics Purchasing Human Resources General Billing Self Service Fixed Assets Applicant Tracking Tyler Cashiering Content Manager Project Accounting Professional Development MapLink GIS Work Orders Employee Expense Reimbursement Inventory Bid Management Contract Management Local Government: Monroe County (replaced ACS) Population: 41,000 Annual Budget: $62 M Employees: 480 Contact: Cathy Schmit, County Administrator Phone: (608) 269-8944 E-mail: cathy.schmit@co.monroe.wi.us Date Installed: 2/2014 Applications Used: Financial Human Resources Revenue Specialty Items GL, Budget, AP Payroll A/R, Cash Receipting Business Analytics Purchasing Human Resources General Billing Self Service Fixed Assets Applicant Tracking Tyler Cashiering Content Manager Project Accounting MapLink GIS Work Orders SaaS Inventory CAFR Reporter Bid Management Contract Management Local Government: Winnebago County (replaced PeopleSoft) Population: 165,000 Annual Budget: $150 M Employees: 980 Contact: Chuck Orenstein, Director of Finance Phone: 920-232-3443 E-mail: corenstein@co.winnebago.wi.us Date Installed: 8/2010 Applications Used: Financial Human Resources Revenue Specialty Items GL, Budget, AP Payroll A/R, Cash Receipting Business Analytics Purchasing Human Resources General Billing Content Manager Contract Management Applicant Tracking Self Service Project Accounting OSDBA CAFR Reporter Local Government: Walworth County Population: 94,000 Annual Budget: $116 M Employees: 1,000 Contact: Andy Lamping, Finance Manager Phone: (262) 741-4936 E-mail: alamping@co.walworth.wi.us Date Installed: 6/2006 Applications Used: Financial Human Resources Revenue Specialty Items GL, Budget, AP Payroll A/R, Cash Receipting Business Analytics Purchasing Human Resources General Billing Content Manager Fixed Assets Applicant Tracking Self Service Project Accounting OSDBA Bid Management Contract Management Local Government: Dane County Population: 427,000 Annual Budget: $413 M Employees: 2,300 Contact: John Mueller, MIS Project Manager Phone: (608) 266-9047 E-mail: mueller.john@countyofdane.com Date Installed: 6/2004 Applications Used: Financial Human Resources Revenue Specialty Items GL, Budget, AP A/R, Cash Receipting Business Analytics Purchasing General Billing Content Manager Fixed Assets Project Accounting Contract Management Bid Management Local Government: Sauk County Population: 55,000 Annual Budget: $71 M Employees: 624 Contact: Robert Montgomery, System Administrator Phone: (608) 355-3546 E-mail: rmontgomery@co.sauk.wi.us Date Installed: 9/2001 Applications Used: Financial Human Resources Revenue Specialty Items GL, Budget, AP Payroll A/R, Cash Receipting Business Analytics Purchasing Human Resources General Billing Self Service Fixed Assets Content Manager Project Accounting OSDBA Local Government: Lincoln County Population: 30,000 Annual Budget: $46 M Employees: 410 Contact: Dan Leydet, Finance Director Phone: 715-539-1030 E-mail: dleydet@co.lincoln.wi.us Date Installed: 8/2001 Applications Used: Financial Human Resources Revenue Specialty Items GL, Budget, AP Payroll A/R, Cash Receipting Business Analytics Project Accounting Human Resources General Billing Fixed Assets Tyler | Munis® Report Samples March 2013 2 Contents Introduction ........................................................................................................................................................ 3 Sample Financial Reports ................................................................................................................................... 4 Account Detail History ................................................................................................................................ 4 Account Trial Balance ................................................................................................................................. 5 Accounts Payable Aging .............................................................................................................................. 6 Asset List ..................................................................................................................................................... 7 Balance Sheet ............................................................................................................................................. 8 Budget Forecast .......................................................................................................................................... 9 Cash Flow Journal ..................................................................................................................................... 10 FA Activity History List .............................................................................................................................. 11 GL Flexible Period ..................................................................................................................................... 12 Income Statement .................................................................................................................................... 13 Inventory List by Location......................................................................................................................... 14 Month-to-Date Project Budget ................................................................................................................. 15 Next Year Budget Details .......................................................................................................................... 16 Next Year Budget Future Years................................................................................................................. 17 Next Year Budget Historical Comparison ................................................................................................. 18 Purchase Order Receiving ......................................................................................................................... 19 Purchase Order Summary ......................................................................................................................... 19 Vendor Bid Analysis .................................................................................................................................. 20 Vendor Bid Ranking .................................................................................................................................. 20 Work Order Detail Totals .......................................................................................................................... 21 Work Order Field Sheet ............................................................................................................................ 22 YTD Available Budget ................................................................................................................................ 23 YTD Project Budget ................................................................................................................................... 23 3 Introduction The public sector needs a viable means to get their performance information out—whether it’s to internal staff or published out to citizens, elected officials, governmental boards, and so forth. Because of this, you need sound reporting options from your ERP system. Tyler’s solution meets these reporting requirements in a carefully planned, prudent, and effective manner by focusing on every organization’s role-based needs—instantly, and all at your fingertips. Our more than 35 years of experience working in close collaboration with public sector organizations has enabled us to identify and employ the right solution for each task—because having the right tools makes all the difference in employee productivity, data accuracy, and overall satisfaction. From existing reports—many with a variety of reporting options designed for quick and easy standard data review—to data analyses, each is tailored to different aspects and levels of your Munis users. What’s more, Munis reporting options provide programming features so your organization can extend and customize your reporting functionality. Utilizing Microsoft® SQL Server® Reporting Services (SSRS), it’s now possible for your system or report administrator to design interactive, tabular, graphical, ad hoc and free-form reports from a variety of data sources. Designed for use with Microsoft SQL Server, your organization can create these custom reports using powerful wizards and built-in functionality such as Business Intelligence Development Studio and Visual Studio®. When you add charts, drill downs, parameters, and hyperlinks your reports are immediately transformed into interactive documents or Web content. What’s more, analysis tools such as field highlighting, running totals, and sorting lets you examine trends, expose relationships, and zero in on key facts and figures. With hundreds of pre-designed formats already available to your organization, your report administrator can easily publish reports, schedule their processing, and access them on demand. Similarly, users have access to view a variety of formats, with the ability to export reports to other applications—including viewing them over the Web, as a favorite on the Munis Dashboard, or on a Microsoft SharePoint® site. In a nutshell: Munis reporting presents your data in a way that’s most meaningful to your audience, meets CAFR, GASB, 3402 (t),and other regulatory compliance, translates complex data into easily-understandable report formats, enables your organization to easily and cost-effectively employ BI tools for more in-depth analysis, and easily lends creativity to your organization’s report data. 4 Sample Financial Reports Account Detail History 5 Account Trial Balance 6 Accounts Payable Aging 7 Asset List 8 Balance Sheet 9 Budget Forecast 10 Cash Flow Journal 11 FA Activity History List 12 GL Flexible Period 13 Income Statement 14 Inventory List by Location 15 Month-to-Date Project Budget Next Year Balance Sheet Position 16 Next Year Budget Details 17 Next Year Budget Future Years 18 Next Year Budget Historical Comparison 19 Purchase Order Receiving Purchase Order Summary 20 Vendor Bid Analysis Vendor Bid Ranking 21 Work Order Detail Totals 22 Work Order Field Sheet 23 YTD Available Budget YTD Project Budget 1 LICENSE AND SERVICES AGREEMENT This License and Services Agreement is made between Tyler Technologies, Inc. and Client. WHEREAS, Client selected Tyler to license the software products and perform the services set forth in the Investment Summary and Tyler desires to perform such actions under the terms of this Agreement; NOW THEREFORE, in consideration of the foregoing and of the mutual covenants and promises set forth in this Agreement, Tyler and Client agree as follows: SECTION A – DEFINITIONS “Agreement” means this License and Services Agreement. “Business Travel Policy” means our business travel policy. A copy of our current Business Travel Policy is attached as Schedule 1 to Exhibit B. “Client” means [INSERT CLIENT NAME]. “Defect” means a failure of the Tyler Software to substantially conform to the functional descriptions set forth in our written proposal to you, or their functional equivalent. Future functionality may be updated, modified, or otherwise enhanced through our maintenance and support services, and the governing functional descriptions for such future functionality will be set forth in our then-current Documentation. “Developer” means a third party who owns the intellectual property rights to Third Party Software. “Documentation” means any online or written documentation related to the use or functionality of the Tyler Software that we provide or otherwise make available to you, including instructions, user guides, manuals and other training or self-help documentation. “Effective Date” means the date on which your authorized representative signs the Agreement. “Force Majeure” means an event beyond the reasonable control of you or us, including, without limitation, governmental action, war, riot or civil commotion, fire, natural disaster, or any other cause that could not with reasonable diligence be foreseen or prevented by you or us. “Investment Summary” means the agreed upon cost proposal for the software, products, and services attached as Exhibit A. “Invoicing and Payment Policy” means the invoicing and payment policy. A copy of our current Invoicing and Payment Policy is attached as Exhibit B. “Maintenance and Support Agreement” means the terms and conditions governing the provision of maintenance and support services to all of our customers. A copy of our current Maintenance and Support Agreement is attached as Exhibit C. “Support Call Process” means the support call process applicable to all of our customers who have licensed the Tyler Software. A copy of our current Support Call Process is attached as Schedule 1 to Exhibit C. “Third Party End User License Agreement(s)” means the end user license agreement(s), if any, for the Third Party Software attached as Exhibit D. 2 “Third Party Hardware” means the third party hardware, if any, identified in the Investment Summary. “Third Party Products” means the Third Party Software and Third Party Hardware. “Third Party Software” means the third party software, if any, identified in the Investment Summary. “Tyler” means Tyler Technologies, Inc., a Delaware corporation. “Tyler Software” means our proprietary software and related interfaces identified in the Investment Summary and licensed to you through this Agreement. “we”, “us”, “our” and similar terms mean Tyler. “you” and similar terms mean Client. SECTION B – SOFTWARE LICENSE 1. License Grant and Restrictions. 1.1 We grant to you a license to use the Tyler Software for your internal business purposes only. You may make copies of the Tyler Software for backup and testing purposes, so long as such copies are not used in production and the testing is for internal use only. Your rights to use the Tyler Software are perpetual but may be revoked if you do not comply with the terms of this Agreement. 1.2 The Documentation is licensed to you and may be used and copied by your employees for internal, non-commercial reference purposes only. 1.3 You may not: (a) transfer or assign the Tyler Software to a third party; (b) reverse engineer, decompile, or disassemble the Tyler Software; (c) rent, lease, lend, or provide commercial hosting services with the Tyler Software; or (d) publish or otherwise disclose the Tyler Software or Documentation to third parties. 1.4 The license terms in this Agreement apply to updates and enhancements we may provide to you or make available to you through your Maintenance and Support Agreement. 1.5 The right to transfer the Tyler Software to a replacement hardware system is included in your license. You will give us advance written notice of any such transfer and will pay us for any required or requested technical assistance associated with such transfer. 1.6 We reserve all rights not expressly granted to you in this Agreement. The Tyler Software and Documentation are protected by copyright and other intellectual property laws and treaties. We own the title, copyright, and other intellectual property rights in the Tyler Software and the Documentation. The Tyler Software is licensed, not sold. 2. License Fees. You agree to pay us the license fees in the amounts set forth in the Investment Summary. Those amounts are payable in accordance with our Invoicing and Payment Policy. 3. Escrow. We maintain an escrow agreement with a third party under which we place the source code for each major release of the Tyler Software. You may be added as a beneficiary to the escrow agreement by completing a standard beneficiary enrollment form and paying the annual beneficiary fee set forth in the Investment Summary directly to the escrow agent. You will be responsible for maintaining your ongoing status as a beneficiary, including payment of the then-current annual beneficiary fees. Release of source code for the Tyler Software is strictly governed by the terms of the escrow agreement. 4. Limited Warranty. We warrant that the Tyler Software will be without Defect(s) as long as you have a 3 Maintenance and Support Agreement in effect. If the Tyler Software does not perform as warranted, we will use all reasonable efforts, consistent with industry standards, to cure the Defect as set forth in the Maintenance and Support Agreement. SECTION C – PROFESSIONAL SERVICES 1. Services. We will provide you the various implementation-related services itemized in the Investment Summary. You will receive those services according to our industry-standard implementation plan, which outlines roles and responsibilities in calendar and project documentation. We will finalize that documentation with you upon execution of this Agreement. 2. Professional Services Fees. You agree to pay us the professional services fees in the amounts set forth in the Investment Summary. You acknowledge that the fees stated in the Investment Summary are good- faith estimates of the amount of time and materials required for your implementation. We will bill you the actual fees incurred based on the in-scope services provided to you. Those amounts are payable in accordance with our Invoicing and Payment Policy. 3. Additional Services. The Investment Summary contains the scope of services and related costs (including programming and/or interface estimates) required for the project based on our understanding of the specifications you supplied. If additional work is required, or if you use or request additional services, we will provide you with an addendum or change order, as applicable, outlining the costs for the additional work. The price quotes in the addendum or change order will be valid for thirty (30) days. 4. Cancellation. We make all reasonable efforts to schedule our personnel for travel, including arranging travel reservations, at least two (2) weeks in advance of commitments. Therefore, if you cancel services less than two (2) weeks in advance (other than for Force Majuere or breach by us), you will be liable for all (a) non-refundable expenses incurred by us on your behalf, and (b) daily fees associated with cancelled professional services if we are unable to reassign our personnel. We will make all reasonable efforts to reassign personnel in the event you cancel within two (2) weeks of scheduled commitments. 5. Services Warranty. We will perform the services in a professional, workmanlike manner, consistent with industry standards. In the event we provide services that do not conform to this warranty, we will re- perform such services at no additional cost to you. 6. Site Access and Requirements. You agree to provide us with full and free access to your personnel, facilities, and equipment as may be reasonably necessary for us to provide implementation services, subject to any reasonable security protocols or other written policies provided to us. You further agree to provide a reasonably suitable environment, location, and space for the installation of the Tyler Software and Third Party Products, including, without limitation, sufficient electrical circuits, cables, and other reasonably necessary items required for the installation and operation of the Tyler Software and Third Party Products. 7. Client Assistance. You acknowledge that the implementation of the Tyler Software is a cooperative process requiring the time and resources of your personnel. You agree to use all reasonable efforts to cooperate with and assist us as may be reasonably required to meet the agreed upon project deadlines and other milestones for implementation. This cooperation includes at least working with us to schedule the implementation-related services you have contracted for. We will not be liable for failure to meet any deadlines and milestones when such failure is due to Force Majeure or to the failure by your personnel to 4 provide such cooperation and assistance (either through action or omission). SECTION D – MAINTENANCE AND SUPPORT We will provide you with maintenance and support services for the Tyler Software under the terms of our standard Maintenance and Support Agreement. You agree to pay us the annual maintenance and support fees in accordance with our Invoicing and Payment Policy. SECTION E – THIRD PARTY PRODUCTS 1. Third Party Hardware. We will sell, deliver, and install onsite the Third Party Hardware, if you have purchased any, for the price set forth in the Investment Summary. Those amounts are payable in accordance with our Invoicing and Payment Policy. 2. Third Party Software. Upon payment in full of the Third Party Software license fees, you will receive a non- transferable license to use the Third Party Software and related documentation for internal business purposes only. Your license rights to the Third Party Software will be governed by the Third Party End User License Agreement(s). 2.1 We will install onsite the Third Party Software. The installation cost is included in the installation fee in the Investment Summary. 2.2 If the Developer charges a fee for future updates, releases, or other enhancements to the Third Party Software, you will be required to pay such additional future fee. 2.3 The right to transfer the Third Party Software to a replacement hardware system is governed by the Developer. You will give us advance written notice of any such transfer and will pay us for any required or requested technical assistance associated with such transfer. 3. Third Party Products Warranties. 3.1 We are authorized by each Developer to grant or transfer the licenses to the Third Party Software. 3.2 The Third Party Hardware will be new and unused, and upon payment in full, you will receive free and clear title to the Third Party Hardware. 3.3 You acknowledge that we are not the manufacturer of the Third Party Products. We do not warrant or guarantee the performance of the Third Party Products. However, we grant and pass through to you any warranty that we may receive from the Developer or supplier of the Third Party Products. 4. Maintenance. If you have a Maintenance and Support Agreement in effect, you may report defects and other issues related to the Third Party Software directly to us, and we will (a) directly address the defect or issue, to the extent it relates to our interface with the Third Party Software; and/or (b) facilitate resolution with the Developer, unless that Developer requires that you have a separate, direct maintenance agreement in effect with that Developer. In all events, if you do not have a Maintenance and Support Agreement in effect with Tyler, you will be responsible for resolving defects and other issues related to the Third Party Software directly with the Developer. 5 SECTION F – INVOICING AND PAYMENT; INVOICE DISPUTES 1. Invoicing and Payment. We will invoice you the fees for the license(s), products, and services in the Investment Summary per our Invoicing and Payment Policy, subject to Section F(2). 2. Invoice Disputes. If you believe any delivered product or service does not conform to the warranties in this Agreement, you will provide us with written notice within fifteen (15) days of your receipt of the applicable invoice. The written notice must contain sufficient detail of the issues you contend are in dispute. We will provide a written response to you that will include either a justification of the invoice, an adjustment to the invoice, or a proposal addressing the issues presented in your notice. We will work together as may be necessary to develop an action plan that outlines reasonable steps to be taken by each of us to resolve any issues presented in your notice. You may only withhold payment of the amount(s) actually in dispute until we complete the action items outlined in the plan. If we are unable to complete the action items outlined in the action plan because of your failure to complete the items agreed to be done by you, then you will remit full payment of the invoice. We reserve the right to suspend delivery of all services, including maintenance and support services, if you fail to pay an invoice not disputed as described above. SECTION G – TERMINATION 1. For Cause. You may terminate this Agreement for cause in the event we don’t cure, or create a mutually agreeable action plan to address, a material breach of this Agreement within forty-five (45) days of receiving a written notice of the alleged breach. You agree to comply with Section I(3), Dispute Resolution, prior to termination. In the event of termination for cause, you will pay us for all undisputed fees and expenses related to the software, products, and/or services you have received, or we have incurred or delivered, prior to the effective date of termination. 2. Lack of Appropriations. If you should not appropriate or otherwise make available funds sufficient to purchase, lease, operate, or maintain the products or services set forth in this Agreement, you may unilaterally terminate this Agreement upon thirty (30) days written notice to us. In the event of termination due to a lack of appropriations, you will pay us for all undisputed fees and expenses related to the software, products, and/or services you have received, or we have incurred or delivered, prior to the effective date of termination. You will not be entitled to a refund or offset of previously paid license and other fees. You agree not to use termination for lack of appropriations as a substitute for termination for convenience. 3. Force Majeure. Either party has the right to terminate this Agreement if a Force Majeure event suspends performance of scheduled tasks for a period of forty-five (45) days or more. In the event of termination due to Force Majeure, you will pay us for all undisputed fees and expenses related to the software, products, and/or services you have received, or we have incurred or delivered, prior to the effective date of termination. SECTION H – INDEMNIFICATION, LIMITATION OF LIABILITY AND INSURANCE 1. Intellectual Property Infringement Indemnification. 1.1 We will defend you against any third party claim(s) that the Tyler Software infringes that third party’s patent, copyright, or trademark, or misappropriates its trade secrets, and will pay the amount of any 6 resulting adverse final judgment (or settlement to which we consent). You must notify us promptly in writing of the claim and give us sole control over its defense or settlement. You agree to provide us with reasonable assistance, cooperation, and information in defending the claim at our expense. 1.2 Our obligations under this Section H(1) will not apply to the extent the claim or adverse final judgment is based on your: (a) use of a previous version of the Tyler Software and the claim would have been avoided had you installed and used the current version of the Tyler Software; (b) combining the Tyler Software with any product or device not provided, contemplated, or approved by us; (c) altering or modifying the Tyler Software, including any modification by third parties at your direction or otherwise permitted by you; (d) use of the Tyler Software in contradiction of this Agreement, including with non- licensed third parties; or (e) willful infringement, including use of the Tyler Software after we notify you to discontinue use due to such a claim. 1.3 If we receive information concerning an infringement or misappropriation claim related to the Tyler Software, we may, at our expense and without obligation to do so, either: (a) procure for you the right to continue its use; (b) modify it to make it non-infringing; or (c) replace it with a functional equivalent, in which case you will stop running the allegedly infringing Tyler Software immediately. 1.4 If, as a result of an infringement or misappropriation claim, your use of the Tyler Software is enjoined by a court of competent jurisdiction, in addition to paying any adverse final judgment (or settlement to which we consent), we will, at our option, either: (a) procure the right to continue its use; (b) modify it to make it non-infringing; (c) replace it with a functional equivalent; or (d) terminate your license and refund the license fees paid for the infringing Tyler Software. This section provides your exclusive remedy for third party copyright, patent, or trademark infringement and trade secret misappropriation claims. 2. Property Damage and Personal Injury Indemnification. 2.1 We will indemnify and hold harmless you and your agents, officials, and employees from and against any and all direct claims, losses, liabilities, damages, costs, and expenses (including reasonable attorney's fees and costs) for personal injury or property damage to the extent caused by our negligence or willful misconduct. 2.2 To the extent permitted by applicable law, you will indemnify and hold harmless us and our agents, officials, and employees from and against any and all direct claims, losses, liabilities, damages, costs, and expenses (including reasonable attorney's fees and costs) for personal injury or property damage to the extent caused by your negligence or willful misconduct. 3. DISCLAIMER. EXCEPT FOR THE EXPRESS WARRANTIES PROVIDED IN THIS AGREEMENT AND TO THE MAXIMUM EXTENT PERMITTED BY APPLICABLE LAW, WE HEREBY DISCLAIM ALL OTHER WARRANTIES AND CONDITIONS, WHETHER EXPRESS, IMPLIED, OR STATUTORY, INCLUDING, BUT NOT LIMITED TO, ANY IMPLIED WARRANTIES, DUTIES, OR CONDITIONS OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. 4. LIMITATION OF LIABILITY. EXCEPT AS OTHERWISE EXPRESSLY SET FORTH IN THIS AGREEMENT, OUR LIABILITY FOR DAMAGES ARISING OUT OF THIS AGREEMENT, WHETHER BASED ON A THEORY OF CONTRACT OR TORT, INCLUDING NEGLIGENCE AND STRICT LIABILITY, SHALL BE LIMITED TO THE LESSER OF (A) YOUR ACTUAL DIRECT DAMAGES OR (B) THE AMOUNTS PAID BY YOU UNDER THIS AGREEMENT. 7 THE PRICES SET FORTH IN THIS AGREEMENT ARE SET IN RELIANCE UPON THIS LIMITATION OF LIABILITY. THE FOREGOING LIMITATION OF LIABILITY SHALL NOT APPLY TO CLAIMS THAT ARE SUBJECT TO SECTIONS H(1) AND H(2). 5. EXCLUSION OF CERTAIN DAMAGES. TO THE MAXIMUM EXTENT PERMITTED BY APPLICABLE LAW, IN NO EVENT SHALL WE BE LIABLE FOR ANY SPECIAL, INCIDENTAL, PUNITIVE, INDIRECT, OR CONSEQUENTIAL DAMAGES WHATSOEVER, EVEN IF WE HAVE BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES. 6. Insurance. During the course of performing services under this Agreement, we agree to maintain the following levels of insurance: (a) Commercial General Liability of at least $1,000,000; (b) Automobile Liability of at least $1,000,000; (c) Professional Liability of at least $1,000,000; and (d) Workers Compensation complying with applicable statutory requirements. We will add you as an additional insured and provide you with copies of certificates of insurance upon written request. SECTION I – GENERAL TERMS AND CONDITIONS 1. Additional Products and Services. You may purchase additional products and services at the rates set forth in the Investment Summary for twelve (12) months from the Effective Date, and thereafter at our then- current list price, by executing a mutually agreed addendum. The terms of this Agreement will control any such additional purchase(s), unless otherwise specifically provided in the addendum. 2. Optional Items. Pricing for any listed optional products and services in the Investment Summary will be valid for twelve (12) months from the Effective Date. 3. Dispute Resolution. You agree to provide us with written notice within thirty (30) days of becoming aware of a dispute. You agree to cooperate with us in trying to reasonably resolve all disputes, including, if requested by either party, appointing a senior representative to meet and engage in good faith negotiations with our appointed senior representative. Senior representatives will meet within thirty (30) days of the written dispute notice, unless otherwise agreed. All meetings and discussions between senior representatives will be deemed confidential settlement discussions not subject to disclosure under Federal Rule of Civil Procedure 408 or any similar applicable state rule. If we fail to resolve the dispute, either of us may assert our respective rights and remedies in a court of competent jurisdiction. Nothing in this section shall prevent you or us from seeking necessary injunctive relief during the dispute resolution procedures. 4. Taxes. The fees in the Investment Summary do not include any taxes, including, without limitation, sales, use, or excise tax. If you are a tax-exempt entity, you agree to provide us with a tax-exempt certificate. Otherwise, we will pay all applicable taxes to the proper authorities and you will reimburse us for such taxes. If you have a valid direct-pay permit, you agree to provide us with a copy. For clarity, we are responsible for paying our income taxes arising from our performance of this Agreement. 5. Nondiscrimination. We will not discriminate against any person employed or applying for employment concerning the performance of our responsibilities under this Agreement. This discrimination prohibition will apply to all matters of initial employment, tenure, and terms of employment, or otherwise with respect to any matter directly or indirectly relating to employment concerning race, color, religion, national origin, age, sex, sexual orientation, ancestry, disability that is unrelated to the individual's ability to perform the duties of a particular job or position, height, weight, marital status, or political affiliation. We will post, where appropriate, all notices related to nondiscrimination as may be required by applicable law. 8 6. E-Verify. We have complied, and will comply, with the E-Verify procedures administered by the U.S. Citizenship and Immigration Services Verification Division for all of our employees assigned to your project. 7. Subcontractors. We will not subcontract any services under this Agreement without your prior written consent, not to be unreasonably withheld. 8. No Assignment. Neither party may assign this Agreement without the prior written consent of the other party; provided, however, that your consent is not required in the event we have a change of control. 9. Force Majeure. Neither party will be liable for delays in performing its obligations under this Agreement to the extent that the delay is caused by Force Majeure; provided, however, that within ten (10) business days of the Force Majeure event, the party whose performance is delayed provides the other party with written notice explaining the cause and extent thereof, as well as a request for a reasonable time extension equal to the estimated duration of the Force Majeure event. 10. No Intended Third Party Beneficiaries. This Agreement is entered into solely for the benefit of you and us. No third party will be deemed a beneficiary of this Agreement, and no third party will have the right to make any claim or assert any right under this Agreement. This provision does not affect the rights of third parties under any Third Party End User License Agreement(s). 11. Entire Agreement; Amendment. This Agreement represents the entire agreement between you and us with respect to the subject matter hereof, and supersedes any prior agreements, understandings, and representations, whether written, oral, expressed, implied, or statutory. This Agreement may only be modified by a written amendment signed by an authorized representative of each party. 12. Severability. If any term or provision of this Agreement is held invalid or unenforceable, the remainder of this Agreement will be considered valid and enforceable to the fullest extent permitted by law. 13. No Waiver. In the event that the terms and conditions of this Agreement are not strictly enforced by either party, such non-enforcement will not act as or be deemed to act as a waiver or modification of this Agreement, nor will such non-enforcement prevent such party from enforcing each and every term of this Agreement thereafter. 14. Independent Contractor. We are an independent contractor for all purposes under this Agreement. 15. Notices. All notices or communications required or permitted as a part of this Agreement must be in writing and will be deemed delivered upon the earlier of the following: (a) actual receipt by the receiving party; (b) upon receipt by sender of a certified mail, return receipt signed by an employee or agent of the receiving party; (c) upon receipt by sender of proof of email delivery; or (d) if not actually received, five (5) days after deposit with the United States Postal Service authorized mail center with proper postage (certified mail, return receipt requested) affixed and addressed to the other party at the address set forth on the signature page hereto or such other address as the party may have designated by proper notice. The consequences for the failure to receive a notice due to improper notification by the intended receiving party of a change in address will be borne by the intended receiving party. 16. Client Lists. You agree that we may identify you by name in client lists, marketing presentations, and promotional materials. 9 17. Confidentiality. Both parties recognize that their respective employees and agents, in the course of performance of this Agreement, may be exposed to confidential information and that disclosure of such information could violate rights to private individuals and entities, including the parties. Confidential information is nonpublic information that a reasonable person would believe to be confidential and includes, without limitation, personal identifying information (e.g., social security numbers) and trade secrets, each as defined by applicable state law. Each party agrees that it will not disclose any confidential information of the other party and further agrees to take all reasonable and appropriate action to prevent such disclosure by its employees or agents. The confidentiality covenants contained herein will survive the termination or cancellation of this Agreement. This obligation of confidentiality will not apply to information that: (a) is in the public domain, either at the time of disclosure or afterwards, except by breach of this Agreement by a party or its employees or agents; (b) a party can establish by reasonable proof was in that party's possession at the time of initial disclosure; (c) a party receives from a third party who has a right to disclose it to the receiving party; or (d) is the subject of a legitimate disclosure request under the open records laws or similar applicable public disclosure laws governing this Agreement; provided, however, that in the event you receive an open records or other similar applicable request, you will give us prompt notice and otherwise perform the functions required by applicable law. 18. Business License. In the event a local business license is required for us to perform services hereunder, you will promptly notify us and provide us with the necessary paperwork and/or contact information so that we may timely obtain such license. 19. Governing Law. This Agreement will be governed by and construed in accordance with the laws of your state of domicile. 20. Multiple Originals and Signatures. This Agreement may be executed in multiple originals, any of which will be independently treated as an original document. Any electronic, faxed, scanned, photocopied, or similarly reproduced signature on this Agreement or any amendment hereto will be deemed an original signature and will be fully enforceable as if an original signature. 21. Contract Documents. This Agreement includes the following exhibits: Exhibit A Investment Summary Exhibit B Invoicing and Payment Policy Schedule 1: Business Travel Policy Exhibit C Maintenance and Support Agreement Schedule 1: Support Call Process Exhibit D Third Party End User License Agreement(s) 10 IN WITNESS WHEREOF, a duly authorized representative of each party has executed this Agreement as of the date(s) set forth below. Tyler Technologies, Inc. [INSERT CLIENT NAME] ERP and Schools Division By: By: Name: Name: Title: Title: Date: Date: Address for Notices: Address for Notices: Tyler Technologies, Inc. [INSERT CLIENT NAME] One Tyler Drive [INSERT CLIENT ADDRESS] Yarmouth, ME 04096 [INSERT CLIENT ADDRESS] Attention: Associate General Counsel [INSERT CLIENT TITLE] Exhibit A 1 Investment Summary The following Investment Summary details the software, products, and services to be delivered by Tyler Technologies, Inc. to [INSERT CLIENT NAME] under your License and Services Agreement. This Investment Summary is effective as of the Effective Date. Capitalized terms not otherwise defined will have the meaning assigned to such terms in your License and Services Agreement. [List and Price the Tyler Software, Services, Third Party Products, etc.] [Any sales commitments capping maintenance and support fees for a period of time should be noted by the Maintenance and Support Fee] EXHIBIT B 1 Invoicing and Payment Policy Tyler Technologies, Inc. will provide you with the software, products, and services set forth in the Investment Summary of your License and Services Agreement. Capitalized terms not otherwise defined will have the meaning assigned to such terms in your License and Services Agreement. Invoicing: We will invoice you for the applicable license fees, products, and services in the Investment Summary as set forth below. Your rights to dispute any invoice are set forth in your License and Services Agreement. 1. Tyler Software. 1.1 License Fees: License fees are invoiced as follows: (a) 25% on the Effective Date; (b) 50% on the date when we make the applicable Tyler Software available to you for downloading (the “Available Download Date”); and (c) 25% ninety (90) days after the Available Download Date. 1.2 Maintenance and Support Fees: The first year maintenance and support fees for the one (1) year period commencing on the Available Download Date are waived. Subsequent maintenance and support fees are invoiced annually in advance on each anniversary of the Available Download Date. 2. Professional Services. 2.1 Project Planning Services: Project planning services are invoiced upon delivery of the Implementation Planning Document. 2.2 Consulting Services: Consulting services are invoiced 50% upon commencement of the service and 50% upon completion of the service, by product. 2.3 Data Conversion Services: Data conversion services are invoiced 50% upon initial delivery of converted data, by conversion option, and 50% upon Client acceptance to load converted data into live environment, by conversion option. 2.4 Implementation and Other Professional Services (excluding training): Implementation and other professional services (excluding training) are billed at daily rates, and invoiced on a monthly basis as delivered. 2.5 Training Services: Training services are billed in half-day and full-day increments as delivered, and invoiced on a monthly basis. 2.6 Requested Modifications to the Tyler Software: Requested modifications to Tyler Software are invoiced 50% upon delivery of specifications and 50% upon delivery of the applicable modification. You must report any failure of the modification to conform to the EXHIBIT B 2 specifications within thirty (30) days of delivery; otherwise, the modification will be deemed to be in compliance with the specifications after the 30-day window has passed. 3. Other Services and Fees. [Include as applicable] 3.1 Unlimited Client Access: First year maintenance for Tyler Unlimited Client Access is invoiced on the Available Download Date. Maintenance for Tyler Unlimited Client Access will renew automatically at our then-current rates, unless terminated in writing by either party at least thirty (30) days prior to the end of the then-current maintenance term. 3.2 Operating System / Database Administration Services: OS/DBA Services are invoiced on the Available Download Date. OS/DBA Services will renew automatically for additional one (1) year terms at our then-current OS/DBA fee, unless terminated in writing by either party at least thirty (30) days prior to the end of the then-current term. 3.3 Disaster Recovery Services: Disaster Recovery Services are invoiced annually in advance upon our receipt of your data. Disaster Recovery services will renew automatically for additional one (1) year terms at our then-current Disaster Recovery fee, unless terminated in writing by either party at least thirty (30) days prior to the end of the then-current term. 3.4 Payroll Tax Table Update Fee: The first year Payroll Tax Table Update Fee for the one-year period commencing on the Available Download Date is waived. Subsequent annual Payroll Tax Table Update fees will be due on the anniversary of the Available Download Date. Annual Payroll Tax Table Update services will renew automatically for additional one-year terms at our then-current Annual Payroll Tax Table Update service fee, unless terminated in writing by either party at least thirty (30) days prior to the end of the then-current term. 4. Third Party Products. 4.1 Third Party Software License Fees: License fees for Third Party Software are invoiced when we make it available to you for downloading. 4.2 Third Party Software Maintenance: The first year maintenance for the Third Party Software is invoiced when we make it available to you for downloading. 4.3 Third Party Hardware: Third Party Hardware costs are invoiced upon delivery. 5. Expenses. The service rates in the Investment Summary do not include travel expenses. Expenses will be billed as incurred and only in accordance with our then-current Business Travel Policy. Our current Business Travel Policy is attached to this Exhibit B at Schedule 1. Copies of receipts will be provided on an exception basis at no charge. You will incur an administrative fee if you request receipts for all non-per diem expenses. Receipts for mileage or miscellaneous items less than twenty-five dollars are not available. Payment. Payment for undisputed invoices is due within forty-five (45) days of the invoice date. Maintenance and support fees are due on each anniversary of the Available Download Date. We prefer to receive payments electronically. Our electronic payment information is: Bank: Wells Fargo Bank, N.A. EXHIBIT B 3 420 Montgomery San Francisco, CA 94104 ABA: 121000248 Account: 4124302472 Beneficiary: Tyler Technologies, Inc. – Operating Exhibit B Schedule 1 Copyright 2014 Tyler Technologies, Inc. All Rights Reserved 1 Business Travel Policy 1. Air Travel A. Reservations & Tickets Tyler’s Travel Management Company (TMC) will provide an employee with a direct flight within two hours before or after the requested departure time, assuming that flight does not add more than three hours to the employee’s total trip duration and the fare is within $100 (each way) of the lowest logical fare. If a net savings of $200 or more (each way) is possible through a connecting flight that is within two hours before or after the requested departure time and that does not add more than three hours to the employee’s total trip duration, the connecting flight should be accepted. Employees are encouraged to make advanced reservations to take full advantage of discount opportunities. Employees should use all reasonable efforts to make travel arrangements at least two (2) weeks in advance of commitments. A seven day advance booking requirement is mandatory. When booking less than seven days in advance, management approval will be required. Except in the case of international travel where a segment of continuous air travel is scheduled to exceed six hours, only economy or coach class seating is reimbursable. B. Baggage Fees Reimbursement of personal baggage charges are based on trip duration as follows: Up to five days = one checked bag Six or more days = two checked bags Baggage fees for sports equipment are not reimbursable. 2. Ground Transportation A. Private Automobile Mileage Allowance – Business use of an employee’s private automobile will be reimbursed at the current IRS allowable rate, plus out of pocket costs for tolls and parking. Mileage will be calculated by using the employee's office as the starting and ending point, in compliance with IRS regulations. Employees who have been designated a home office should calculate miles from their home. Exhibit B Schedule 1 Copyright 2014 Tyler Technologies, Inc. All Rights Reserved 2 B. Rental Car Employees are authorized to rent cars only in conjunction with air travel when cost, convenience, and the specific situation reasonably require their use. When renting a car for Tyler business, employees should select a “mid-size” or “intermediate” car. “Full” size cars may be rented when three or more employees are traveling together. Tyler carries leased vehicle coverage for business car rentals; additional insurance on the rental agreement should be declined. C. Public Transportation Taxi or airport limousine services may be considered when traveling in and around cities or to and from airports when less expensive means of transportation are unavailable or impractical. The actual fare plus a reasonable tip (15-18%) are reimbursable. In the case of a free hotel shuttle to the airport, tips are included in the per diem rates and will not be reimbursed separately. D. Parking & Tolls When parking at the airport, employees must use longer term parking areas that are measured in days as opposed to hours. Park and fly options located near some airports may also be used. For extended trips that would result in excessive parking charges, public transportation to/from the airport should be considered. Tolls will be reimbursed when receipts are presented. 3. Lodging Tyler’s TMC will select hotel chains that are well established, reasonable in price, and conveniently located in relation to the traveler's work assignment. Typical hotel chains include Courtyard, Fairfield Inn, Hampton Inn, and Holiday Inn Express. If the employee has a discount rate with a local hotel, the hotel reservation should note that discount and the employee should confirm the lower rate with the hotel upon arrival. Employee memberships in travel clubs such as AAA should be noted in their travel profiles so that the employee can take advantage of any lower club rates. “No shows” or cancellation fees are not reimbursable if the employee does not comply with the hotel’s cancellation policy. Tips for maids and other hotel staff are included in the per diem rate and are not reimbursed separately. 4. Meals and Incidental Expenses Employee meals and incidental expenses while on travel status are in accordance with the federal per diem rates published by the General Services Administration. Incidental expenses include tips to maids, hotel staff, and shuttle drivers and other minor travel expenses. Per diem rates are available at www.gsa.gov/perdiem. Exhibit B Schedule 1 Copyright 2014 Tyler Technologies, Inc. All Rights Reserved 3 A. Overnight Travel For each full day of travel, all three meals are reimbursable. Per diems on the first and last day of a trip are governed as set forth below. Departure Day Depart before 12:00 noon Lunch and dinner Depart after 12:00 noon Dinner Return Day Return before 12:00 noon Breakfast Return between 12:00 noon & 7:00 p.m. Breakfast and lunch Return after 7:00 p.m.* Breakfast, lunch and dinner *7:00 p.m. is defined as direct travel time and does not include time taken to stop for dinner The reimbursement rates for individual meals are calculated as a percentage of the full day per diem as follows: Breakfast 15% Lunch 25% Dinner 60% B. Same Day Travel Employees traveling at least 100 miles to a site and returning in the same day are eligible to claim lunch on an expense report. Employees on same day travel status are eligible to claim dinner in the event they return home after 7:00 p.m.* *7:00 p.m. is defined as direct travel time and does not include time taken to stop for dinner 5. Internet Access – Hotels and Airports Employees who travel may need to access their e-mail at night. Many hotels provide free high speed internet access and Tyler employees are encouraged to use such hotels whenever possible. If an employee’s hotel charges for internet access it is reimbursable up to $10.00 per day. Charges for internet access at airports are not reimbursable. EXHIBIT C 1 Maintenance and Support Agreement Tyler Technologies, Inc. will provide you with the following maintenance and support services for the Tyler Software licensed to you. Capitalized terms not otherwise defined will have the meaning assigned to such terms in your License and Services Agreement. 1. Term. We provide maintenance and support services on an annual basis. The initial term commences on the date when we make the applicable Tyler Software available to you for downloading (the “Available Download Date”) and remains in effect for one (1) year. The term will renew automatically for additional one (1) year terms at Tyler’s then-current maintenance and support fees, unless terminated in writing by either party at least thirty (30) days prior to the end of the then-current term. 2. Maintenance and Support Fees. The maintenance and support fees for the Tyler Software licensed to you are listed in the Investment Summary of your Agreement. Those amounts are payable in accordance with our Invoicing and Payment Policy. We will provide you with at least forty-five (45) days written notice of any change in your annual maintenance and support fees. We reserve the right to suspend maintenance and support services if you fail to pay undisputed maintenance and support fees within sixty (60) days of the due date. We will reinstate maintenance and support services only if you pay all past due maintenance and support fees, including all fees for the periods during which services were suspended. 3. Maintenance and Support Services. As long as you timely pay your maintenance and support fees, we will, consistent with our then-current Support Call Process: 3.1 perform our maintenance and support obligations in a professional, good, and workmanlike manner, consistent with industry standards, to conform the Tyler Software to the warranty set forth in your Agreement; provided, however, that if you modify the Tyler Software without our consent, our obligation to provide maintenance and support services on and warrant the Tyler Software will be void; 3.2 provide telephone support during our established support hours; 3.3 maintain personnel that are sufficiently trained to be familiar with the Tyler Software and Third Party Software in order to provide maintenance and support services; 3.4 provide you with a copy of all releases to the Tyler Software (including updates and enhancements) that we make generally available without additional charge to customers who have a maintenance and support agreement in effect; and 3.5 support prior releases of the Tyler Software in accordance with our then-current release life cycle policy. EXHIBIT C 2 4. Client Responsibilities. We will use all reasonable efforts to perform any maintenance and support services remotely. Therefore, you agree to maintain a high-speed internet connection capable of connecting us to your PCs and server(s). You agree to provide us with a login account and local administrative privileges as we may reasonably require to perform remote services. We will, at our option, use the secure connection to assist with proper diagnosis and resolution, subject to any reasonably applicable security protocols. If we can’t resolve a support issue remotely, we may be required to provide onsite services. In such event, you agree to provide us with full and free access to the Tyler Software, working space, adequate facilities within a reasonable distance from the equipment, and use of machines, attachments, features, or other equipment reasonably necessary for us to provide the maintenance and support services, all at no charge to us. We strongly recommend that you also maintain a VPN for backup connectivity purposes. 5. Excluded Services. Maintenance and support fees do not include fees for the following services: (a) initial installation or implementation of the Tyler Software; (b) onsite maintenance and support (unless Tyler cannot remotely correct a defect in the Tyler Software); (c) application design; (d) other consulting services; (e) maintenance and support of an operating system or hardware; (f) support outside our normal business hours as listed in our then-current Support Call Process; or (g) installation, training services, or third party product costs related to a new release. Requested maintenance and support services beyond those outlined in this section will be billed to you at our then current rates. 6. Current Support Call Process. Our current Support Call Process is attached to this Exhibit C at Schedule 1. Exhibit C Schedule 1 Copyright 2014 Tyler Technologies, Inc. All Rights Reserved 1 Support Call Process Tyler Technical Support Department for Munis® Goal: To provide an effective support mechanism that will ensure timely resolution to calls, resulting in high-level client satisfaction. Contact Us Call Tyler’s toll free number (800-772-2260) or log a support request online through the Tyler Client Portal available at Tyler’s Support Web site (www.tylertech.com). Support Organization Tyler’s Technical Support Department for its ERP/Schools Division (also referred to as “Munis”) is divided into multiple teams: Financials; Payroll/HR/Pension; Tax/Other Revenue and Collections; Utility Billing and Collections; OS/DBA (Operating System and Database Administration); and TylerForms and Reporting Services. These “product-specific” teams allow support staff to focus on a group of products or services. A group of specialists assigned to each team handle calls quickly and accurately. Each team consists of a Munis Support Product Manager, Support Analysts, and Technical Support Specialists. The Support Product Manager is responsible for the day-to-day operations of the team and ensures we provide exceptional technical support to our clients. The Support Analysts are responsible for assisting the team with clients’ issues, and provide on-going team training. Technical Support Specialists are responsible for diagnosing and resolving client issues in a timely and courteous manner. Standard Support Hours Applications Hours Financials 8:00am-9:00pm EST Monday-Friday Payroll/HR/Pension 8:00am-9:00pm EST Monday-Friday Tax/Other Revenue & Collections 8:00am-6:00pm EST Monday-Friday Utility Billing & Collections 8:00am-8:00pm EST Monday-Friday OS/DBA 8:00am-9:00pm EST Monday-Friday TylerForms & Reporting Services 8:00am-9:00pm EST Monday-Friday Exhibit C Schedule 1 Copyright 2014 Tyler Technologies, Inc. All Rights Reserved 2 Focus on Incoming Rate When you call Technical Support, your call is answered by a Support Technician, or is transferred into the Support voice mail. Our goal is to capture 75% of our daily incoming calls, which means you will often start working with a Support Specialist immediately upon calling Tyler. Leaving Messages for Support When leaving a message on the Support voice mail, ensure the following information is contained within the message: your full name (first name, last name) and the site you are calling for/from; a phone number where you can be reached; the details of the issue or question you have (i.e.: program, • process, error message); the priority of the issue (1, 2, 3, or 4); and when you will be available for a return call (often Support will call back within an hour of receiving your message). Paging All client questions are important to us. There may be times when you are experiencing a priority 1 critical issue and all technicians for the requested team are on the line assisting clients. In this circumstance, it is appropriate to press “0” to be redirected to the operator. The operator will page the team you need to contact. We ask that you reserve this function for those times when Munis is down, or a mission critical application is down and you are not able to reach a technician immediately. Online Support Some questions can be handled effectively by e-mail. Once registered as a user on Tyler’s Support Web site at www.tylertech.com, you can ask questions or report issues to Support through “Customer Tools”. Tyler’s Client Portal (TCP) allows you to log an incident to Technical Support anytime from any Internet connection. All TCP account, incident, and survey data is available in real-time. Your existing contact information defaults when you add a new Support incident. You will be asked for required information including Incident Description, Priority, Product Group, and Product Module. Unlimited work-note text is available for you to describe the question or problem in detail, plus you can attach files or screenshots that may be helpful to Support. When a new incident is added, the incident number is presented on the screen, and you will receive an automated e-mail response that includes the incident number. The new incident is routed to the appropriate Technical Support Team queue for response. They will review your incident, research the item, and respond via e-mail according to the priority of the incident. Customer Relationship Management System Every call or e-mail from you is logged into our Customer Relationship Management System and given a unique call number. This system tracks the history of each incident, including the person calling, time of the call, priority of the call, description of the problem, support recommendations, client feedback, and resolution. For registered users on Tyler’s Support Web site (www.tylertech.com), a list of calls is available real-time under the Tyler Client Portal (TCP). Exhibit C Schedule 1 Copyright 2014 Tyler Technologies, Inc. All Rights Reserved 3 Call Numbers Support’s goal is to return clients’ calls as soon as possible. Priority 1 calls received before the end of business will be responded to that day. If you are not available when we call back, we will leave a message with the open call number on your voice mail or with a person in your office. When you call back, you can reference this call number so you do not have to re-explain the issue. An open call number is also given to you once an initial contact has been made with Support and it has been determined that the issue can’t be resolved during the initial call. The open call number lets you easily track and reference specific open issues with Support. Call Response Goals Support will use all reasonable efforts to address open calls as follows: Open Call Priority Maximum number of days a support call is open Support managers and analysts review open calls 1 Less than a day Daily 2 10 Days or less Every other day 3 30 Days or less Weekly 4 60 Days or less Weekly Call Priorities A call escalation system is in place where, each day, Support Analysts and Product Support Managers review open calls in their focus area to monitor progress. Each call logged is given a priority (1, 2, 3, and 4) according to the client’s needs/deadlines. The goal of this structure is to clearly understand the importance of the issue and assign the priority for closure. The client is responsible for setting the priority of the call. Tyler Support for Munis tracks responsiveness to priority 1, 2, and 3 calls each week. This measurement allows us to better evaluate overall client satisfaction. Priority 1 Call — issue is critical to the client, the Munis application or process is down. Priority 2 Call — issue is severe, but there is a work around the client can use. Priority 3 Call — issue is a non-severe support call from the client. Priority 4 Call — issue is non-critical for the client and they would like to work with Support as time permits. Following Up on Open Calls Some issues will not be resolved during the initial call with a Support Technician. If the call remains open, the technician will give you an open call number to reference, and will confirm the priority of the incident. If you want to follow up on an open call, simply call the appropriate Support Team and reference the call number to the Technician who answers or leave this information in your message. Referencing the open Exhibit C Schedule 1 Copyright 2014 Tyler Technologies, Inc. All Rights Reserved 4 call number allows anyone in support to quickly follow up on the issue. You can also update the incident through TCP on Tyler’s Web site (www.tylertech.com) and add a note requesting follow-up. Escalating a Support Call If the situation to be addressed by your open call has changed and you need to have the call priority adjusted, please call the appropriate Support Team and ask to be connected to the assigned technician. If that technician is unavailable, another technician on the team may be able to assist you, or will transfer you to the Product Support Team Manager. If you feel you are not receiving the service you need, please call the appropriate Product Manager and provide them with the open call number for which you need assistance. The Product Manager will follow up on your open issue and determine the necessary action to meet your needs. Technical Support Product Managers: Financials Team Michelle Madore (michelle.madore@tylertech.com) (X4483) Payroll/HR/Pension Team Sonja Johnson (sonja.johnson@tylertech.com) (X4157) Tax/Other Revenue/Utility Billing Team Steven Jones (steven.jones@tylertech.com) (X4255) OS/DBA Team Ben King (ben.king@tylertech.com) (X5464) TylerForms & Reporting Services Michele Violette (michele.violette@tylertech.com) (X4381) If you are unable to reach the Product Manager, please call CJ McCarron, Vice President of Technical Support at 800-772-2260, ext. 4124 (cj.mccarron@tylertech.com). Resources A number of additional resources are available to you to provide a comprehensive and complete support experience. Munis Internet Updater (MIU): Allows you to download and install critical and high priority fixes as soon as they become available. Release Admin Console: Allows you to monitor and track the availability of all development activity for a particular release directly from Munis. Knowledgebase: A fully searchable depository of thousands of documents related to Munis processing, procedures, release info, helpful hints, etc. Remote Support Tool Some Support calls may require further analysis of your database or setup to diagnose a problem or to assist you with a question. GoToAssist® shares your desktop via the Internet to provide you with virtual on-site support. The GoToAssist tool from Citrix (www.citrix.com) provides a highly secure connection with 128-bit, end-to-end AES encryption. Support is able to quickly connect to your desktop and view your site’s setup, diagnose problems, or assist you with screen navigation. Exhibit C Schedule 1 Copyright 2014 Tyler Technologies, Inc. All Rights Reserved 5 At the end of each GoToAssist session, there is a quick survey you should complete so we have accurate and up-to-date feedback on your Support experiences. We review the survey data in order to continually improve our Support services. E-mail Registration Clients can go to our Web site and register for e-mail “groups” based on specific Munis applications. We use these groups to inform clients of issues, and to distribute helpful technical tips and updated technical documentation. The survey information allows you to update your registration at any time, and you may unregister for one or more distribution lists at any time. Tyler Web site Once you have registered as a user on Tyler’s Support Web site (www.tylertech.com), you have access to “Customer Tools” and other information such as online documentation, user forums, group training schedule/sign-up, and annual user conference updates/registration. Timely TCP Progress Updates Our technicians are committed to providing you timely updates on the progress of your open support incidents via the Tyler Client Portal. The frequency of these updates is determined by issue priority. Priority 1 Incidents — Daily updates (only if phone contact is not possible) Priority 2 Incidents — Weekly Updates Priority 3 Incidents — Bi-weekly Updates Priority 4 Incidents — Bi-weekly Updates Updates will also be provided for any issue, regardless of priority, when action items have been completed or when there is pertinent information to share. Attachment D: RFP Submittal Checklist Task Reference Submitted 1.0 Background Material (Title Page, Letter of Transmittal) p. 11 [ X ] 2.0 Executive Summary p. 11 [ X ] 3.0 Scope of Services (Attachment E) p. 11 [ X ] 4.0 Company Background p. 12 [ X ] 5.0 Implementation Plan p. 13 [ X ] 6.0 Training Plan p. 15 [ X ] 7.0 Maintenance and Support Program p. 16 [ X ] 8.0 Client References (Attachment A) p. 17 [ X ] 9.0 Exceptions to the RFP p. 17 [ X ] 10.0 Sample Documents p. 17 [ X ] 11.0 RFP Submittal Checklist (this form) p. 17 [ X ] 12.0 Responses to Functional / Technical Requirements p. 17 [ X ] Price Proposal Form (Attachment E) Number of Hard Copies 2 Number of Digital Copies 1 1 *-Attachment E: Responses to Functional/Technical Requirements: Price Proposal Form Proposers must complete and submit the Responses to Functional/Technical Requirements: Price Proposal Form (Attachment E) in a separate and sealed packet according to the format provided. The City reserves the right to contact proposers on price and scope clarification at any time throughout the selection process and negotiation process. It is important that proposers use the format presented in this RFP even if another format is provided. Attachment E should include the costs for all software, services, and additional costs to acquire all software and services referenced in each of the individual modules, including third party prices. In addition, Attachment E should also include the total costs of all software, services and additional costs to acquire all software and services referenced within the ERP, including third-party prices. If third-party products or services are included, do not provide separate versions for each third-party product. Do NOT use "To Be Determined" or similar annotations in the lines for each of the functional/technical requirements listed on Attachment E. The City is asking proposers to estimate prices for all categories with the understanding that they may have to make assumptions. Such assumptions should be stated. Proposers may submit additional pricing sheets as an addendum Attachment E; however the cost template within Attachment E MUST be completed. The City may award a purchase contract, based on initial offers received without discussion of such offers. A proposer's initial offer should, therefore, be based on the most favorable terms available. It may also require revised pricing offers from such proposers, and make an award and/or conduct negotiations thereafter. The following requirements and features have been identified by the City of Oshkosh for inclusion in the desired system. The responses should be in the following format: Check "Y" if the item is included as a part of the standard system package. Check "N" if the item is not available. Check "M" if the system requires modification to meet this specification. Please identify the estimated cost of any required modification. 15. References: Please provide a list of municipalities or public utilities that use the current version of your system, along with names and phone numbers of responsible parties who can be contacted. Please refer to References in Section 8 of the proposal response. 16. Hourly Rates: As part of your proposal, please provide staff hourly rates for additional work outside the scope of any contract should the vendor be selected. Tyler’s rates are all based on a Implementation Day approach, and are not priced hourly. Tyler’s current rates are as follows: Implementation Day - $1275 Change Management - $2000 Consulting Day - $1750 Development Day - $1100 2 If the City wishes to contract for additional services after the Implementation project has completed, the City will be billed based upon the then current rates for each service. 17. Reporting: Please describe your report writing utility and identify if it is provided by a third party. Public sector entities need multiple ways to get information out of their ERP software. That’s why Munis provides more than just traditional paper-based reports for accessing and using critical information. It is designed to provide you with the information you need in the format you want—instantly. Nearly every application screen throughout the ERP suite includes the ability to create a report of the current data using a variety of output options (print, PDF, Word, Excel). An integrated “query wizard” can be used to guide users through the selection process to create complex queries. These queries can be saved for future and even shared with fellow users to quickly and easily access pre-defined searches at moment’s notice. Leveraging the integrated Munis Scheduler, reports can also be scheduled to automate delivery, printing or archival. Based on Microsoft SharePoint, the Tyler Role-Tailored Dashboard provides an easy-to-use, simplified way of finding, accessing and sharing information by aggregating the data you deem important into one or more customizable views. Web parts display information from different parts of Munis and other Web- based tools. Each user can personalize his or her dashboard views, tailoring it to the information that’s critical for their role. Simply click on hyperlinks embedded in the Web part to access specific records or files. Munis also offers full bi-directional integration between your Munis database and Microsoft Excel through SQL Data Cubes. The Munis database provides a user-friendly, multi-dimensional view of your data across many platforms including Excel, SQL Server Reporting Services (SSRS) and your Tyler Dashboard. Analyze and report on trends, track key performance indicators, create charts and graphs, generate reports and more using the tools you’re already comfortable with. Embedded hyperlinks point to the originating record stored in Munis for fast access to detailed information. Choose from our library of report templates or use Tyler Reporting Services for more customized reporting. Powered by SSRS, Tyler Reporting Services enables users to create custom, complex reports using powerful wizards and built-in tools such as Microsoft Business Intelligence Development Studio and Visual Studio. Add charts, drill downs, parameters and hyperlinks to turn reports into interactive documents or Web content. Users can also use analysis tools—including charts, field highlighting, running totals and sorting—to examine trends, expose relationships and zero in on important facts. Reports can easily be published and shared to end users by integrating directly with the Munis SharePoint Dashboard. Finally, Tyler Reporting Services uses database views for standard reporting and report models for ad-hoc reporting. These views/models are easy to use, incorporate security and permissions set within the Munis application, and are an efficient way to connect to the database. 18. Vendor Profile: Please provide a vendor profile that indicates number of staff members, years established, key staff and number of LIVE installation locations. Please reference Tyler’s Company Background in Section 4 of the proposal response. 19. Product Testing: Describe how you conduct product testing and explain how it will ensure the system is ready for production. Also, indicate if the system maintains a separate "test" database. 3 Tyler has incorporated a hybrid approach to Quality Assurance (QA) which allows for a variety of testing techniques and tools, complimentary test strategies and resource flexibility. Our QA professionals are divided into two main roles; team & central QA. Team QA performs unit and integration testing on individual system changes. They work closely with developers to fully understand functional expectations. This decentralized approach promotes subject matter expertise which improves test coverage and effectiveness. Central QA provides process, regression and automated testing on critical processes within each application. They work with developers and Team QA to understand the requirements for each process to create effective, repeatable tests. This centralized approach focuses on processes, testing tools and defined standards across products. Several tools are used throughout the development and quality assurance processes such as debugging utilities allowing for a step through execution. An integrated code management and issue tracking system allow software corrections and enhancements to be managed and completed easily and efficiently. Clients have the ability to log and track issues directly through this system utilizing an integrated web- based portal. Providing a great user experience is a cornerstone of our development philosophy. We have a dedicated staff of trained usability professionals participating in our development process. It is our belief that a User-Centric development process is key to producing great products. This process ensures a consistency which enables users to quickly get information into and out of our applications. We actively solicit usability feedback and utilize that information as we develop new products and enhance existing ones. 20. Acceptance: Describe the acceptance criteria used to turn the system over to the City of Oshkosh. Tyler’s Testing Methodology is detailed in Section XX of this RFP response. Tyler will participate in all Quality Assurance and Testing procedures that are part of the proposed project, and will document all planned testing with the City’s project team during the planning stage of the project. After the Munis system has been installed, Tyler will verify its functionality prior to signing off on a success install. The system is then ready for implementation and training. Prior to Go Live, the City will conduct User Acceptance testing to ensure that all codes, settings, and data are acceptable prior to beginning production work in Munis. Throughout the project, there are a number of project Control Points which require sign-off by both the Tyler and City project teams. These sign-offs require that both project teams are on the same page, and agree that the project is ready to move forward. Through all of these mechanisms and project tasks, Tyler allows for system acceptance to ensure that the City is satisfied with the software and services provided. 21. Security: The system should be capable of enforcing uniform policies and procedures throughout the City of Oshkosh. Security should cover various levels from user to user groups. Please describe the security provisions your system has. Munis features a comprehensive Role Based Access Control (RBAC) security model for centrally granting access to the system across all Munis applications. Based on the standards written by the National Institute of Standards and Technology, RBAC facilitates the management of application access through groups of permissions—roles—and assigning those roles to any number of users. This allows administrators to maintain access for multiple users who may share common responsibilities simultaneously rather than on an individual, user basis. 4 Administrators create and customize an unlimited number of roles, consisting of permissions and parameters. Users are then added to the system, either manually or imported from Active Directory. Finally, any number of roles can be assigned to a user, providing access to the Munis system. All of this is done using easy-to-use, integrated applications, requiring very little technical expertise. Traditionally, application security is centrally administered by a sites IT department. While this is still possible with Munis, a unique and useful feature commonly employed by Munis clients, is the ability to decentralize security administration by Munis module to specific users or groups of users. For example, a Finance Director can be configured with permissions to maintain access specific to Munis General Ledger and Budgeting program, process and data in any role and then assign those roles to end-users requiring such access. This ensures those most familiar with the fields, flags and processes are responsible for maintaining appropriate security rather than those in IT who may be less familiar with specific user tasks. Roles can be customized to offer an extremely flexible level of access control to all aspects of the Munis suite. This includes product, module and menu item access (i.e. what programs can users open), functional access (i.e. what processes can users perform) and data and, where applicable, field level access (i.e. what data can users see). Role permissions can also span multiple modules providing easy administration for those individuals who may “wear multiple hats.” If overlapping or conflicting permissions are applied to a user, the highest priority / least restrictive access is granted to that user. No role or user has access to a function or data unless explicitly assigned by the site’s administrator. When role permissions are changed, those changes are immediately applied to all users that role is assigned to. In addition, effective dates can also be applied to any role assigned to a user. This is extremely useful for times when a user may be filling in for another user during a known period of time. Rather than manually adding / removing roles to a user, an administrator can set effective start and end dates when the role permissions will automatically be applied and revoked. Finally, in addition to importing user accounts from Active Directory, user attributes can also be synchronized between Active Directory and Munis. The end result for clients is greater overall security, reduced IT administration costs and enhanced workflow. The RBAC security approach and unique ability to decentralize administration streamlines the process of adding new users and maintaining access, saving Munis users valuable time. 22. Updates/Upgrades: Describe the frequency of major releases and minor updates and how they are delivered. Release Management and Documentation are responsible for packaging the final version of the software and related products for delivery to clients. One new upgrade is provided each year (spring). Our releases are categorized as Technology or Product Releases Technology Releases are typically released every 2-3 years and contain significant enhancements to functionality, database structure and sometimes require changes to client tools. These upgrades require the most attention and preparation. These releases can be identified as major version number change (ie. 10.x, 11.x) Product Releases are released annually and contain functionality enhancements along with software corrections and moderate databases changes. These types of releases can be identified using minor version number change (ie. 10.3, 11.1). Tyler publishes software corrections for all supported version for immediate download when they become available. Your organization will not 5 be required to upgrade to a newer releases for critical software corrections until the version is officially retired. Tyler also provides a separate year end W2/1099 update for all supported application versions. Release Management provides corrections through an internet update utility on a daily basis. This robust utility allows our clients to organize and manage updates between Munis releases at times that make sense for their organization. Tyler Technologies employs a comprehensive and easy-to-use Release Life-Cycle Policy for its ERP Software. Our release life-cycle policy is designed to balance our clients' need for flexibility and stability, while meeting the demands for strategic product enhancements. The benefits to our clients are clear: Continued quality improvements from our Tyler Technologies/Munis Suite Development, Technical Support and Release Management teams Consistent and predictable product release timelines Ability to accurately budget, plan and schedule upgrade resources around major procession events Assurance of continually operating on a fully-supported release Each Munis release evolves through the following phases as part of the Release Life-Cycle Policy. Early Adoption (EA): This represents a phase, 45-90 days prior to GA, in which selected clients participate in an intense testing program on the pre-generally available release. Tyler strives to select a cross-section of customer participants to represent our client base ensuring maximum coverage. This ‘real world’ testing of the product enables Tyler to deliver the highest quality, customer-tested release. General Availability (GA): This represents a 24 month phase in which a product release (ex. Version 10.3) is made available for installation at client sites. Technology upgrades (ex. Version 10.0) are not intended for general availability. Feature Complete (FC): This represents a 3 to 6 month phase in which the given release has matured through the EA and GA phase and minimal development efforts need to be placed on the product for the remainder of its life. Clients are encouraged to move to a more current release. New features will not be provided. Next Release Planning (NRP): This represents a phase in which the given release has been available for up to 2 1/2 years. Clients are strongly encouraged to move to a more current release to prevent being on a retired version of Munis. Product Retired (PR): This represents a release phase that receives only minimal support services. Clients must move to a more current release in order to receive year-end W-2 and 1099 releases. 23. Optional Software: Include a description of any products features or other value-added components available for use with the proposed software application(s) that have not been specifically requested in this RFP. Consideration of these products features or other value- added components will be given where these may be of value to the City of Oshkosh. All third party software/licenses are the responsibility of the client and are not included as part of Tyler ERP solutions. 6 Server Environment Software Requirements Microsoft Hyper-V or VMware vSphere1 Microsoft Windows Server Microsoft Active Directory environment Microsoft SQL Server Microsoft SQL Server Reporting Services2 Microsoft SharePoint Foundation3 SMTP email server4 ESRI ArcGIS for Server5 Microsoft .NET Framework Java Development Kit (JDK) and Java Runtime Environment (JRE)6 Backup software Antivirus software 1 SQL Server Reporting Services is covered by SQL Server RDBMS licensing. An additional SQL Server license is required if SSRS is installed on a separate operating environment from SQL Server RDBMS. 2 Required for virtual server environments only. 3 Required for Munis ERP Dashboard. Microsoft SharePoint Foundation licensing is covered by Windows Server Client Access Licenses (CAL). SharePoint Standard or Enterprise edition is not required. 4 Microsoft Exchange required for advanced functionality. 5 Required for GIS integration (e.g. Munis MapLink, EnerGov). 6 Required for Tyler Content Manager. Workstation Software Requirements Microsoft Windows or Mac OS X operating system Microsoft Internet Explorer (Windows), Google Chrome (Windows) or Apple Safari (Mac OS X) Microsoft Office1 Microsoft .NET Framework Microsoft Silverlight Java Runtime Environment (JRE) 2 PDF reader (e.g. Adobe Reader) Antivirus software 1 Required for advanced Office integration with Munis. 2 Required for Tyler Content Manager power users only. 24. Hardware Environment: Describe the hardware environment required to utilize the proposed software. In the event there is more than one suitable hardware platform list all options and indicate the relative strengths and weaknesses of each. Server Requirements The following includes server infrastructure required for use with the Tyler Munis ERP application suite. The primary metric in sizing server specifications for the Munis ERP suite is the number of estimated concurrent users. 7 Tyler supports several server environment deployment types including high availability configurations, virtualized environments and dedicated testing environments; the following requirements are for a standard production deployment. Train and Test environments are also installed on production hardware, unless otherwise specified by the client. The primary metric in sizing server specifications is the number of estimated concurrent users of each system. The following outlines server infrastructure required for a Tyler Munis ERP implementation sized up to 100 concurrent Tyler Munis users. Server Function Qty. CPU (P) CPU (V) Memory Storage Software Munis App & Database 1 (2) Intel quad core 2.0Ghz+ 4 Virtual CPUs 24GB 250GB to 500GB Windows Server 2012 R2 Standard SQL Server 2012 Standard SharePoint 2013 Foundation Content Management 1 (1) Intel quad core 2.0Ghz+ 2 Virtual CPUs 18GB 75GB Windows Server 2012 R2 Standard External Web 1 (1) Intel quad core 2.0Ghz+ 2 Virtual CPUs 12GB 75GB Windows Server 2012 R2 Standard CPU (P): CPU configuration for physical configuration only. CPU (V): Minimum virtual CPU allocation for virtual configuration only. Tyler recommends VMware vSphere for server virtualization. End User Requirements Microsoft Windows Workstations Minimum* Recommended Operating System Windows 7 (32-bit or 64-bit) Windows 8.1 (64-bit) Memory 2 GB 4+ GB Disk Space 50 MB 100 MB Screen Resolution 1024 x 768 1280 x 800 * Meeting the minimum PC requirements will ensure the Tyler applications will operate, but will not guarantee performance. All performance and benchmark testing is done with PC’s that meet (or exceed) the ‘recommended’ hardware configuration. Required PC Software / Components: Microsoft .NET Framework v3.5 SP1 Microsoft .NET Framework v4.0 (required for Tyler Cashiering) Microsoft Silverlight 5.1 Java Runtime Environment version 7, update 11+ (required for Tyler Content Manager power users only) Supported Windows Workstation Web Browsers 32-bit Microsoft Internet Explorer 11** 32-bit Microsoft Internet Explorer 10 32-bit Microsoft Internet Explorer 9*** 32-bit Google Chrome version 31 or higher** 32-bit Mozilla Firefox (latest version)**** 8 ** Munis version 11.0 and higher only *** Munis version 10.5 and earlier only **** Munis Self Service only Supported Microsoft Office for Windows 32-bit Microsoft Office 2013 32-bit Microsoft Office 2010 32-bit Microsoft Office 2007***** ***** Excel export supported only. Office client add-ins are not supported. Apple Mac OS Workstations Minimum* Recommended Operating System Mac OS X 10.6 (64-bit) Mac OS X 10.8+ (64-bit) Processor 1.8 Ghz Intel 2.5+ Ghz Intel Memory 2 GB 4+ GB Disk Space 50 MB 100 MB Screen Resolution 1024 x 768 1280 x 800 * Refer to Mac OS Notes section below for details on Mac OS support. * Meeting the minimum PC requirements will ensure the Tyler applications will operate, but will not guarantee performance. All performance and benchmark testing is done with PC’s that meet (or exceed) the ‘recommended’ hardware configuration. Required Mac Software / Components: Microsoft Silverlight 5.1 Supported Mac Workstation Web Browsers 32-bit Apple Safari 6.1.1 or higher (with auto-updates enabled) 32-bit Mozilla Firefox** ** Munis Self Service only Supported Microsoft Office for Mac 32-bit Microsoft Office for Mac 2011* Mac OS Notes For optimal user experience, Tyler highly recommends all Mac workstations used for back office access (non Self Service) are members of the same Active Directory domain as Tyler servers or configured with Microsoft Forefront. Workstations configured in this manner ensures single sign-on to all back office applications. Refer to Networking Requirements for more information on Active Directory. Tyler Munis ERP is fully supported on Mac OS X with the following exceptions. This functionality can be obtained using alternative solutions such as RDS to a Windows environment or “Windows on Mac” virtualization (e.g. VMware Fusion). 9 Microsoft Office for Mac does not support connections to SQL OLAP cubes. Due to this Microsoft limitation, Mac users cannot access Tyler Cubes. In addition to the alternative access methods mentioned previously, Excel Services with Microsoft SharePoint Enterprise Edition can also be used as a work around to this Mac limitation. The Munis Next Year Budget Entry (NYBE) for Excel is a Microsoft Excel add-on allowing department managers and those responsible for maintaining budgets. Using a web service to the Munis application, this add-on allows users to download, modify and upload budgetary information directly from Microsoft Excel without ever opening a Munis application screen. This add-on is only available for Microsoft Office (2007 and higher) on Windows platforms. 25. Operating System: Identify the operating system required by the proposed application software and database management system in the hardware environment recommended above. In the event there is more than one suitable operating system list all options and indicate the relative strengths and weaknesses of each. See above. 26. Support: Identify the annual support costs and items covered by the annual. support contract. Please reference Tyler’s Investment Summary provided in the proposal response. MODULE: Financial System/General Ledger Specifications 12. Does the system support multiple accounting methods: a. Cash Basis? Via proper setup and SSRS c. Full Accrual? Via CAFR Statement Builder________ 13. Can entries be reversed and deleted automatically? Additional information needed________ 14. Are entries tracked as to: a. Transaction date & time? Date only b. Posting date & time? Date only 18. Does the system provide year-end annual reporting for: c. Cash flow statements? ________With cash management module. May require SSRS 20. Allow notes to accounts? a. How many? One of unlimited length 21. How many user-defined chart of account components? ________ Additional information needed 22. How many characters available in the chart of accounts?________ 45 24. How many funds can your system manage? ________Unlimited 10 11 MODULE: Budgeting Preparation Specifications 6. Ability to track non-financial budget data (with related With Performance reporting) for performance budgeting Based Budget Model 12. Ability to display or print the requested, recommended, ________May require SSRS and approved budget amounts for up to 5 historical years. 17. Ability to break out and report the following after departments prepare requested budget: a. Which items are a contribution of prior year, and total May require SSRS b. Which items are new requests, and total. May require SSRS 36. Ability to specify date or timeframe for which to view or May require SSRS report data. 42. Capability to download budget data to a personal ________Excel computer in Excel and QuatroPro. 51. Ability to indicate out-of-balance conditions with Additional info needed________ corrections defined by the user. 53. Ability for the system to produce an "effects" report Additional info needed________ showing results of changes to fund balances and possible adjustments needed. 55. Ability for the system to give the date a figure was last ________May require SSRS changed. 65. Ability for the system to include the following reports: f. Amendment Report – Post Date ________May require SSRS g. Amendment Report- Description May require SSRS j. Automatic Allocation Report ________Additional info needed k. Automatic Transfer Report _______Additional info needed 66. Budget Turnaround Document (on-line and hard copy) ________Recommend Pattern Stream listing prior years actual revenues and expenditures and current year's budget and actual year-to-date revenues and expenditures with available space for entering additional information. 12 67. Budget Worksheet, will allow users to define which items to display, including: a. Last 2 Years (minimum) Actual & Approval ________Additional info needed e. Columns for Requested May require SSRS f. Columns for Recommended May require SSRS g. Columns for Adopted May require SSRS 69. Simplified Budget Report, by department, grouped by Revenue and Expenditures, including column headings of: b. Account Title ________Via export to excel 70. Payroll Projection Report, listing each employee, by ________May require SSRS department, and displaying the current annual salary, review date, and the amount of the next annual increase. The ability to enter an increase in either percentage or flat rate amount to salaries and/or benefits provided. A final set of figures breaking out salary and benefits is provided for each department. *SSRS 72. Expenditure Account Listing including the following headings: a. Prior Year History by Month May require SSRS c. Re-encumbrance Amounts ________Additional info needed f. Encumbrance Transactions May require SSRS 77. Develop tables to accommodate input of performance ________With Performance measures (e.g., transactions per, number of Based Budget Module staff/customer, etc.). 80. Adopted Budget Report, by fund, by department, and/or With proper setup. by Project. Report ranges by account code. Report details May require SSRS account code and description, 3 prior year Actual budget amounts, Prior year Amended amount, Current Budget Year "Controller Recommended" budget amount, Current Budget Year "Liaison Recommended" budget amount, Current Budget Year "Finance Recommended" budget amount, Current Budget Year "Board Adopted" budget 13 amount. 14 MODULE: Special Assessments Specifications 4. System utilizes the Parcel ID number and ties this number Analysis needed to quote through parcel splits. 6. Accommodates multiple rolls per parcel number. Analysis needed to quote 7. Integrates with the Assessing, Tax Billing, and Cash Analysis needed to quote Receipts modules. 12. Integrated with Tax Billing so as to include special Analysis needed to quote assessments on tax bill; Special Assessment payments are automatically updated through payment of tax bill. 17. Outstanding Balance by Customer report by individual Analysis needed to quote special assessments. 18. Special Assessment Roll (projected and approved). Analysis needed to quote 20. Interest/Penalty calculation report interest is on reports________ 21. Special Assessment District Listing Analysis needed to quote 15 MODULE: Accounts Payable Specifications 48. Provide the ability to enter and track basic contract information including: o) Number of months completed Analysis needed to quote 95. Ability to handle vendor payments retentions and interest Can’t handle interest________ from retentions. 117. Principal Reports: Each report is available by date, May require custom SSRS________ vendor, user definable period, and fund and is available in detail or summary. 119. Ability to compile and output the following reports: p) Invoice Edit Listing by user With SSRS________ v) Accounts Payable by Entry Date With SSRS________ z) Cash transfer request organized by Cash Account, With SSRS________ Bank Code, and Fund. aa) Cash transfer request error report (identifying With SSRS________ requested negative cash balance). ff) Claims report organized by any segment within the With SSRS________ chart of accounts within a specified period. 120. Expenditure Approval List including manual With SRSS________ checks, brief descriptions of items, voucher number, and who approved it. 121. Accounts Payable Invoice Edit List, by date range, With SSRS________ including various sort orders, detailing vendor number and name, user that entered invoice, transaction number, gross amount, discount amount, expense amount, total amount, account code I account name breakout, invoice date, GL transaction date, due date, transaction description, and other invoice details. 123. Expenditure Approval List including manual With SSRS________ checks, brief descriptions of items, voucher number, and who approved it. 128. Encumbrance / Purchase order discrepancy report Not needed with integrated ________ 16 (may not be needed with integrated system) system MODULE: Accounts Receivable Specifications 146. Will the system interface with the other systems ____assumes use of standard such as: GL, and Cash Receipting? Interfaces import/export Layouts 147. Generate an aging? a. By fund? may require custom rpts via charge code________ b. By department? may require custom rpts via charge code________ c. Dictated delinquent age? may require custom rpts standard aging buckets (60,90, etc) ________ 149. Capability to have billing templates? charge codes , Code templates________ 156. Print coupon books? excel _export layout to give to printer; or mail merge________ 157. Retain sales tax exemption by customer? special conditions 161. Can be linked to the assessor's website to obtain generic links$______ current owner/address? 164. Allows user input of comments regarding account special conditions________ status, collection activities, etc. 17 MODULE: Purchasing Specifications 3. System supports automation in the RFQ (Request for Analysis needed to quote________ Qualifications) process by managing solicitation, responses, criteria, rankings, decisions and communications. 18. Ability to develop bidders lists and track: a) Last bid Analysis needed to quote________ b) Last award Analysis needed to quote________ 28. Ability to interact with vendors on-line to place orders, Can’t receive invoices on-line. ________ receive invoices and make payments electronically. Analysis needed to quote 37. Interfaces with electronic mail / calendaring system to Analysis needed to quote________ notify buyers to take actions. account per purchase order line item or requisition line item. 66. Ability to automatically generate recurring Recurring invoices only________ payables/purchase orders for frequently ordered merchandise, recurring expenditures or progress payments on contracts/lease agreements. 102. Obtain bid list application on-line. Analysis needed to quote________ 104. Allows word processing feature to: b) Assist in compiling bid / specification documents Analysis needed to quote________ 105. Provides bidder list selection by all or partial Analysis needed to quote________ selection. 108. Vendor maintenance will not affect the vendor No override________ information on historical transactions. This can be overridden with the proper security access. 18 109. Automatic and/or manual assignment of status and priority codes, including: d) Vendor Selected w/user defined field________ f) Delivery Date Available w/user defined field________ r) Last Quoted Price Analysis needed to quote________ s) Last Quoted Shipping Date Analysis needed to quote________ z) Infractions w/user defined fields________ aa) Infractions Internet Address w/user defined fields________ 128. Accumulate vendor and bidder performance statistics for all vendors, such as: a) Number/Amount of Price Increases Analysis needed to quote________ b) Number of Out-of-Stocks Analysis needed to quote________ c) Number of Late Deliveries Analysis needed to quote________ d) Number of Returns w/SSRS________ e) Number of Bids Submitted w/SSRS________ f) Number of Bids Awarded w/SSRS________ g) Dollar Amount of Bids w/SSRS________ 138. Principal Reports: Comprehensive document w/export to excel________ listing report and online inquiries showing complete transaction information, which includes flexible sorting capabilities with detail and summary formats: 144. Principal Reports: Ability to produce volume data w/custom SSRS________ reports. 150. Vendor Purchase Status Report listing requisitions, May require SSRS report________ bids, and purchase orders in vendor, requisitioning department, purchase order number, or commodity code sequence. Shows elapsed time between status code changes. requesting department. 19 155. Receiving Report, indicating: h) Name of Shipper Analysis needed to quote 169. Location of where money is spent w/custom SSRS________ 170. Purchase orders > $20K (adjustable target w/custom SSRS amount) 171. Bidder list labels Analysis needed to quote 20 MODULE: Cash Receipting Specifications 11. Will the system allow for credit/debit card payments? Munis Note: Tyler Cashiering required 12. Will the system provide for direct debit transactions? CC_transactions________ 16. Ability to process payments over the Internet for the following services: a) Bus passes all assuming these are Munis bills or misc receipt charge codes 26. Ability to display the cashier on the receipt when having cashier shows; single drawer ________ multiple registers open on the same cash drawer. support only 27. Ability to automatically process overpayments with an refunds in Munis AR________ interface to Accounts Payable to generate a check for the difference between what was due and what was paid. 28. Ability to support lock-box processing in Munis AR________ 36. Point of sale (POS) terminals connected to financial system assumes use of Munis GL________ within the departments where volume of transactions warrants the use. 37. Ability to prepare online remittance advices for Misc receipts________ departments without a point of sale terminal. 40. Online access for the Treasurer of banking information. summary GL accounts totals 42. System generates an electronic notification to Treasurer of workflow on batch close________ when department deposits are made. 43. Ability for the Controller's office to review and edit payment journal and post________ remittance information. 45. Workflow processing for approvals, review, and various Workflow on invoices________ modification. 48. Ability to interface and download information from Excel export to excel______ in various ________ and Access. programs 52. Provides user-friendly prompts or menus to guide cashier standard flow________ 21 through transactions. 55. Ability to interface existing departmental manual assumes use of standard ________ systems with General Ledger. layouts 56. Ability to accept/import C/R's from independent third- assumes use of standard ________ party POS systems. layouts 60. Ability to accommodate numerous P.O.S. terminals and assumes use of the supported ________ consolidates all P.O.S. terminal receipts at day's end. hardware provided by sales 74. Ability to print customer name, customer address and official logo________ operator on receipts as well as allow a official signature. 81. Receipt number ranges or receipt number format "masks" in Munis AR________ can be associated to a department or user. 85. Ability to track and maintain customer draw down prepayments________ accounts I retainers (Circuit Court filing fees, Register of Deeds accounts for title companies). 86. Allows extensive on-line inquiry (via the P.O.S. terminal) with Munis________ and printout of customer account history and current balances. 98. Revenue Report, by source, bank, type, payment type, may require custom ________ account, department, P.O.S. terminal, and operator for reporting mail and counter receipts. Shows unreceipted balance by account, department, or type of bill over a user-specified time period. Shows bank deposits for each account. 100. Daily Station Report may require rpt tools________ 101. Station / Cashier Listing Report may require rpt tools ________ 102. General Ledger Distribution Report may require rpt tools ________ 103. Transaction Listing Report may require rpt tools ________ 104. Daily Recap may require rpt tools________ 105. Station Recap may require rpt tools ________ 106. Transaction / Tender Recap may require rpt tools ________ 107. Batch posting of cash receipts for the day may require rpt tools ________ 108. Credit Card Interface/ability to calculate and may require rpt tools ________ 22 collect service fees. 23 MODULE: Investment/Bank Reconciliation Specifications 2. Ability to replace the City’s current Investment ________Additional info needed Management System. 4. Provide the daily update of the following data: e) Display amount of investments by bank, by fund and May require SSRS account, and/or by maturity date 24 MODULE: Tax Billing Specifications 10. Ability to identify parcels in which payment is made in lieu special conditions________ of tax. 11. Ability to designate a parcel that should not be assessed special conditions________ the admin fee (paid by the State). 12. Interfaces with: c) Appraisal / Assessments analysis needed to quote 24. Capability to accept electronic imports for receipt assumes use of standard transactions. lockbox layouts 42. Tie payments made against delinquent balances that have payment audit and inquiry________ been rolled to the tax bill to be reflected in these other modules (e.g., permits and inspections). 48. Cash Receipts Report for Taxes Captured by a TIF which various reports________ breaks down the amount collected by line item. Provides YTD, MTD and period (user-defined) collection by line item and totals by taxing entity. 49. Semiannual Tax Roll including Parcel ID number, name, Analysis needed to quote mailing address, property address, legal description, detail of taxes levied, date and amount paid, and any delinquent amount due. Homestead/non-homestead, SEV, taxable value. 50. Report of adjustments to tax roll, BOR, MIT, etc. Analysis needed to quote 51. Annual Tax Roll sorted by parcel number with subtotals by Analysis needed to quote bill book number; date & amount paid; BOR/MTI adjustments; Real, personal, IFT, etc. 52. Delinquent Tax Roll listing of the code number, name, Analysis needed to quote mailing address, and detail of delinquent taxes due, printable at any time, and separate by July and December tax seasons and a combined tax roll. 53. On-Demand Tax Payment Receipts Report of all amounts standard AR/CSH reports________ received against a specific billed amount, by workstation or POS. 54. Various Assessment and Misc. Receivables "Transfer-to- Analysis needed to quote 25 Taxes" Report. 58. Special Assessment Billing Register and Edit List sorted by Analysis needed to quote assessment program and taxpayer. 59. Mortgage Company Listing in mortgage company and Analysis needed to quote Parcel ID number sequence, showing mailing name and address and receivable amount. 62. 1FT Report to State. Analysis needed to quote 66. TIF Rolls (DDA, LDFA, Brownfield, Renaissance Zone, etc.). Analysis needed to quote 68. Open Accounts Receivable reports with flexibility to report standard reporting serves this ________ by year, property range, type, tax entity/category, lending need for other WI sites code, etc. (detail/summary capabilities and "as of' a specified date report capabilities). 71. Tax distribution report w/interest spread and TIF standard reporting serves this ________ breakdown (detail summary) need for other WI sites 72. Interest / Late Fee calculation report late fee output________ 79. Delinquent Tax Roll w/ flexibility to meet County Analysis needed to quote specifications (detail/summary and "as of' a specified date capabilities) 80. Full Tax Roll w/ flexibility to meet County specifications Analysis needed to quote (detail/summary and "as of' a specified date capabilities). 81. Tax Clearance Certificates Analysis needed to quote 82. Tax History reports (individual parcel basis) Analysis needed to quote 26 MODULE: Utility Billing System Specifications 47. How many user defined fields? unlimited 63. System interfaces with the Fixed Assets module to Analysis needed to quote assist with disposal whim a meter is changed out. 64. Replaces the City's current NCC: Sewer Lead application (#14) and tracks the following Sewer Lead information: Responses assume use of UDFs a) Sewer Lead Number Response assumes use of UDFs b) Size Response assumes use of UDFs c) Location Response assumes use of UDFs d) Installation Year Response assumes use of UDFs 65. System replaces the City's current CONEN_FTP_XFER, CPUPDATE, and CPREADS_RENAMER applications (#6) to facilitate meter reads performed by an external organization (currently, Consumers Energy) by performing the following functions: a) Exports file daily indicating changes to customer Analysis needed to quote account information 79. System has the ability to replace the City's current Analysis needed to quote PORTAGEMIBILLS_MAILER application (1143) and generate a report "The Portage Report" detailing consumption and billing activity for a individual billing district, and electronically save to a file, to be emailed to that entity. 83. System provides the ability to generate a file of Analysis needed to quote service orders for specified date range that will interface with Radix software. 84. System provides the ability to import a file of service orders from Radix software that will have read Reads only information, notes and changes to customer account, shut off information, special reads, changes to meters, checks for unusual consumption, 27 and re-final reads. Customer accounts changes are reflected. 96. Interfaces with job cost/work order module to bill customers for repairs, new meters, etc. Assumes Munis Work Orders 98. Ability to generate bills capable of being read via OCR or bar code scanners. Information on barcode must include: a) Account# (Bill #) ☒ 178. Customer Report, details information regarding customer's account, name, address, Excel export account number, meter info, reads, rate codes, transaction history. 179. Top 100 Users Report, detailing highest consumption accounts, providing account and usage Cube or custom reporting information. 181. Service Order Report- to show, by specified Analysis needed to quote date, orders to be done. 183. Consumption Report, by account, showing Separate report for high/low utility usage over a user-specified time interval. Flags abnormally high/low usage by user. 184. No Read Report, indicating time since last Analysis needed to quote meter reading for those accounts not read over a user-defined cycle or date range. 186. Customer Statistics Report, presenting May require Cube or SSRS customer characteristics including number of customers, number of customers by meter size and billing category (customer type), usage and revenue by meter size, usage and revenue by billing type code, date range, district, book, and by a combination of the above. 198. Outstanding Water Order Report, showing Analysis needed to quote flags based on user-defined criteria. 28 MODULE: Human Resources Specifications-General 7. Does the system interface with NEO GOV Applicant Yes and No. Munis has a Tracking and Performance Evaluation Modules? flexible New Hire Import Program that will allow the creation of new hire personnel actions. However, there is no integration with third party evaluation systems. 10. Interface with NEOGOV online applicant tracking system Yes and No. Munis has a and Performance Evaluation Modules. Flexible New Hire Import Program that will allow the creation of new hire personnel actions. However, there is no integration with third party evaluation systems. 31. Maintains the current status and chronological history of all active and retired employees and allows comprehensive searching/sorting/reporting on the following information: t) Tardiness/ Absenteeism, and accrual usage history SSRS 36. Employee address mailing labels by department. *SSRS 29 MODULE: Human Resources Specifications- Payroll 11. The system supports the WRS (Wisconsin Retirement System) program requirements. b) Online filing requirements *we may need more info 33. Handles several types of classifications for salary and benefit purposes, including: (For Benefits as well): d) Unlimited User Defined fields *on employee master 37. Provides ability to process a variety of pays by step, range' and/or code, including: s) FLSA Calculations many calculations are available but custom calcs will need analysis to quote t) Shift Premium Munis allows pay type creation for shift premium but does not calc shift premium if it is based on scheduling 38. The system allows each deduction to be defined as pre or post tax and calculates separate code-driven deductions (with stated amounts or specified base) including the following: p) Plus unlimited additional user-definable deductions up to 9999 deductions but (car, parking, certification, clothing, tools, etc) virtually unlimited with the use of premium tables, tax tables, etc. 40. Tracks months of service, by employee, based on days could be done with worked per month, for purposes of calculating pension SSRS liability. 41. Provides for the distribution of payroll expenses by: a) Fund based on setup of COA b) Activity based on setup of COA c) Account based on setup of COA d) Department based on setup of COA e) Agency based on setup of COA 30 f) Other Organization based on setup of COA g) Reporting Unit based on setup of COA 60. Provides FLSA overtime calculations and 7K exemption $ 6600________ rules.rules.rules.rules.rules. *Munis handles many OT calc scenarios but custom calcs will be billablerules. Quoted amount represents common quote for new OT calc but this may vary based on analysis. 85. Average Salary by Position Type I Employee Group *SSRS 31 MODULE: Fixed Assets Specifications 7. Fixed assets system complies with FTA guidelines for ________Additional info needed capitalization, valuation, depreciation, tagging, disposal, retirements, etc. 11. Asset numbers do not necessarily need to correlate to asset tag numbers- Allow the system to generate tag numbers, have external tag numbers assigned, or not have tag numbers. (streets, piping, water mains, etc.). c. System identifies capital outlay by program the assets ________Via COA setup support. 22. Maintains on-line history of asset transactions, including: a. ID Number Changes ID Number cannot be changed e. Change to key field in auxiliary system Key field cannot be changed 24. Provides reports to assure that adequate insurance has additional info needed________ been secured for property, and expedites the insurance reporting process. 25. Supports asset value appreciation for real property and ________Additional info needed provides a detailed audit trail. Any appreciation does not affect cost basis. 29. Maintains on-line master file information on each asset, including fields that can be identified as optional or required: n. Document Reference Number ________Additional info needed u. Vendor Name and ID Number May require user defined fields v. Multiple Description lines(brand, model, and May require user defined fields manufacturer of asset) May require user defined fields w. Check Number and Date May require user defined fields y. License Number May require user defined fields 32 cc. Quantity May require user defined fields dd. Unit Cost May require user defined fields ee. Grant Number May require user defined fields ff. Grant Percent May require user defined fields gg. Grant Type May require user defined fields nn. Previous Location May require user defined fields oo. Responsibility Code May require user defined fields pp. Funding Source May require user defined fields qq. Sale Price May require user defined fields rr. Warranty information May require user defined fields tt. Condition May require user defined fields uu. Contractor ________May require user defined fields vv. General Fund Category May require user defined fields ww. Document Reference# ________May require user defined fields xx. Location Roll Up ________May require user defined fields yy. Minimum of 10 User-Defined Data Fields ________May require user defined fields 30. Security access to edit assets is assigned to each asset By department or location 36. Schedule of Assets, grouped by GAAFR function and/or ________Additional info needed departments. The report can also be produced down to the division and/or cost center level. 40. Physical Inventory Worksheet, sorted by department, With SSRS location, and/or person responsible to assist in conducting physical inventory. Report provides the maximum amount of asset details that would assist in identifying asset locations. 41. Vehicle/Equipment Listing of master file information, May require user including property tax number, item name, description, defined fields and SSRS location, class number, charge account number, equipment ID number, motor number, model and manufacturer. Acquisition and disposition information are also included. 33 42. Land, Building, and Vehicle/Equipment Report showing ________May require user defined fields land, building, and right-of-way items on file for and SSRS information purposes. 44. Replacement Report listing all assets which should be May require SSRS considered for replacement during a user-defined period. 45. Valuation (orig. cost, ace. depr., book value) May require SSRS 46. Net changes (additions, deletions, financial adjustments) May require SSRS 47. Schedule of assets (original cost or book value) May require SSRS 48. Asset Listing- Short Form May require SSRS 49. Asset Listing- Detail May require SSRS 50. Asset Transaction History ________May require SSRS 51. Gain or Loss on disposal of assets ________May require SSRS 52. Depreciation Register (YTD & Total Accumulated) May require SSRS 54. Schedule of Additions Additional info needed________ 55. Schedule of Disposals Additional info needed________ 56. Assets Transferred May require SSRS 57. Assets Idled May require SSRS 58. Financial Adjustments May require SSRS 59. Grant Funding May require SSRS 60. Grant Associated Valuation (orig. cost, ace. dept., book May require SSRS value) 61. Grant Associated Depreciation (YTD & Total Accumulated) May require SSRS 62. Related Assets (Parent/Child or Split Funded) ________May require SSRS 63. Table Listings Additional info needed________ 64. Pre-Inventory Worksheet Additional info needed________ 67. Non-Capital Items May require SSRS 1 City of Oshkosh RFP – Enterprise Resource Planning (ERP) Software System & Implementation Attachment E: Price Proposal Form Page 1 of 3 Cost Proposal: Modules We, the undersigned, propose to furnish the following costs for the eleven (11) modules listed within this RFP (in addition to general and system environment requirements) if not purchased as a complete package. The cost of each module subtotal below includes all module specifications checked “Y”. Any modification costs checked “M” are included within the respective subtotals below. Financial System / General Ledger Module $109,965 Includes: General Ledger $ 55,525 Project and Grant Accounting $ 12,625 Accounts Payable $ Included Budgeting $ Included CAFR Statement Builder $ 12,325 Tyler Content Management Standard Edition $ 17,800 Tyler Forms Processing $2,640 Tyler Reporting Services $ 9,050 Budgeting Preparation Module $17,800 Includes: Performance Based Budgeting $ 17,800 Accounts Payable Module $ Included Accounts Receivable Module $24,610 Includes: Accounts Receivable $ 14,205 General Billing $ 10,405 Purchasing Module $39,540 Includes: Purchasing $ 20,885 eProcurement $ 5,275 Contract Management $ 8,190 Bid Management $ 5,190 2 Cash Receipting Module $16,242 Includes: Tyler Cashiering $ 13,900 Tyler Cashiering Hardware (1 Station) $ 2,342 Investment / Bank Reconciliation Module $6,550 Includes: Cash Management $ 6,550 Tax Billing Module $97,330 Includes: Tax Billing $ 77,350 Maplink $ 5,775 Cama Bridge $ 4,795 CLT Interface $ 6,375 Central Property $ 3,035 Utility Billing Module $112,540 Includes: UB CIS $ 67,525 UB Interface $ 10,425 Citizen Self Service $ 8,055 Work Orders $ 26,535 Human Resources Module $18,075 Payroll Benefits Safety Training Fixed Assets Module $55,260 Includes: Fixed Assets $ 14,260 BMI Asset Track Interface $ 4,310 Inventory $ 13,220 BMI ColletIT Interface $ 4,310 BMI Hardware $ 19,160 3 City of Oshkosh RFP – Enterprise Resource Planning (ERP) Software System & Implementation Attachment E: Price Proposal Form Page 3 of 3 Cost Proposal: Complete Solution We the undersigned, propose to furnish the following cost for a complete ERP Solution integrating all eleven (22) modules listed within this RFP to include: Financial System / General Ledger Module, Budgeting Preparation Module, Accounts Payable Module, Accounts Receivable Module, Purchasing Module, Cash Receipting Module, Investment / Bank Reconciliation Module, Tax Billing Module, Utility Billing Module, Human Resources Module and Fixed Assets Module. The complete solution cost includes all software, services and additional costs to acquire all services referenced in each of the modules, in addition to general and system environment requirements, and including third party prices. This cost includes all module specifications checked “Y” and any modification costs checked “M”. Complete Solution Cost Total $589,412__________ *Above total includes travel costs, not included on previous pages of price proposal form (attachment E). Please see Investment Summary for details. * First year annual maintenance is waived and not included in above total or breakdown. Please see the attached Investment Summary for details. Addenda: Receipt of Addenda numbered _N/A___ of ______ are hereby understood, acknowledged and included in this cost proposal form. If no addenda were issued for this RFP please write “N/A” above. Date:_November 4, 2014 Company Name: Tyler Technologies, Inc. Name of Person Submitting Proposal: Abby Diaz _ Title: Associate General Counsel Email: abby.diaz@tylertech.com Company Address: One Tyler Drive City / State / Zip: Yarmouth, ME 04096 Telephone: 800-772-2260 Quoted By:CJ Vose Date:11/3/2014 Quote Expiration:3/14/2015 Quote Name:City of Oshkosh - ERP - ERP RFP Proposal Quote Number:2014-9847 Quote Description:RFP Cost Proposal Sales Quotation For City of Oshkosh 215 Church Ave. Oshkosh, Wisconsin 54902-1130 Phone (920) 236-5005 Tyler Software and Related Services Description License Impl. Days Impl. Cost Data Conversion Module Total Year One Maintenance Financials: Accounting/GL/BG/AP $29,000.00 15 @ $1,275.00 $19,125.00 $8,200.00 $56,325.00 $5,220.00 Work Orders, Fleet & Facilities Management $8,950.00 11 @ $1,275.00 $14,025.00 $2,000.00 $24,975.00 $1,611.00 Purchasing $12,700.00 7 @ $1,275.00 $8,925.00 $1,800.00 $23,425.00 $2,286.00 Performance Based Budgeting $9,500.00 8 @ $1,275.00 $10,200.00 $0.00 $19,700.00 $1,710.00 Fixed Assets $7,700.00 4 @ $1,275.00 $5,100.00 $3,000.00 $15,800.00 $1,386.00 Inventory $7,150.00 4 @ $1,275.00 $5,100.00 $2,400.00 $14,650.00 $1,287.00 Project & Grant Accounting $6,000.00 3 @ $1,275.00 $3,825.00 $4,000.00 $13,825.00 $1,080.00 Contract Management $3,300.00 2 @ $1,275.00 $2,550.00 $3,000.00 $8,850.00 $594.00 Cash Management $5,000.00 2 @ $1,275.00 $2,550.00 $0.00 $7,550.00 $900.00 Bid Management $3,300.00 2 @ $1,275.00 $2,550.00 $0.00 $5,850.00 $594.00 BMI Asset Track Interface $2,200.00 2 @ $1,275.00 $2,550.00 $0.00 $4,750.00 $396.00 BMI CollectIT Interface $2,200.00 2 @ $1,275.00 $2,550.00 $0.00 $4,750.00 $396.00 Standard Fuel Interface - SeeComments $2,200.00 2 @ $1,275.00 $2,550.00 $0.00 $4,750.00 $396.00 Revenue: 2014-9847 - RFP Cost Proposal CONFIDENTIAL 1 of 10 Tyler Software and Related Services Description License Impl. Days Impl. Cost Data Conversion Module Total Year One Maintenance Tax Billing $22,000.00 30 @ $1,275.00 $38,250.00 $16,500.00 $76,750.00 $5,500.00 Utility Billing CIS $23,000.00 23 @ $1,275.00 $29,325.00 $15,300.00 $67,625.00 $4,140.00 Accounts Receivable $6,600.00 7 @ $1,275.00 $8,925.00 $0.00 $15,525.00 $1,188.00 Tyler Cashiering $11,000.00 4 @ $1,275.00 $5,100.00 $0.00 $16,100.00 $1,980.00 UB Interface $8,250.00 3 @ $1,275.00 $3,825.00 $0.00 $12,075.00 $1,485.00 General Billing $3,000.00 3 @ $1,275.00 $3,825.00 $2,680.00 $9,505.00 $540.00 CLT Interface $0.00 5 @ $1,275.00 $6,375.00 $0.00 $6,375.00 $0.00 Maplink GIS Integration $5,000.00 1 @ $1,275.00 $1,275.00 $0.00 $6,275.00 $900.00 CAMA Bridge $4,400.00 1 @ $1,275.00 $1,275.00 $0.00 $5,675.00 $1,100.00 Central Property File $2,200.00 1 @ $1,275.00 $1,275.00 $0.00 $3,475.00 $550.00 Other: CAFR Statement Builder $10,625.00 3 @ $1,275.00 $3,825.00 $0.00 $14,450.00 $1,913.00 Productivity: Tyler Content Manager SE $14,000.00 4 @ $1,275.00 $5,100.00 $0.00 $19,100.00 $2,520.00 Tyler Reporting Services $7,500.00 2 @ $1,275.00 $2,550.00 $0.00 $10,050.00 $1,875.00 Citizen Self Service $6,600.00 1 @ $1,275.00 $1,275.00 $0.00 $7,875.00 $1,188.00 eProcurement $5,000.00 1 @ $1,275.00 $1,275.00 $0.00 $6,275.00 $900.00 Tyler Forms Adobe Adjustment $1,300.00 0 @ $1,275.00 $0.00 $0.00 $1,300.00 $260.00 Sub-Total:$229,675.00 $195,075.00 $58,880.00 $483,630.00 $43,895.00 Less Discount:$47,695.00 $0.00 $0.00 $47,695.00 $43,895.00 TOTAL:$181,980.00 153 $195,075.00 $58,880.00 $435,935.00 $0.00 Other Services Description Quantity Unit Price Unit Discount Extended Price Estimated Travel Expenses 1 $91,500.00 $0.00 $91,500.00 Functional Checklist Modification HR Specifications #60 6 $1,100.00 $0.00 $6,600.00 Maplink GIS Integration Installation 1 $500.00 $0.00 $500.00 Payroll and HR Training 5 $1,275.00 $0.00 $6,375.00 Payroll Assessment/ Review 4 $1,275.00 $0.00 $5,100.00 2014-9847 - RFP Cost Proposal CONFIDENTIAL 2 of 10 Other Services Description Quantity Unit Price Unit Discount Extended Price Project Planning Services 1 $5,000.00 $0.00 $5,000.00 Self-Service Installation Fee - Client Hosted (Existing Customers) 1 $1,500.00 $0.00 $1,500.00 Tyler Content Manager SE Installation (Existing Clients) 1 $1,500.00 $0.00 $1,500.00 Tyler Forms Financial Library 1 $1,600.00 $0.00 $1,600.00 Tyler Forms Library - General Billing 1 $1,500.00 $0.00 $1,500.00 Tyler Forms Individual Work Order or Pick Ticket Forms 1 $800.00 $0.00 $800.00 Tyler Forms Library - State Tax - 8 Forms 1 $5,000.00 $0.00 $5,000.00 Tyler Forms Library - Utility Billing 1 $4,500.00 $0.00 $4,500.00 Tyler Reporting Services Install 1 $500.00 $0.00 $500.00 TOTAL: $131,975.00 3rd Party Hardware, Software and Services Description Quantity Unit Price Unit Discount Total Price Unit Maintenance Unit Maintenance Discount Total Year One Maintenance BMI AssetTrak FA Bar Code/RFID Scanning System 1 $8,030.00 $0.00 $8,030.00 $0.00 $0.00 $0.00 BMI CollectIT Barcode PrinterKit 1 $1,295.00 $0.00 $1,295.00 $0.00 $0.00 $0.00 BMI CollectIT Inventory Bar Code Scanning System 1 $6,490.00 $0.00 $6,490.00 $0.00 $0.00 $0.00 BMI Transtrak Fixed Asset Receiving System 1 $3,345.00 $0.00 $3,345.00 $0.00 $0.00 $0.00 Cash Drawer 1 $230.00 $0.00 $230.00 $0.00 $0.00 $0.00 Hand Held Scanner - Model 1900GSR 1 $385.00 $0.00 $385.00 $0.00 $0.00 $0.00 Hand Held Scanner Stand 1 $25.00 $0.00 $25.00 $0.00 $0.00 $0.00 ID Tech MiniMag USB Reader 1 $62.00 $0.00 $62.00 $0.00 $0.00 $0.00 Power Supply 1 $40.00 $0.00 $40.00 $0.00 $0.00 $0.00 Printer (TM-S9000)1 $1,600.00 $0.00 $1,600.00 $0.00 $0.00 $0.00 3rd Party Hardware Sub-Total: $0.00 $21,502.00 $0.00 TOTAL: $21,502.00 $0.00 2014-9847 - RFP Cost Proposal CONFIDENTIAL 3 of 10 Summary One Time Fees Recurring Fees Total Tyler Software $181,980.00 $0.00 Total Tyler Services $385,930.00 $0.00 Total 3rd Party Hardware, Software and Services $21,502.00 $0.00 Summary Total $589,412.00 $0.00 Contract Total $589,412.00 2014-9847 - RFP Cost Proposal CONFIDENTIAL 4 of 10 Detailed Breakdown of Conversions (included in Contract Total) Description Unit Price Unit Discount Extended Price Accounting Opt 1 - Actuals - C $1,000.00 $0.00 $1,000.00 Accounting Opt 2 - Budgets - C $1,000.00 $0.00 $1,000.00 Accounting Standard COA - C $2,000.00 $0.00 $2,000.00 Accounts Payable Opt 1 - Checks - C $1,200.00 $0.00 $1,200.00 Accounts Payable Opt 2 - Invoice - C $1,800.00 $0.00 $1,800.00 Accounts Payable Standard Master - C $1,200.00 $0.00 $1,200.00 Contracts - C $3,000.00 $0.00 $3,000.00 Fixed Assets Opt 1 - History - C $1,000.00 $0.00 $1,000.00 Fixed Assets Std Master - C $2,000.00 $0.00 $2,000.00 General Billing Opt 1 - Recurring Invoices - C $1,680.00 $0.00 $1,680.00 General Billing Std CID - C $1,000.00 $0.00 $1,000.00 Inventory Std Master - C $2,400.00 $0.00 $2,400.00 Project Grant Accounting Opt 1 - Actuals - C $1,000.00 $0.00 $1,000.00 Project Grant Accounting Opt 2 - Budgets - C $1,000.00 $0.00 $1,000.00 Project Grant Accounting Standard - C $2,000.00 $0.00 $2,000.00 Purchasing - Purchase Orders - Standard - C $1,800.00 $0.00 $1,800.00 Real Estate - Option 1 Tax Sale - C $4,500.00 $0.00 $4,500.00 Real Estate - Standard - C $12,000.00 $0.00 $12,000.00 Utility Billing - Option 1 Services - D $3,000.00 $0.00 $3,000.00 Utility Billing - Option 2 Assessments - D $1,800.00 $0.00 $1,800.00 Utility Billing - Option 3 Consumption History - D $3,000.00 $0.00 $3,000.00 Utility Billing - Option 4 Balance Forward AR - D $4,000.00 $0.00 $4,000.00 Utility Billing - Standard - D $3,500.00 $0.00 $3,500.00 Work Order Opt 1 - Work Order Asset - C $2,000.00 $0.00 $2,000.00 TOTAL: $58,880.00 2014-9847 - RFP Cost Proposal CONFIDENTIAL 5 of 10 Optional Tyler Software & Related Services Description License Impl. Days Impl. Cost Data Conversion Module Total Year One Maintenance Other: General Billing Opt 2 - Bills - C $0.00 0 @ $1,275.00 $0.00 $3,500.00 $3,500.00 $0.00 Inventory Opt 1 - Commodity Codes - C $0.00 0 @ $1,275.00 $0.00 $840.00 $840.00 $0.00 Utility Billing - Option 5 Service Orders - D $0.00 0 @ $1,275.00 $0.00 $2,000.00 $2,000.00 $0.00 Utility Billing - Option 6 Backflow - D $0.00 0 @ $1,275.00 $0.00 $2,000.00 $2,000.00 $0.00 Work Order Opt 2 - Closed Work Order History No Cost Data - C $0.00 0 @ $1,275.00 $0.00 $3,000.00 $3,000.00 $0.00 Work Order Opt 3 - Work Order History With Cost Data - C $0.00 0 @ $1,275.00 $0.00 $3,000.00 $3,000.00 $0.00 TOTAL:$0.00 0 $0.00 $14,340.00 $14,340.00 $0.00 Optional Conversion Details (Prices Reflected Above) Description Unit Price Unit Discount Extended Price General Billing Opt 2 - Bills - C $3,500.00 $0.00 $3,500.00 Inventory Opt 1 - Commodity Codes - C $840.00 $0.00 $840.00 Utility Billing - Option 5 Service Orders - D $2,000.00 $0.00 $2,000.00 Utility Billing - Option 6 Backflow - D $2,000.00 $0.00 $2,000.00 Work Order Opt 2 - Closed Work Order History No Cost Data - C $3,000.00 $0.00 $3,000.00 Work Order Opt 3 - Work Order History With Cost Data - C $3,000.00 $0.00 $3,000.00 TOTAL:$14,340.00 Unless otherwise indicated in the contract or Amendment thereto, pricing for optional items will be held for six (6) months from the Quote date or the Effective Date of the Contract, whichever is later. Customer Approval: Date: Print Name: P.O. #: 2014-9847 - RFP Cost Proposal CONFIDENTIAL 6 of 10 All primary values quoted in US Dollars Discount Detail Description License License Discount License Net Maintenance Basis Year One Maint Discount Year One Maint Net Financials: Accounting/GL/BG/AP $29,000.00 $5,800.00 $23,200.00 $5,220.00 $5,220.00 $0.00 Bid Management $3,300.00 $660.00 $2,640.00 $594.00 $594.00 $0.00 BMI Asset Track Interface $2,200.00 $440.00 $1,760.00 $396.00 $396.00 $0.00 BMI CollectIT Interface $2,200.00 $440.00 $1,760.00 $396.00 $396.00 $0.00 Cash Management $5,000.00 $1,000.00 $4,000.00 $900.00 $900.00 $0.00 Contract Management $3,300.00 $660.00 $2,640.00 $594.00 $594.00 $0.00 Fixed Assets $7,700.00 $1,540.00 $6,160.00 $1,386.00 $1,386.00 $0.00 Inventory $7,150.00 $1,430.00 $5,720.00 $1,287.00 $1,287.00 $0.00 Performance Based Budgeting $9,500.00 $1,900.00 $7,600.00 $1,710.00 $1,710.00 $0.00 Project & Grant Accounting $6,000.00 $1,200.00 $4,800.00 $1,080.00 $1,080.00 $0.00 Purchasing $12,700.00 $2,540.00 $10,160.00 $2,286.00 $2,286.00 $0.00 Standard Fuel Interface - SeeComments $2,200.00 $2,200.00 $0.00 $396.00 $396.00 $0.00 Work Orders, Fleet & Facilities Management $8,950.00 $1,790.00 $7,160.00 $1,611.00 $1,611.00 $0.00 Revenue: Maplink GIS Integration $5,000.00 $1,000.00 $4,000.00 $900.00 $900.00 $0.00 Accounts Receivable $6,600.00 $1,320.00 $5,280.00 $1,188.00 $1,188.00 $0.00 CAMA Bridge $4,400.00 $880.00 $3,520.00 $1,100.00 $1,100.00 $0.00 Central Property File $2,200.00 $440.00 $1,760.00 $550.00 $550.00 $0.00 General Billing $3,000.00 $600.00 $2,400.00 $540.00 $540.00 $0.00 Tyler Cashiering $11,000.00 $2,200.00 $8,800.00 $1,980.00 $1,980.00 $0.00 UB Interface $8,250.00 $1,650.00 $6,600.00 $1,485.00 $1,485.00 $0.00 Utility Billing CIS $23,000.00 $4,600.00 $18,400.00 $4,140.00 $4,140.00 $0.00 CLT Interface $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 Tax Billing $22,000.00 $4,400.00 $17,600.00 $5,500.00 $5,500.00 $0.00 Productivity: 2014-9847 - RFP Cost Proposal CONFIDENTIAL 7 of 10 Discount Detail Description License License Discount License Net Maintenance Basis Year One Maint Discount Year One Maint Net Citizen Self Service $6,600.00 $1,320.00 $5,280.00 $1,188.00 $1,188.00 $0.00 eProcurement $5,000.00 $1,000.00 $4,000.00 $900.00 $900.00 $0.00 Tyler Content Manager SE $14,000.00 $2,800.00 $11,200.00 $2,520.00 $2,520.00 $0.00 Tyler Forms Adobe Adjustment $1,300.00 $260.00 $1,040.00 $260.00 $260.00 $0.00 Tyler Reporting Services $7,500.00 $1,500.00 $6,000.00 $1,875.00 $1,875.00 $0.00 Other: CAFR Statement Builder $10,625.00 $2,125.00 $8,500.00 $1,913.00 $1,913.00 $0.00 TOTAL:$229,675.00 $47,695.00 $181,980.00 $43,895.00 $43,895.00 $0.00 2014-9847 - RFP Cost Proposal CONFIDENTIAL 8 of 10 Comments Tyler recommends the use of a 128-bit SSL Security Certificate for any Internet Web Applications, such as the MUNIS Web Client and the MUNIS Self Service applications if hosted by the Client. This certificate is required to encrypt the highly sensitive payroll and financial information as it travels across the public internet. There are various vendors who sell SSL Certificates, with all ranges of prices. Conversion prices are based on a single occurrence of the database. If additional databases need to be converted, these will need to be quoted. Tyler's quote contains estimates of the amount of services needed, based on our preliminary understanding of the size and scope of your project. The actual amount of services depends on such factors as your level of involvement in the project and the speed of knowledge transfer. Unless otherwise noted, prices submitted in the quote do not include travel expenses incurred in accordance with Tyler's then-current Business Travel Policy. Tyler's prices do not include applicable local, city or federal sales, use excise, personal property or other similar taxes or duties, which you are responsible for determining and remitting. In the event Client cancels services less than two (2) weeks in advance, Client is liable to Tyler for (i) all non-refundable expenses incurred by Tyler on Client's behalf; and (ii) daily fees associated with the cancelled services if Tyler is unable to re-assign its personnel. Pricing for optional items will be held for six (6) months from the quote date. Tyler provides onsite training for a maximum of 12 people per class. In the event that more than 12 users wish to participate in a training class or more than one occurrence of a class is needed, Tyler will either provide additional days at then-current rates for training or Tyler will utilize a Train-the-Trainer approach whereby the client designated attendees of the initial training can thereafter train the remaining users. Tyler's Standard Fuel Interface is available from several vendors. Fuelman, FuelForce, Phoenix AFC, Phoenix SCC, Fuel Master, TRN85-Fuelman, Fuelmaster-Plus and Gasboy CFN. If your vendor does not appear on this list, we will need to quote a Custom Interface in addition to the Standard Interface to cover the additional development costs. In the event Client acquires from Tyler any edition of Tyler Content Manager software other than Enterprise Edition, the license for Content Manager is restricted to use with Tyler applications only. If Client wishes to use Tyler Content Manager software with non-Tyler applications, Client must purchase or upgrade to Tyler Content Manager Enterprise Edition. Financial library includes: 1 A/P check, 1 EFT/ACH, 1 Purchase order, 1 Contract, 1099M, 1099INT, 1099S, and 1099G. General Billing library includes: 1 invoice, 1 statement, 1 general billing receipt and 1 miscellaneous receipt. Utility billing library includes: 1 Utility bill, 1 assessment, 1 UB receipt, 1 Lien letter, 1 UB delinquent notice, 1 door hanger and 1 final utility bill. Project Management includes project planning, kickoff meeting, status calls, task monitoring, verification and transition to support. Tyler's cost is based on all of the proposed products and services being obtained from Tyler. Should significant portions of the products or services be deleted, Tyler reserves the right to adjust prices accordingly. AssetTrak PPC Software, MC3190Z Portable Data terminal, Integrated RFID reader & Laser scanner, USB Com/Charging cradle w/ps, PDT Users Licenses for TrakSync and 2014-9847 - RFP Cost Proposal CONFIDENTIAL 9 of 10 Comments AssetTrak PPC Includes: 1 year phone support & software upgrades, Up to 4 hours of remote Install/training via GoToMeeting. 2014-9847 - RFP Cost Proposal CONFIDENTIAL 10 of 10 Tyler Technologies 2013 Annual Report 1 the journeycontinues 2013 Annual Report 1 Tyler Technologies 2013 Annual Report With a clear direction and favorable conditions, Tyler gained significant ground in 2013. Experienced trailblazers understand the importance of mapping a route, staying on course, and equipping their team with the tools and provisions they’ll need to maintain momentum. Tyler Technologies continually invests in our products and people — further enhancing our strong competitive position and enabling Tyler to gain even more ground when conditions are favorable. Tyler Technologies 2013 Annual Report 1 to our shareholders Tyler Technologies takes a steady, long-term approach to our business — building on successes and consistently investing in growth opportunities. In 2013, our commitment to that strategy continued to strengthen our position by magnifying the benefits of an improving market. Not only did Tyler achieve our best year ever by virtually every financial measure, reaching new highs in revenues, earnings, bookings and backlog, but we did so while investing in emerging opportunities and continuing to improve our competitive position across our product groups. These results reflect our unwavering focus on the core strategy that has served our stakeholders so well over the years. Financial Highlights For the second consecutive year, Tyler achieved double- digit growth in revenue — bringing our 2013 total to $416.6 million, up 14.7 percent over 2012. Recurring revenue from maintenance and subscriptions accounted for 61 percent of total revenue, driven in part by growing client demand for cloud-based software as a service (SaaS) solutions. Subscription revenues rose 39 percent from 2012 as more new and existing clients opted for SaaS delivery, coupled with strong growth in revenue streams such as e-filing for courts. Bookings grew even faster than revenues, with a 45 percent increase over 2012, pushing year-end backlog up 45 percent to $551.7 million and enhancing visibility into 2014 and beyond. A great deal of the momentum in bookings and awards in 2013 can be attributed to a growing number of multiyear SaaS agreements, along with a restructured e-filing contract with the state of Texas that replaces transaction-based fees with fixed revenues now included in backlog. Net income was $39.1 million, or $1.13 per diluted share, an increase of 18.5 percent compared to $33 million, or $1.00 per diluted share, in 2012. Non-GAAP net income for the year was $52.3 million, or $1.51 per diluted share, up 22.9 percent from 2012. We achieved these solid results even as we expensed significant investments in long-term opportunities, including approximately $3.3 million in startup costs related to our statewide e-filing contract for Texas courts, as well as costs associated with onboarding staff to increase our capacity to deliver current and projected backlog. Investing for Strength From an economic perspective, the public sector experienced considerable challenges in recent years that lengthened sales cycles and caused many local governments and schools to delay software purchases in 2010 and 2011. While many of our competitors reacted to the slowdown by cutting back on research and development, Tyler chose to increase our investments in product development to further advance our already strong competitive position. With many local governments seeing an improved economic environment over the last several quarters, activity in our market has gradually returned to normal levels, and Tyler has emerged from the recession stronger than ever. Win Tyler’s resolute business strategy, combined with a resurgence of public sector activity amid a strengthening economy, generated double-digit revenue growth for the second consecutive year. Tyler Technologies 2013 Annual Report 1 2 Tyler Technologies 2013 Annual Report rates are up and we are clearly gaining market share. We spent a record $23.3 million on research and development in 2013 to keep the momentum going. And our client retention rate of approximately 98 percent serves as a powerful testament to our ability to deliver lasting value to the public sector clients we serve. An Employer of Choice Tyler’s current workforce already reflects an unrivaled level of experience supporting the public sector. In fact, more than 60 percent of employees who were with the company a decade ago are still with Tyler today. As Tyler continues to grow, attracting and retaining talented employees remains a top priority. That’s why we offer competitive compensation and benefits, career development opportunities, and a work environment that fosters employee pride. In August 2013, we moved into our new company-owned corporate headquarters in Plano, Texas, which allowed us to consolidate our Courts & Justice Division and corporate staff from two separate leased spaces in the greater Dallas area. More than 400 employees office here, and the 26- acre campus offers considerable room for future expansion. We were recognized for the sixth time as one of the Best Places to Work in Maine, where more than 500 Tyler employees are based, and we were ranked among North Texas’ Top 100 Places to Work by the Dallas Morning News. We were also recognized by the Dayton Daily News as one of the Top Workplaces in the Dayton metro area, where our Appraisal & Tax Division is headquartered. These accolades are important to us, in that they reflect our commitment to supporting the professional success and personal well- being of our employees. By strengthening our position as an employer of choice, Tyler continues to lead the industry with innovative, reliable solutions that are helping the public sector do more with less. Tyler Technologies 2013 Annual Report2 Tyler Technologies 2013 Annual Report 3 Executing Our Strategies Through all economic climates, Tyler’s core growth strategies endure — expanding our geographic reach, broadening our product and service offerings, winning large-scale contracts, and extending our relationships with existing clients. As we review our 2013 performance and set our sights on the journey ahead, we extend our thanks to the valued shareholders, employees and clients who share our success as the journey continues. John S. Marr Jr. President and Chief Executive Officer March 21, 2014 (from left to right) Brett Cate Christopher P. Hepburn Matthew B. Bieri Terri L. Alford W. Michael Smith Brian K. Miller John M. Yeaman John S. Marr Jr. Dustin R. Womble H. Lynn Moore Jr. Samantha B. Crosby Robert J. Sansone Bruce Graham Richard E. Peterson Jr. Andrew D. Teed For more information about our management team, please refer to the inside back cover. Tyler Technologies 2013 Annual Report Total Revenues in millions Backlog in millions 20 0 9 20 0 9 2 0 1 3 2 0 1 3 20 1 2 20 1 2 2 0 1 1 2 0 1 1 20 1 0 20 1 0 $3 6 3 . 3 $3 8 0 . 6 $ 4 1 6 . 6 $ 5 5 1 . 7 $ 3 0 9 . 4 $3 3 9 . 8 $2 8 8 . 6 $ 2 8 1 . 4 $2 9 0 . 3 $ 2 3 3 . 1 3 4 Tyler Technologies 2013 Annual Report overviewtyler Tyler Technologies 2013 Annual Report4 STUDENT MANAGEMENT Tyler offers a full suite of student management solutions to help educators and administrators put students first, including student information (grades, attendance and scheduling), data analytics, special education and student transportation. In fact, Tyler’s Versatrans ® solutions manage transportation for 1 out of every 10 U.S. school districts. FINANCIAL Tyler delivers integrated financial solutions that address the unique budgeting and procurement needs of educational clients. By enhancing our clients’ most essential business functions, Tyler helps schools maximize their resources in the more than 1,350 school districts we serve. SCHOOL SOLUTIONS With more than 2,600 employees and 11,000 government and school clients in all 50 states, Canada, the Caribbean, the United Kingdom, and other international jurisdictions, Tyler Technologies is the largest software company in the nation with an exclusive focus on the public sector. We’re more than software developers — we’re implementation and support partners whose client relationships span decades. From student transportation management solutions in South Texas to an $18 million property tax solution for New York City, Tyler’s perpetual upgrades and comprehensive services empower our clients to serve the public with efficiency, accessibility and fiscal responsibility. 4 Tyler Technologies 2013 Annual Report 5 Revenue Mix 46.0% Maintenance 22.4% Services 14.8% Subscriptions 9.8% Software Licenses and Royalties 5.0% Appraisal 2.0% Hardware and Other ERP | FINANCIAL More than 4,000 government entities rely on Tyler’s financial solutions for efficient management of their accounting, payroll and human resources functions as they manage $116 billion in public sector funds annually. Our human capital management solutions process paychecks for more than 1 million public sector employees. PLANNING, PERMITTING & LICENSING Tyler’s planning, permitting and licensing products centralize and connect processes across building departments, code enforcement, public works and other agencies, with 24-hour citizen access and mobile solutions that extend functionality into the field. These solutions serve approximately 23 million citizens in the United States and Canada. COURTS & JUSTICE From paperless court case management to e-filing solutions, Tyler’s courts and justice products offer a broad range of functionality for courts, prosecutors, law enforcement, corrections and supervision staff. More than 25 percent of the U.S. population lives in jurisdictions that have licensed Tyler’s Odyssey® case management or e-filing solutions. APPRAISAL & TAX Tyler serves 1,300 taxing authorities throughout the United States and Canada with computer-assisted mass appraisal (CAMA) solutions, tax billing and collections software, and turnkey reassessment and revaluation services. Tyler’s appraisal and tax solutions facilitate the efficient management of more than 60 million parcels of property. RECORDS & DOCUMENTS Our records and documents solutions are instrumental in the management of land and vital records for 24 million citizens across the United States. Using Tyler solutions, our clients currently store and access more than 380 million land and vital records. STATE & LOCAL GOVERNMENT SOLUTIONS 5 Recurring Revenues in millions 20 0 9 20 1 3 20 1 2 20 1 1 20 1 0 $ 1 7 7 . 7 $1 5 9 . 0 $1 4 1 . 7 $ 2 1 6 . 5 $2 5 3 . 6 PUBLIC SAFETY When it comes to public safety, timeliness and accuracy are paramount. Tyler’s public safety solutions facilitate the sharing of mission-critical information and streamline records management for first responders, dispatchers, jails and others. Protecting more than 2 million citizens every day, Tyler solutions equip jurisdictions to take 1.6 million 911/dispatch calls annually. 6 Tyler Technologies 2013 Annual Report Q&A: Tyler’s strong competitive position contributed to accelerating growth and profitability in 2013 as the broader public sector market continued to improve. In this question and answer format, we address many of the issues and events that shaped our performance during the year and will continue to influence the future. 6 How would you characterize the public sector market in 2013? In our 2012 annual report, we noted that the markets we serve were gradually improving following a challenging new- business environment in 2010 and 2011, as many local governments and schools experienced budget pressures in a weak economy. That improvement continued into 2013, and by year-end market activity had returned to pre-recession levels not seen since 2009. As we enter 2014, our pipeline of new business opportunities is at a historically high level. How did Tyler benefit from the improved economic environment, and what other factors contributed to Tyler’s record results in 2013? While the improved economic environment certainly contributed to Tyler’s revenue and earnings increases in 2013, our growth was clearly above the market growth rate, as bookings and year-end backlog each rose by 45 percent over 2012. We attribute that market share gain to our strong competitive position, which reflects increased investments in product development over the past several years as well as an unmatched record of successfully executing projects on time and on budget. Tyler Technologies 2013 Annual Report 7 mapping the route Tyler Technologies 2013 Annual Report 77 Tyler’s core strategies serve as a compass for the decisions we make. By expanding our geographic reach, broadening our product offerings, winning large-scale contracts, and extending our relationships with existing clients, we continue to move forward with confidence. In previous reports, you’ve discussed a trend toward software as a service (SaaS) solutions. Did this hold true for 2013 as well? The number of clients choosing Tyler’s SaaS solutions continued to rise in 2013. In fact, subscriptions — including SaaS and e-filing for courts as well as other transaction-based offerings — were the fastest-growing part of our business in 2013. Subscriptions were up 39 percent as 100 new clients signed SaaS contracts and 63 existing Tyler clients converted from on-premises solutions. Thirty-two percent of our new-name clients chose SaaS solutions in 2013, compared to 30 percent of new clients in 2012. There are a number of reasons why Tyler’s cloud offerings have increasing appeal. All of our major products are available as robust SaaS solutions that offer the same features, functionality and evergreen upgrades as our on- premises solutions. This gives clients the option to easily convert from one model to the other without disruption. Additionally, SaaS solutions enable clients to spread out their investments over a longer period of time — which can be an attractive option for clients who need to replace mission-critical functions, but are challenged with funding ERP | FINANCIAL We continued to expand our leadership position in local government financial systems with both the Incode® and Munis® suites of products, along with Microsoft Dynamics® AX. We offered our first Windows 8 apps on the Microsoft store — Munis Field Inspector, Munis My Work and Munis Work Orders. We also launched the general release of CAFR Statement Builder and Tyler eTimekeeper. Contract highlights for on-premises license implementations included a $4.4 million Munis and EnerGov® deal with the city of Columbia, Missouri; a $4.3 million contract with Pasco County, Florida; and significant contracts with El Paso County, Texas, and Pasadena, California. Major new SaaS clients included a $4.1 million Munis contract with Baltimore County, Maryland; and a new arrangement with Hallandale Beach, Florida. We also signed five new clients for Microsoft Dynamics AX, led by a $5 million contract with the city of Columbus, Ohio, the nation’s 15th- largest city. 8 Tyler Technologies 2013 Annual Report major capital investments. Our SaaS solutions also enable local governments to deal effectively with the “brain-drain” that many of them face as longtime employees retire and it becomes more difficult to manage their increasingly complex IT infrastructures. How does the growing popularity of the cloud affect Tyler’s financial model? Although the percentage of new clients choosing our SaaS model continues to increase, it has done so gradually over the past decade and we expect that to continue in the near future. Because the shift is gradual, the effect of the ongoing transition of our model is not disruptive. We have still been able to achieve margin improvements while growing recurring revenue streams, as the lower first-year margins on new SaaS clients are offset by higher margins from SaaS clients added in prior years. We believe the fact that we offer our solutions in both traditional on-premises and hosted cloud solution models differentiates Tyler from most of our competitors. Simply put, we want to win new clients and serve their needs, regardless of their preference for how they acquire and access our software. With the increasing adoption of SaaS solutions, how are traditional software licenses performing? As noted above, the transition to SaaS in our market is slower than in the private sector, and more than two-thirds of our new clients in 2013 chose a traditional license- based, on-premises solution. In fact, software license and royalties revenues increased more than 20 percent in 2013 to reach the highest level in four years, even as subscription With eFileTexas.gov, Texas courts were well prepared for mandatory e-filing On January 1, 2014, the state of Texas initiated a rolling schedule that will make electronic filing mandatory for all civil court cases in Texas by 2016. Tyler expects to eventually serve 90,000 attorneys and all 254 counties in Texas through the eFileTexas.gov site, which was successfully launched in 2013. The system shortens lines at clerk counters, enhances tracking and reporting, and saves taxpayer dollars through increased efficiencies associated with the elimination of paper documents. COURTS & JUSTICE Our Courts & Justice Division went live with two major Odyssey jail software implementations in 2013 — Fulton County (Atlanta), Georgia; and El Paso County, Texas. Three new statewide Odyssey deals led our Courts & Justice Division signings in 2013, including a $19.2 million contract with the state of Washington; a $6.2 million deal with Idaho; and a $5.9 million contract with Rhode Island. Tyler also continued to gain ground in the California courts market, winning 12 of the 14 contracts awarded in the state as of this writing. Significant new clients for our Incode municipal court solution included the cities of Corpus Christi, Texas; and Pueblo, Colorado. 9Tyler Technologies 2013 Annual Report revenues grew 39 percent. In a sense, Tyler is a hybrid company committed to both SaaS and traditional software license offerings — providing our shareholders with a fast-growing SaaS business built on top of a mature, highly profitable license-based software business with more than 11,000 installations and a maintenance base that should surpass $200 million in revenues in 2014. No matter which delivery method a client may choose, these long-term client relationships hold tremendous value as we generate recurring revenues and cultivate client loyalty with a high level of client support and perpetual upgrades. How is Tyler’s e-filing business for courts progressing? Since Tyler’s acquisition of Wiznet in 2010, we have expanded our relationships with courts across the nation to establish Tyler as a leader in providing electronic filing solutions for courts. Our Odyssey File & Serve solution allows attorneys to file documents electronically with the courts, and the courts to serve documents electronically on parties involved in cases. We generally provide the e-filing solution with no up-front or ongoing out-of-pocket costs to the courts, and earn recurring revenues from fees paid by parties filing documents. Our e-filing revenues from courts increased 84 percent in 2013 to $10.9 million. We are actively pursuing new e-filing arrangements with existing and new Odyssey courts software clients, as well as with courts that do not use our case management software. The majority of courts in the country do not currently mandate e-filing, so the growth opportunity in this space is significant, although new e-filing contracts typically have long lead times before becoming mandatory. During 2013, we signed 24 new e-filing contracts, including the Idaho State Judiciary, the Rhode Island Judiciary, and the Third Judicial Circuit of Michigan. APPRAISAL & TAX Tyler expanded our appraisal and tax software line with a number of releases in 2013, including the iasWorld® Field Mobile feature. We also enhanced our iasWorld appraisal tax administration software with expanded cross-browser support, integration points and feature updates. Contract highlights included an $18 million iasWorld property tax solution for New York City, New York; contracts totaling $2.8 million for iasWorld and Tyler Verify with Franklin County (Columbus), Ohio; and a $7 million appraisal services agreement with Washington County, Pennsylvania. We also signed our first Tyler Verify contract in the state of Indiana with Vanderburgh County and expanded our international presence with an iasWorld software contract in Brunei. 2 0 1 0 $70 $30 $5 2 0 1 1 20 0 9 20 0 8 20 1 2 20 1 3 Transition to Cloud-Based Services in millions Subscription Revenues Software Licenses and Royalties Revenues 10 Tyler Technologies 2013 Annual Report leading the What is the status of the eFileTexas.gov engagement? On January 1, 2014, Texas implemented mandatory electronic filing requirements for civil cases in the state’s 10 largest counties and appellate courts, with the remaining courts to be added on a rolling schedule by 2016. As the statewide provider for mandatory electronic filing of civil court documents in Texas under a contract executed in 2012, Tyler orchestrated a successful rollout of the eFileTexas.gov site that began in June 2013 when Gregg County went live on the system. An estimated 90,000 attorneys will eventually be using the system for filing documents with courts in all 254 Texas counties. In 2014, eFileTexas.gov is expected to handle 3.5 million electronic court filings — one of the largest statewide systems in the nation. We expect eFileTexas.gov to provide a powerful stream of recurring In 2013, Tyler’s spending on product development was at a record high level. Both new and existing clients benefit from Tyler’s evergreen solutions, which include perpetual upgrades. industry 10 Tyler Technologies 2013 Annual Report Tyler Technologies 2013 Annual Report 11 revenues with attractive margins. Revenues from e-filing in Texas courts are expected to total approximately $17 million in 2014, increasing to more than $19 million annually in subsequent years. In 2013, however, we expensed approximately $3.3 million of costs associated with the startup of the system, with revenues of approximately $3.8 million in the second half of the year. How does the eFileTexas.gov revenue arrangement differ from Tyler’s other e-filing revenues? We restructured our e-filing fee arrangement with the state of Texas in 2013 from a per-filing, transaction-based model to a fixed-fee arrangement. Filers now pay the courts a one-time e-filing fee when a case is initiated, and Tyler receives a fixed fee each quarter. The four- year contract is valued at approximately $72 million. At December 31, 2013, our backlog included approximately $68 million related to eFileTexas.gov. With our other e-filing contracts, we generally collect a fee per filing, and because they are transaction-based, they are not included in backlog. In 2012, you had an unprecedented opportunity to establish a presence in California courts with your Odyssey case management solution. What progress did Tyler make with that opportunity during 2013? In early 2012, the state of California terminated a 10-year project with a systems integrator for developing a custom statewide case management system for the courts in the state’s 58 counties, which unleashed demand for new systems for courts software in the nation’s most populous state. With the clear leadership position our Odyssey solution has built in the case management space nationwide, we were confident that Tyler was well-positioned to compete in the California market. In 2013, we built on our early wins in California with further success in the state. RECORDS & DOCUMENTS Tyler’s records and documents solutions facilitate public access and vital records management. As an example, Tyler’s Eagle Recorder and Eagle Web with Fraud Guard offer a secure, Web-accessible solution and give residents the flexibility to conduct online record searches and register to be alerted when a document with their name is recorded. Contract highlights included an Eagle Recorder software contract including both licenses and SaaS solutions with Wayne County (Detroit), Michigan; as well as Eagle contracts with Riverside County, California; and Palm Beach County, Florida. 11Tyler Technologies 2013 Annual Report 12 Tyler Technologies 2013 Annual Report Tyler was one of three providers selected to enter into master service agreements that allow counties to bypass the requirement to issue individual requests for proposal to purchase new systems. We signed contracts during 2013 with courts in 11 counties in California, including Orange, Fresno and Merced. Six Northern California counties came together to form the NorCal Collaboration Project, an innovative arrangement under which they each signed five-year SaaS contracts to jointly implement Odyssey in a single project. To date, 12 of the 14 California counties that have signed contracts for new courts systems since 2012 have selected Tyler’s Odyssey solution, with seven of them choosing our SaaS model. The market in California remains very active, and we anticipate that courts in some of the state’s larger counties will make decisions during 2014 to replace their aging case management systems. Our success in California courts has not been limited to sales, however. In January 2014, our first California courts client, San Luis Obispo County, went live on Odyssey, just 13 months after we kicked off the implementation. How is Tyler building on its leadership position in financial software for local governments and schools? While we are excited about the potential of our e-filing and case management solutions, our financial product suites — Munis and Incode — form our foundation. These products accounted for approximately one-half of our revenues and an even greater percentage of our operating profit in 2013. Our core financial solutions achieved higher win rates against key competitors during the past year, while continuing to expand our presence in larger cities, counties and school districts. The addition of EnerGov, the planning, permitting, licensing, and land management solution we acquired late in 2012, also added to solid double-digit growth in our financial systems revenues in 2013. EnerGov contributed wins in both standalone licensing and permitting opportunities and in contracts that also included our Munis or Incode financial solutions. PLANNING, PERMITTING & LICENSING Since acquiring EnerGov in November 2012, Tyler has had several major wins over our largest competitor for that product suite, including contracts in 2013 with Temecula, California; Palm Beach County, Florida; and Columbia, Missouri. Other key EnerGov contracts included the Washington Suburban Sanitation Commission and the city of Richmond Hill, Canada, as well as San Mateo and Tulare counties in California. 2013 Quarterly Earnings Per Share in dollars Annual Earnings Per Share in dollars 1Q 1 3 20 0 9 20 1 3 4Q 1 3 20 1 2 3Q 1 3 20 1 1 2Q 1 3 2 0 1 0 $ 0 . 3 0 $1 . 0 0 $1 . 1 3 $ 0 . 3 2 $ 0 . 8 3 $ 0 . 2 6 $ 0 . 7 1 $ 0 . 2 5 $ 0 . 7 4 13Tyler Technologies 2013 Annual Report What is the status of Microsoft Dynamics AX, the financial product you jointly developed for the public sector with Microsoft? Dynamics AX 2012 was released by Microsoft in late 2011. We have two revenue streams related to this product, which we jointly developed by adding public sector functionality to the Microsoft product. We sell this product to targeted public sector entities through our direct sales channel, and we receive royalties on both licenses and maintenance from public sector sales by other Microsoft partners worldwide. Although 2013 was only the second year in which we received royalties from Microsoft, they grew to $3.1 million from $756,000 in 2012. In the first two years, Dynamics AX has gained broad geographic penetration with diverse public sector entities worldwide, with royalties in 2013 from public sector sales in 38 countries. This relationship allows Tyler to bring our deep public sector expertise to clients all over the world through the Microsoft channel and to generate revenues in markets we wouldn’t have otherwise pursued on a direct basis — such as organizations in Zimbabwe, Poland and India. We expect that Dynamics AX sales through Microsoft’s partner network will continue to expand and that royalties will become more meaningful in future years as the product continues to gain traction. Tyler’s direct sales of Microsoft Dynamics AX in 2013 included contracts with Columbus, Ohio, the nation’s 15th-largest city; all 77 district courts of the Supreme Court of Oklahoma; Walker County, Texas; and the Maricopa Association of Governments in Phoenix, Arizona. Tyler was also recognized as the 2013 United States Microsoft Dynamics Public Sector Partner of the Year. You’ve won an increasing number of large deals in recent years. Why is that, and does it have any bearing on your relationships with small and mid- size clients? Historically, many of the nation’s largest public sector organizations tended to defer to a select few large multinational providers when choosing a technology partner. These providers were often chosen based on their name recognition and horizontal capabilities, even though their vertical expertise in the public sector may PUBLIC SAFETY Tyler’s public safety solutions grew at a steady pace, with a 14 percent increase in our client base from 2012 to 2013. The largest contract was with the city of Tupelo, Mississippi, a combined agreement with Tyler’s Incode court solution. Other significant contracts were the Bowie County-Texarkana Communication Center in Texas and Coahoma County, Mississippi. Expanding our presence in the California courts market When the state of California abandoned a 10-year effort to develop a custom statewide case management system, Tyler’s clear position of national leadership in the courts software market enabled us to achieve early success in that state. Today, our Odyssey® court case management system has been selected by courts throughout the state to manage their growing case activity more effectively and do more with less. 14 Tyler Technologies 2013 Annual Report visible Tyler’s Versatrans product increased its GPS market share by 600 in-vehicle devices through contracts with Shelby County and Washington Consolidated School District, Tennessee; Dubuque Community School District, Iowa; and Shenendehowa PSD, New York. results have been lacking. Meanwhile, Tyler continued to build our business consistently, staying true to our exclusive focus on solutions for public sector clients and devoting all of our investments to innovations that address their unique needs. Today, Tyler Technologies is recognized by public sector entities of all sizes for its resources, financial strength and vertical expertise. What product enhancements and new releases did Tyler announce in 2013? We continued to refine many of our existing products by enhancing features, functionality and technology. New releases included Traversa, a comprehensive Web-based school transportation management solution for K-12; the iasWorld Field Mobile feature; CAFR Statement Builder for the software suites of Eden, FundBalance, Incode and Munis; and Tyler eTimekeeper, a Web-based time and attendance tracker that can be used with mobile devices as well as desktop computers. 14 Tyler Technologies 2013 Annual Report STUDENT MANAGEMENT Tyler continued to enhance our student management offerings in 2013 with the release of Traversa®, a Web-based K-12 transportation management solution, as well as the launch of a new Tyler Telematic GPS device with advanced data collection capabilities for our Versatrans product. In addition, Tyler has been named a preferred vendor in Oklahoma, allowing school districts to bypass individual RFPs and purchase Tyler SIS at a negotiated rate. Contract highlights include a Versatrans deal with Brownsville ISD, Texas — our largest Versatrans sale to date; and the sale of 442 additional Tyler Telematic GPS units to the Polk County School District, Florida — making it the largest Tyler Telematic GPS fleet at 691 buses. Tyler Technologies 2013 Annual Report 15 How do mobile technologies fit into your product development strategy? Every new Tyler solution or product enhancement is driven by the needs of our clients — and mobile solutions are no exception. Mobile apps and utilities make it possible for employees in the field to efficiently gather and securely share information with the main office or other authorized parties in real time. We know from experience that every dollar spent by schools and governments has to justify its worth, and mobile solutions offer a level of flexibility and responsiveness that makes them a good fit for the public sector. We will continue to develop and refine products that extend our clients’ capabilities and enhance the user experience, including mobile apps, cloud-based solutions and traditional licensed products. 15Tyler Technologies 2013 Annual Report 16 Tyler Technologies 2013 Annual Report SCHOOL FINANCIAL In keeping with the growing popularity of SaaS solutions, many of our existing clients made the transition from traditional licenses to SaaS in 2013. Tyler’s SaaS solutions also attracted several new clients to our School Financial solutions, while sales of traditional licenses remained strong. School Financial contract highlights for 2013 included Munis contracts with the Lewisville Independent School District in Texas and the Santa Barbara Unified School District in California. What mobile solutions does Tyler currently offer? Tyler has already developed and released a number of mobile solutions that enable our clients to do their jobs more effectively and more efficiently. Our EnerGov Mobile App Suite features Apple iPad® functionality that allows code enforcement officers, inspectors and other agency workers to make notes and take photos on site, manage workflow productivity, and update information in real time via Wi-Fi connectivity. We also offer the Incode Mobile Management Console for Windows 8 and Windows RT, which offers remote tablet access to financial and personnel information through available 3G, 4G or Wi-Fi networks. Other mobile solutions from Tyler include Munis My Work for approvals, notifications and alerts; the Tyler Public Safety mobile app for real-time information at the scene; and the Traversa, iasWorld Field Mobile, and Tyler eTimekeeper solutions previously mentioned. What recognition for its success did Tyler receive during 2013? Every business decision we make is driven by our commitment to serving the public sector. For that reason, we value the recognition we receive from respected sources in the business world — because each award and accolade serves to reinforce the value we deliver to our clients. We achieved our highest ranking yet on the Forbes list of 100 Best Small Companies in America, having been named to the list for six of the last seven years. Our 2013 ranking was 25th — 11 spots higher than the previous year. Criteria included companies with revenues from $5 million to $1 billion, a share price above $5, a healthy return on equity, sustained sales and earnings growth in the past 12 months and over the last five years, and solid stock performance in comparison to industry peers. For the sixth consecutive year, Tyler appeared on the Software 500 ranking, published by Software Magazine. The Software 500 is based on revenue from software licenses, maintenance and support, training, and software- related services and consulting. Tyler ranked 166 on the 2013 list, which was based on software and services revenue for 2012. We also made our fourth appearance on the Barron’s 400 Index. The index uses proprietary methodologies to identify 400 publicly traded companies it considers to be financially sound, and only around 6 percent of all publicly listed North American companies are selected. The Barron’s 400 Index has outperformed the broader U.S. equity market by more than 5 percentage points per year in the last decade. Tyler is proud of the hard work and public sector expertise that these awards represent, and we will continue to challenge our team to further extend our position as an industry innovator and leader. The preceding Q&A is a composite representation of the views of Tyler management with regard to company performance and market perspectives. For further information, visit tylertech.com or contact our investor relations team at info@tylertech.com. financialinformation Stock Market Data Stock Market Data Tyler Technologies 2013 Annual Report 19 Our common stock is traded on the New York Stock Exchange under the symbol “TYL.” At December 31, 2013, we had approximately 1,776 stockholders of record. A number of our stockholders hold their shares in street name; therefore, there are substantially more than 1,776 beneficial owners of our common stock. The following table shows, for the calendar periods indicated, the high and low sales price per share of our common stock as reported on the New York Stock Exchange. High Low 2012: First Quarter $ 39.43 $ 29.67 Second Quarter 41.61 36.00 Third Quarter 44.41 36.99 Fourth Quarter 49.60 41.95 2013: First Quarter $ 61.60 $ 48.86 Second Quarter 70.49 57.00 Third Quarter 88.68 68.60 Fourth Quarter 105.74 83.25 We did not pay any cash dividends in 2013 or 2012. Our bank credit agreement contains restrictions on the payment of cash dividends. We intend to retain earnings for use in the operation and expansion of our business, and, therefore, we do not anticipate declaring a cash dividend in the foreseeable future. As of December 31, 2013, we had authorization to repurchase up to 1.7 million additional shares of Tyler common stock. There was no repurchase activity during the twelve months ended December 31, 2013. The repurchase program, which was approved by our board of directors, was announced in October 2002, and was amended in April 2003, July 2003, October 2004, October 2005, May 2007, May 2008, October 2008, May 2009, July 2010, October 2010 and September 2011. There is no expiration date specified for the authorization and we intend to repurchase stock under the plan from time to time. Management’s Discussion and Analysis of Financial Condition and Results of OperationsSelected Financial Data Tyler Technologies 2013 Annual Report20 SELECTED FINANCIAL DATA For the Years Ended December 31, (In thousands, except per share data) 2013 2012 2011 2010 2009 STATEMENT OF OPERATIONS DATA: Revenues $ 416,643 $ 363,304 $ 309,391 $ 288,628 $ 290,286 Costs and expenses: Cost of revenues 223,440 195,602 167,479 160,311 161,523 Selling, general and administrative expenses 98,289 86,706 75,650 69,480 70,115 Research and development expense 23,269 20,140 16,414 13,971 11,159 Amortization of customer and trade name intangibles 4,517 4,279 3,331 3,225 2,705 Operating income 67,128 56,577 46,517 41,641 44,784 Other expense, net (1,309) (2,709) (2,404) (1,742) (146) Income from operations before income taxes 65,819 53,868 44,113 39,899 44,638 Income tax provision 26,718 20,874 16,556 14,845 17,628 Net income $ 39,101 $ 32,994 $ 27,557 $ 25,054 $ 27,010 Net income per diluted share $ 1.13 $ 1.00 $ 0.83 $ 0.71 $ 0.74 Weighted average diluted shares 34,590 32,916 33,154 35,528 36,624 STATEMENT OF CASH FLOWS DATA: Cash flows provided by operating activities $ 66,090 $ 58,668 $ 56,435 $ 35,350 $ 42,941 Cash flows used by investing activities (25,658) (34,736) (28,809) (8,694) (13,658) Cash flows provided (used) by financing activities 32,038 (18,852) (28,414) (34,238) (21,349) BALANCE SHEET DATA: Total assets $ 444,488 $ 338,666 $ 295,391 $ 264,032 $ 270,670 Revolving line of credit — 18,000 60,700 26,500 — Shareholders’ equity 246,319 145,299 78,110 106,972 134,358 Management’s Discussion and Analysis of Financial Condition and Results of Operations Tyler Technologies 2013 Annual Report 21 FORWARD-LOOKING STATEMENTS In addition to historical information, this Annual Report contains forward-looking statements. The forward-looking statements are made in reliance upon safe harbor provisions of the Private Securities Litigation Reform Act of 1995. These forward-looking statements are subject to certain risks and uncertainties that could cause actual results to differ materially from those reflected in the forward-looking statements. Readers are cautioned not to place undue reliance on these forward-looking statements, which reflect management’s opinion only as of the date hereof. We undertake no obligation to revise or publicly release the results of any revisions to these forward-looking statements. Readers should carefully review the risk factors described in documents we file from time to time with the Securities and Exchange Commission. When used in this Annual Report, the words “believes,” “expects,” “anticipates,” “foresees,” “forecasts,” “estimates,” “plans,” “intends,” “continues,” “may,” “will,” “should,” “projects,” “might,” “could” or the negative of such terms and other similar words or expressions are intended to identify forward-looking statements. Similarly, statements that describe our business strategy, outlook, objectives, plans, intentions or goals also are forward-looking statements. OVERVIEW General We provide integrated information management solutions and services for the public sector, with a focus on local governments. We develop and market a broad line of software products and services to address the information technology (“IT”) needs of cities, counties, schools and other local government entities. In addition, we provide professional IT services to our customers, including software and hardware installation, data conversion, training and for certain customers, product modifications, along with continuing maintenance and support for customers using our systems. We also provide subscription-based services such as software as a service (“SaaS”), which utilizes the Tyler private cloud, and electronic document filing solutions (“e-filing”). In 2010 we began providing e-filing for courts and law offices, which simplify the filing and management of court related documents. Revenues for e-filing are derived from transaction fees and in some cases fixed fee arrangements. We also provide property appraisal outsourcing services for taxing jurisdictions. Our products generally automate three major functional areas: (1) financial management and education, (2) courts and justice and (3) property appraisal and tax and we report our results in two segments. The Enterprise Software Solutions (“ESS”) segment provides municipal and county governments and schools with software systems and services to meet their information technology and automation needs for mission-critical “back-office” functions such as financial management and courts and justice processes. The Appraisal and Tax Software Solutions and Services (“ATSS”) segment provides systems and software that automate the appraisal and assessment of real and personal property as well as property appraisal outsourcing services for local governments and taxing authorities. Property appraisal outsourcing services include: the physical inspection of commercial and residential properties; data collection and processing; computer analysis for property valuation; preparation of tax rolls; community education; and arbitration between taxpayers and the assessing jurisdiction. We monitor and analyze several key performance indicators in order to manage our business and evaluate our financial and operating performance. These indicators include the following: – Revenues – We derive our revenues from five primary sources: sale of software licenses and royalties; subscription- based arrangements; software services; maintenance and appraisal services. Subscriptions and maintenance are considered recurring revenue sources and comprised approximately 61% of our revenue in 2013. The number of new SaaS customers and the number of existing customers who convert from our traditional software arrangements to our SaaS model are a significant driver to our business, together with new software license sales and maintenance rate increases. In addition, we also monitor our customer base and churn as we historically have experienced very low customer turnover. During 2013, our customer turnover was approximately 2%. Management’s Discussion and Analysis of Financial Condition and Results of Operations Tyler Technologies 2013 Annual Report22 Management’s Discussion and Analysis of Financial Condition and Results of Operations – Cost of Revenues and Gross Margins – Our primary cost component is personnel expenses in connection with providing software implementation, subscription-based services, maintenance and support, and appraisal services to our customers. We can improve gross margins by controlling headcount and related costs and by expanding our revenue base, especially from those products and services that produce incremental revenue with minimal incremental cost, such as software licenses and royalties, subscription-based services, and maintenance and support. Our appraisal projects are cyclical in nature, and we often employ appraisal personnel on a short-term basis to coincide with the life of a project. As of December 31, 2013, our total employee count increased to 2,573 from 2,388 at December 31, 2012. – Selling, General and Administrative (“SG&A”) Expenses – The primary components of SG&A expenses are administrative and sales personnel salaries and commissions, share-based compensation expense, marketing expense, rent and professional fees. Sales commissions typically fluctuate with revenues and share-based compensation expense generally increases when the market price of our stock increases. Other administrative expenses tend to grow at a slower rate than revenues. – Liquidity and Cash Flows – The primary driver of our cash flows is net income. Uses of cash include acquisitions, capital investments in property and equipment and discretionary purchases of treasury stock. During 2013, we invested $26.9 million in property and equipment. Our investment in property and equipment included $20.3 million in connection with the construction of an office building in Plano, Texas. Our working capital needs are fairly stable throughout the year with the significant components of cash outflows being payment of personnel expenses offset by cash inflows representing collection of accounts receivable and cash receipts from customers in advance of revenue being earned. – Balance Sheet – Cash, accounts receivable and days sales outstanding and deferred revenue balances are important indicators of our business. Outlook We expect the trend of gradual improvements in the marketplace to continue in 2014. We have made significant investments in our business that we believe will enhance our market leadership and improve long-term revenue and margin growth. CRITICAL ACCOUNTING POLICIES AND ESTIMATES Our discussion and analysis of financial condition and results of operations is based upon our financial statements, which have been prepared in accordance with accounting principles generally accepted in the United States (“GAAP”). The preparation of these financial statements requires us to make estimates and judgments that affect the reported amounts of assets and liabilities at the date of the financial statements, the reported amounts of revenues, cost of revenues and expenses during the reporting period, and related disclosure of contingencies. The Notes to the Financial Statements included as part of this Annual Report describe our significant accounting policies used in the preparation of the financial statements. Significant items subject to such estimates and assumptions include the application of the percentage-of-completion and proportional performance methods of revenue recognition, the carrying amount and estimated useful lives of intangible assets, determination of share-based compensation expense and valuation allowance for receivables. We base our estimates on historical experience and on various other assumptions that we believe to be reasonable under the circumstances, the results of which form the basis for making judgments about the carrying values of assets and liabilities that are not readily apparent from other sources. Actual results may differ from these estimates under different assumptions or conditions. We believe the following critical accounting policies require significant judgments and estimates used in the preparation of our financial statements. Revenue Recognition. We recognize revenues in accordance with the provisions of Accounting Standards Codification (“ASC”) 605, Revenue Recognition and ASC 985-605, Software Revenue Recognition. Our revenues are derived from sales of software licenses and royalties, subscription-based services, appraisal services, maintenance and support, and Management’s Discussion and Analysis of Financial Condition and Results of Operations Tyler Technologies 2013 Annual Report 23 services that typically range from installation, training and basic consulting to software modification and customization to meet specific customer needs. For multiple element software arrangements, which do not entail the performance of services that are considered essential to the functionality of the software, we generally record revenue when the delivered products or performed services result in a legally enforceable and non-refundable claim. We maintain allowances for doubtful accounts and sales adjustments, which are provided at the time the revenue is recognized. Because most of our customers are governmental entities, we rarely incur a loss resulting from the inability of a customer to make required payments. In a limited number of cases, we encounter a customer who is dissatisfied with some aspect of the software product or our service, and we may offer a “concession” to such customer. In those limited situations where we grant a concession, we rarely reduce the contract arrangement fee, but alternatively may perform additional services, such as additional training or creating additional custom reports. These amounts have historically been nominal. In connection with our customer contracts and the adequacy of related allowances and measures of progress towards contract completion, our project managers are charged with the responsibility to continually review the status of each customer on a specific contract basis. Also, we review, on at least a quarterly basis, significant past due accounts receivable and the adequacy of related reserves. Events or changes in circumstances that indicate that the carrying amount for the allowances for doubtful accounts and sales adjustments may require revision, include, but are not limited to, deterioration of a customer’s financial condition, failure to manage our customer’s expectations regarding the scope of the services to be delivered, and defects or errors in new versions or enhancements of our software products. We use contract accounting, primarily the percentage-of-completion method, as discussed in ASC 605-35, Construction — Type and Certain Production — Type Contracts, for those software arrangements that involve significant production, modification or customization of the software, or where our software services are otherwise considered essential to the functionality of the software. We measure progress-to-completion primarily using labor hours incurred, or value added. In addition, we recognize revenue using the proportional performance method of revenue recognition for our property appraisal projects, some of which can range up to five years. These methods rely on estimates of total expected contract revenue, billings and collections and expected contract costs, as well as measures of progress toward completion. We believe reasonably dependable estimates of revenue and costs and progress applicable to various stages of a contract can be made. At times, we perform additional and/or non-contractual services for little to no incremental fee to satisfy customer expectations. If changes occur in delivery, productivity or other factors used in developing our estimates of expected costs or revenues, we revise our cost and revenue estimates, and any revisions are charged to income in the period in which the facts that give rise to that revision first become known. In connection with these and certain other contracts, we may perform the work prior to when the services are billable and/or payable pursuant to the contract. The termination clauses in most of our contracts provide for the payment for the value of products delivered and services performed in the event of an early termination. For SaaS arrangements, we evaluate whether the customer has the contractual right to take possession of our software at any time during the hosting period without significant penalty and whether the customer can feasibly maintain the software on the customer’s hardware or enter into another arrangement with a third party to host the software. If we determine that the customer has the contractual right to take possession of our software at any time during the hosting period without significant penalty and can feasibly maintain the software on the customer’s hardware or enter into another arrangement with a third party to host the software, we recognize the license, professional services and hosting services revenues pursuant to ASC 985-605, Software Revenue Recognition. For SaaS arrangements that do not meet the criteria for recognition under ASC 985-605, we account for the elements under ASC 605-25, Multiple Element Arrangements using all applicable facts and circumstances, including whether (i) the element has stand-alone value, (ii) there is a general right of return and (iii) the revenue is contingent on delivery of other elements. We allocate the contract value to each element of the arrangement that qualifies for treatment as a separate element based on vendor-specific objective evidence of fair value (“VSOE”), and if VSOE is not available, third party evidence, and if third party evidence is unavailable, estimated selling price. For professional services associated with SaaS arrangements that we determine do not have stand-alone value to the customer or are contingent on delivery of other elements, we recognize the services revenue ratably over the remaining contractual period once hosting has gone live and we may begin billing for the hosting services. We record amounts that have been invoiced in accounts receivable and in deferred revenue or revenues, depending on whether the revenue recognition criteria have been met. Management’s Discussion and Analysis of Financial Condition and Results of Operations Tyler Technologies 2013 Annual Report24 Management’s Discussion and Analysis of Financial Condition and Results of Operations In connection with certain of our contracts, we have recorded retentions receivable or unbilled receivables consisting of costs and estimated profit in excess of billings as of the balance sheet date. Many of the contracts which give rise to unbilled receivables at a given balance sheet date are subject to billings in the subsequent accounting period. We review unbilled receivables and related contract provisions to ensure we are justified in recognizing revenue prior to billing the customer and that we have objective evidence which allows us to recognize such revenue. In addition, we have a sizable amount of deferred revenue which represents billings in excess of revenue earned. The majority of this liability consists of maintenance billings for which payments are made in advance and the revenue is ratably earned over the maintenance period, generally one year. We also have deferred revenue for those contracts in which we receive a deposit and the conditions in which to record revenue for the service or product has not been met. On a periodic basis, we review by customer the detail components of our deferred revenue to ensure our accounting remains appropriate. Intangible Assets and Goodwill. Our business acquisitions typically result in the creation of goodwill and other intangible asset balances, and these balances affect the amount and timing of future period amortization expense, as well as expense we could possibly incur as a result of an impairment charge. The cost of acquired companies is allocated to identifiable tangible and intangible assets based on estimated fair value, with the excess allocated to goodwill. Accordingly, we have a significant balance of acquisition date intangible assets, including software, customer related intangibles, trade name and goodwill. These intangible assets (other than goodwill) are amortized over their estimated useful lives. We currently have no intangible assets with indefinite lives other than goodwill. When testing goodwill for impairment quantitatively, we first compare the fair value of each reporting unit with its carrying amount. If the carrying amount of a reporting unit exceeds its fair value, a second step is performed to measure the amount of potential impairment. In the second step, we compare the implied fair value of reporting unit goodwill with the carrying amount of the reporting unit’s goodwill. If the carrying amount of reporting unit goodwill exceeds the implied fair value of that goodwill, an impairment loss is recognized. The fair values calculated in our impairment tests are determined using discounted cash flow models involving several assumptions. The assumptions that are used are based upon what we believe a hypothetical marketplace participant would use in estimating fair value. We base our fair value estimates on assumptions we believe to be reasonable but that are unpredictable and inherently uncertain. We evaluate the reasonableness of the fair value calculations of our reporting units by comparing the total of the fair value of all of our reporting units to our total market capitalization. Our annual goodwill impairment analysis, which we performed quantitatively during the second quarter of 2013, did not result in an impairment charge. During 2013, we did not identify any triggering events which would require an update to our annual impairment review. All intangible assets (other than goodwill) are reviewed for impairment whenever events or changes in circumstances indicate that the carrying amount of an asset may not be recoverable. Recoverability of other intangible assets is measured by comparison of the carrying amount to estimated undiscounted future cash flows. The assessment of recoverability or of the estimated useful life for amortization purposes will be affected if the timing or the amount of estimated future operating cash flows is not achieved. Such indicators may include, among others: a significant decline in expected future cash flows; a sustained, significant decline in stock price and market capitalization; a significant adverse change in legal factors or in the business climate; unanticipated competition; and reductions in growth rates. In addition, products, capabilities, or technologies developed by others may render our software products obsolete or non-competitive. Any adverse change in these factors could have a significant impact on the recoverability of goodwill or other intangible assets. Share-Based Compensation. We have a stock option plan that provides for the grant of stock options to key employees, directors and non-employee consultants. We estimate the fair value of share-based awards on the date of grant using the Black-Scholes option valuation model. Share-based compensation expense includes the estimated effects of forfeitures, which will be adjusted over the requisite service period to the extent actual forfeitures differ, or are expected to differ from such estimates. Changes in estimated forfeitures are recognized in the period of change and will also impact the amount of expense to be recognized in future periods. Forfeiture rate assumptions are derived from Management’s Discussion and Analysis of Financial Condition and Results of Operations Tyler Technologies 2013 Annual Report 25 historical data. We estimate stock price volatility at the date of grant based on the historical volatility of our common stock. Estimated option life is determined using the weighted-average period the stock options are expected to be outstanding based primarily on the options’ vesting terms, remaining contractual life and the employees’ expected exercise based on historical patterns. Determining the appropriate fair-value model and calculating the fair value of share-based awards at the grant date requires considerable judgment, including estimating stock price volatility, expected option life and forfeiture rates. ANALYSIS OF RESULTS OF OPERATIONS AND OTHER The following discussion compares the historical results of operations on a basis consistent with GAAP for the years ended December 31, 2013, 2012 and 2011. Percentage of Total Revenue Years ended December 31, 2013 2012 2011 Revenue: Software licenses and royalties 9.8% 9.3% 10.5% Subscriptions 14.8 12.3 10.1 Software services 22.4 23.0 22.5 Maintenance 46.0 47.3 47.4 Appraisal services 5.0 6.2 7.5 Hardware and other 2.0 1.9 2.0 Total revenue 100.0 100.0 100.0 Operating Expenses: Cost of software licenses, royalties and acquired software 1.1 1.1 1.3 Cost of software services, maintenance and subscriptions 47.9 47.2 46.5 Cost of appraisal services 3.3 4.1 4.7 Cost of hardware and other 1.3 1.4 1.6 Selling, general and administrative expenses 23.6 23.9 24.5 Research and development expense 5.6 5.5 5.3 Amortization of customer base and trade name intangibles 1.1 1.2 1.1 Operating income 16.1 15.6 15.0 Other expense 0.3 0.8 0.7 Income before income taxes 15.8 14.8 14.3 Income tax provision 6.4 5.7 5.4 Net income 9.4% 9.1% 8.9% 2013 Compared to 2012 Revenues Software licenses and royalties. The following table sets forth a comparison of our software licenses and royalties revenues for the years ended December 31: Change ($ in thousands) 2013 2012 $ % ESS $ 38,774 $ 32,060 $ 6,714 21% ATSS 2,067 1,868 199 11 Total software licenses and royalties revenue $ 40,841 $ 33,928 $ 6,913 20% Management’s Discussion and Analysis of Financial Condition and Results of Operations Tyler Technologies 2013 Annual Report26 Management’s Discussion and Analysis of Financial Condition and Results of Operations Since March 2012, we have acquired two companies which provide financial and human capital management software solutions to the K-12 education market and one company that provides enterprise permitting, land management, licensing and regulatory software solutions to governmental agencies. The results of these acquisitions are included in our ESS segment from the dates of their acquisitions. Excluding the impact of acquisitions, total software licenses and royalties revenue increased 12% compared to 2012. Approximately half of the growth was due to an increase of $2.3 million in royalties on sales of Microsoft Dynamics AX by other Microsoft partners compared to the prior year. We record royalty revenue when the fees are fixed or determinable, which is known when we receive notice of the amounts earned pursuant to our royalty arrangements which are generally 30 to 60 days after each quarterly reporting period. Royalty revenue is dependent upon sales volume from Microsoft partners, as well as the timing of maintenance renewals, and can vary substantially from period to period. Excluding the impact of acquisitions, software licenses grew 5% mainly due to increased investments in product development over the past few years. However, software license growth was reduced somewhat because of a growing number of customers choosing our subscription-based options, rather than purchasing the software under a traditional perpetual software license arrangement. Subscription- based arrangements result in no software license revenues in the initial year as compared to traditional perpetual software license arrangements but generate higher overall subscription-based services revenue over the term of the contract. We had 100 new customers that entered into subscription-based arrangements in 2013 compared to 76 new customers in 2012. Subscriptions. The following table sets forth a comparison of our subscription revenues for the years ended December 31: Change ($ in thousands) 2013 2012 $ % ESS $ 59,070 $ 43,319 $ 15,751 36% ATSS 2,794 1,299 1,495 115 Total subscriptions revenue $ 61,864 $ 44,618 $ 17,246 39% Subscription-based services revenue primarily consists of revenues derived from our SaaS arrangements, which utilize the Tyler private cloud. As part of our subscription-based services, we also provide e-filing that simplify the filing and management of court related documents for courts and law offices. Revenues for e-filing are derived from transaction fees or in some cases fixed fee arrangements. The contract term for SaaS arrangements range from one to 10 years but are typically for a period of three to six years. Excluding the impact of acquisitions, subscription-based services revenue increased 37% compared to 2012. New SaaS customers as well as existing customers who converted to our SaaS model provided the majority of the subscription- based revenue increase. In 2013, we added 100 new customers and 63 existing customers elected to convert to our SaaS model. E-filing services also contributed approximately $5.0 million of the subscription revenue increase. E-filing revenue included $3.8 million related to a new contract with the Texas Office of Court Administration for our Odyssey File and Serve e-filing system for Texas courts (“e-File Texas.gov”), which was implemented in September 2013. This contract is a fixed fee arrangement and we expect it will provide a long-term recurring revenue stream of $17 million to $19 million annually when e-filing becomes mandatory in Texas in 2014. The remaining e-filing revenue increase is mainly the result of existing clients expanding mandatory e-filing for court documents. Software services. The following table sets forth a comparison of our software services revenues for the years ended December 31: Change ($ in thousands) 2013 2012 $ % ESS $ 85,459 $ 76,103 $ 9,356 12% ATSS 7,808 7,305 503 7 Total software services revenue $ 93,267 $ 83,408 $ 9,859 12% Management’s Discussion and Analysis of Financial Condition and Results of Operations Tyler Technologies 2013 Annual Report 27 Software services revenues primarily consist of professional services billed in connection with the installation of our software, conversion of customer data, training customer personnel and consulting. New customers who purchase our proprietary software licenses generally also contract with us to provide for the related software services. Existing customers also periodically purchase additional training, consulting and minor programming services. Excluding the impact of acquisitions, software services increased 7% compared to 2012. The increase is partly due to growth in software license activity and due to contract arrangements that included more programming and other services. Maintenance. The following table sets forth a comparison of our maintenance revenues for the years ended December 31: Change ($ in thousands) 2013 2012 $ % ESS $ 175,180 $ 155,290 $ 19,890 13% ATSS 16,540 16,561 (21) — Total maintenance revenue $ 191,720 $ 171,851 $ 19,869 12% We provide maintenance and support services for our software products and certain third party software. Excluding the impact of acquisitions, maintenance revenue grew 9% from 2012. This increase was due to growth in our installed customer base from new software license sales and maintenance rate increases. Appraisal services. The following table sets forth a comparison of our appraisal services revenues for the years ended December 31: Change ($ in thousands) 2013 2012 $ % ESS $ — $ — $ — — % ATSS 20,825 22,543 (1,718) (8) Total appraisal services revenue $ 20,825 $ 22,543 $ (1,718) (8)% Appraisal services revenue declined 8% in 2013 compared to 2012. The appraisal services business is somewhat cyclical and driven in part by statutory revaluation cycles in various states. The decline is mainly due to the completion in mid-2012 of a large contract in Pennsylvania. We expect appraisal revenues for 2014 will increase slightly compared to 2013. Cost of Revenues and Gross Margins The following table sets forth a comparison of the key components of our cost of revenues for the years ended December 31: Change ($ in thousands) 2013 2012 $ % Software licenses and royalties $ 2,377 $ 1,983 $ 394 20% Acquired software 2,078 1,888 190 10 Software services, maintenance and subscriptions 199,617 171,584 28,033 16 Appraisal services 13,809 14,889 (1,080) (7) Hardware and other 5,559 5,258 301 6 Total cost of revenues $ 223,440 $ 195,602 $ 27,838 14% Management’s Discussion and Analysis of Financial Condition and Results of Operations Tyler Technologies 2013 Annual Report28 Management’s Discussion and Analysis of Financial Condition and Results of Operations The following table sets forth a comparison of gross margin percentage by revenue type for the years ended December 31: Gross margin percentage 2013 2012 Change Software licenses, royalties and acquired software 89.1% 88.6% 0.5% Software services, maintenance and subscriptions 42.4 42.8 (0.4) Appraisal services 33.7 34.0 (0.3) Hardware and other 31.6 24.4 7.2 Overall gross margin 46.4% 46.2% 0.2% Software licenses, royalties and acquired software. Costs of software licenses, royalties and acquired software are primarily comprised of third party software costs and amortization expense for software acquired through acquisitions. We do not have any direct costs associated with royalties. In 2013, our software licenses, royalties and acquired software gross margin percentage increased compared to 2012 mainly due to higher revenues from royalties. The margin also benefited from a product mix that included slightly more proprietary software revenues, which have a higher gross margin than third party software. Software services, maintenance and subscription-based services. Cost of software services, maintenance and subscription-based services primarily consists of personnel costs related to installation of our software, conversion of customer data, training customer personnel and support activities and various other services such as SaaS arrangements and e-filing. Maintenance and various other services such as SaaS costs typically grow at a slower rate than related revenues due to leverage in the utilization of our support and maintenance staff and economies of scale. However, we accelerated hiring in 2013 to ensure that we were well-positioned to deliver our current backlog and anticipated new business. In late 2012, we signed a contract with the Texas Office of Court Administration for e-FileTexas.gov to manage e-filing of court documents. In early 2013, the state of Texas issued an order mandating e-filing in civil cases beginning in January 2014. Mandatory e-filing will be phased in over a two and a half year period, beginning with the largest counties in January 2014. We will be paid on a fixed fee basis but had very limited revenues in 2013 from e-FileTexas.gov. However, during 2013, we incurred expenses of approximately $3.3 million in connection with implementing the system in courts across the state. Excluding the limited revenues and cost incurred in connection with implementing e-FileTexas.gov in 2013, our software services, maintenance and subscription services gross margin would have been approximately 42.8%. Our implementation and support staff has increased by 202 employees since 2012. Most of these additions occurred mid-to late 2013. Appraisal services. Appraisal services revenues are approximately 5% of total revenues. The appraisal services gross margin declined slightly compared to 2012. A high proportion of the costs of appraisal services revenue are variable, as we often hire temporary employees to assist in appraisal projects, whose term of employment generally ends with the projects’ completion. Our blended gross margin for 2013 increased 0.2% from 2012. The increase was due to higher royalty revenue and also benefited from a product mix that included slightly higher proprietary software revenues than third party software. Costs incurred related to our implementation of e-FileTexas.gov with minimal related revenues as well as increased hiring of implementation and support staff in order to expand our capacity to implement our contract backlog offset some of the positive impact of higher royalty and proprietary software revenue. Selling, General and Administrative Expenses Selling, general and administrative (“SG&A”) expenses consist primarily of salaries, employee benefits, travel, share-based compensation expense, commissions and related overhead costs for administrative and sales and marketing employees as well as, professional fees, trade show activities, advertising costs and other marketing related costs. The following table sets forth a comparison of our SG&A expenses for the following years ended December 31: Change ($ in thousands) 2013 2012 $ % Selling, general and administrative expenses $ 98,289 $ 86,706 $ 11,583 13% Management’s Discussion and Analysis of Financial Condition and Results of Operations Tyler Technologies 2013 Annual Report 29 SG&A as a percentage of revenues was 23.6% in 2013 compared to 23.9% in 2012. Excluding costs from acquisitions, almost half of the SG&A expense increase is due to increased stock compensation expense resulting from the substantial increase in our stock price over the last twelve months and higher payroll taxes associated with increased stock option exercise activity. Commission expense has also increased compared to the prior year periods due to higher sales. Research and Development Expense Research and development expense consists primarily of salaries, employee benefits and related overhead costs associated with product development. The following table sets forth a comparison of our research and development expense for the years ended December 31: Change ($ in thousands) 2013 2012 $ % Research and development expense $ 23,269 $ 20,140 $ 3,129 16% Research and development expense consist mainly of costs associated with development of new products and new software platforms from which we do not currently generate revenue. These include the next version of Microsoft Dynamics AX project, as well as other new product development efforts. In 2007, we entered into a Software Development and License Agreement, which provides for a strategic alliance with Microsoft Corporation (“Microsoft”) to jointly develop core public sector functionality for Microsoft Dynamics AX to address the accounting needs of public sector organizations worldwide. This agreement and subsequent amendments granted Microsoft intellectual property rights in the software code provided and developed by Tyler into Microsoft Dynamics AX products to be marketed and sold outside of the public sector in exchange for reimbursement payments to partially offset the research and development costs and royalties on direct and indirect public-sector sales worldwide of the solutions co-developed under this arrangement. In addition, Tyler has agreed to commit certain resources to the development of the next version of Dynamics AX and will receive software and maintenance royalties on direct and indirect public-sector sales worldwide of the solutions co-developed under this arrangement. Our research and development expense increased $3.1 million in 2013 compared to 2012. In 2013 we did not have any research and development expense offsets earned under the terms of our agreement with Microsoft compared to $1.0 million in research and development expense offsets in 2012. Amortization of Customer and Trade Name Intangibles Acquisition intangibles are comprised of the excess of the purchase price over the fair value of net tangible assets acquired that is allocated to acquired software and customer and trade name intangibles. The remaining excess purchase price is allocated to goodwill that is not subject to amortization. Amortization expense related to acquired software is included with cost of revenues, while amortization expense of customer and trade name intangibles is recorded as operating expense. The estimated useful lives of both customer and trade name intangibles are five to 25 years. The following table sets forth a comparison of amortization of customer and trade name intangibles for the years ended December 31: Change ($ in thousands) 2013 2012 $ % Amortization of customer and trade name intangibles $ 4,517 $ 4,279 $ 238 6% Estimated annual amortization expense relating to customer and trade name acquisition intangibles, excluding acquired software for which the amortization expense is recorded as cost of revenues, for the next five years is as follows (in thousands): 2014 $ 4,515 2015 4,515 2016 4,515 2017 4,515 2018 4,366 Management’s Discussion and Analysis of Financial Condition and Results of Operations Tyler Technologies 2013 Annual Report30 Management’s Discussion and Analysis of Financial Condition and Results of Operations Other The following table sets forth a comparison of other expense, net for the years ended December 31: Change ($ in thousands) 2013 2012 $ % Other expense, net $ 1,309 $ 2,709 $ (1,400) (52)% Other expense is primarily comprised of interest expense, non-usage and other fees associated with our revolving line of credit agreement. Interest expense was lower in 2013 than 2012 because we maintained higher debt levels in 2012 associated primarily with several acquisitions completed from October 2011 through November 2012. Income Tax Provision The following table sets forth a comparison of our income tax provision for the years ended December 31: Change ($ in thousands) 2013 2012 $ % Income tax provision $ 26,718 $ 20,874 $ 5,844 28% Effective income tax rate 40.6% 38.8% The effective income tax rates were different from the statutory United States federal income tax rate of 35% due to state income taxes, non-deductible share-based compensation expense, the qualified manufacturing activities deduction, disqualifying incentive stock option dispositions and non-deductible meals and entertainment costs. We experienced significant stock option exercise activity in 2013 that generated $28.2 million excess tax benefits. Excess tax benefits reduce tax payments but do not significantly reduce the effective tax rate and can result in limitations on other deductions. In 2013, limitations resulting from excess tax benefits eliminated the qualified manufacturing activities deduction, which negatively impacted our effective tax rate. 2012 COMPARED TO 2011 Revenues Software licenses and royalties. The following table sets forth a comparison of our software licenses and royalties revenues for the years ended December 31: Change ($ in thousands) 2012 2011 $ % ESS $ 32,060 $ 30,194 $ 1,866 6% ATSS 1,868 2,400 (532) (22) Total software licenses and royalties revenue $ 33,928 $ 32,594 $ 1,334 4% Excluding the impact of acquisitions, total software licenses and royalties revenue declined by 3% compared to 2011. Most of the decline was due to fewer add-on sales to our existing customer base. In addition, software license growth was reduced somewhat because of a growing number of customers choosing our subscription-based options, rather than purchasing the software under a traditional perpetual software license arrangement. Subscription-based arrangements result in no software license revenues in the initial year as compared to traditional perpetual software license arrangements but generate higher overall subscription-based services revenue over the term of the contract. We had 76 new customers that entered into subscription-based arrangements in 2012 compared to 47 new customers in 2011. Management’s Discussion and Analysis of Financial Condition and Results of Operations Tyler Technologies 2013 Annual Report 31 Subscriptions. The following table sets forth a comparison of our subscription revenues for the years ended December 31: Change ($ in thousands) 2012 2011 $ % ESS $ 43,319 $ 30,400 $ 12,919 42% ATSS 1,299 760 539 71 Total subscriptions revenue $ 44,618 $ 31,160 $ 13,458 43% Excluding the impact of acquisitions, subscription-based services revenue increased 40% compared to 2011. New SaaS customers as well as existing customers who converted to our SaaS model provided the majority of the subscription-based revenue increase. In 2012, we added 76 new customers and 68 existing customers elected to convert to our SaaS model. E-filing services also contributed approximately $2.3 million of the subscription revenue increase as a result of new clients implementing e-filing and several existing clients adopting or expanding mandatory e-filing for court documents in the last half of 2011 and 2012. Software services. The following table sets forth a comparison of our software services revenues for the years ended December 31: Change ($ in thousands) 2012 2011 $ % ESS $ 76,103 $ 60,840 $ 15,263 25% ATSS 7,305 8,777 (1,472) (17) Total software services revenue $ 83,408 $ 69,617 $ 13,791 20% Excluding the impact of acquisitions, software services increased 14% compared to 2011. The increase is due partly to contract arrangements that included more programming services as well as several state-wide arrangements that in addition to services, include more third party vendor services to build certain software interfaces. Maintenance. The following table sets forth a comparison of our maintenance revenues for the years ended December 31: Change ($ in thousands) 2012 2011 $ % ESS $ 155,290 $ 130,999 $ 24,291 19% ATSS 16,561 15,499 1,062 7 Total maintenance revenue $ 171,851 $ 146,498 $ 25,353 17% Excluding the impact of acquisitions, maintenance revenue grew 9% from 2011. This increase was due to growth in our installed customer base and maintenance rate increases on most of our product lines. Appraisal services. The following table sets forth a comparison of our appraisal services revenues for the years ended December 31: Change ($ in thousands) 2012 2011 $ % ESS $ — $ — $ — —% ATSS 22,543 23,228 (685) (3) Total appraisal services revenue $ 22,543 $ 23,228 $ (685) (3)% Management’s Discussion and Analysis of Financial Condition and Results of Operations Tyler Technologies 2013 Annual Report32 Management’s Discussion and Analysis of Financial Condition and Results of Operations Appraisal services revenue declined 3% in 2012 compared to 2011. The appraisal services business is somewhat cyclical and driven in part by statutory revaluation cycles in various states. The decline is mainly due to the completion in mid-2012, of a large contract in Pennsylvania offset slightly by the start-up of smaller projects, including several in Ohio. Cost of Revenues and Gross Margins The following table sets forth a comparison of the key components of our cost of revenues for the years ended December 31: Change ($ in thousands) 2012 2011 $ % Software licenses and royalties $ 1,983 $ 3,034 $ (1,051) (35)% Acquired software 1,888 1,125 763 68 Software services, maintenance and subscriptions 171,584 143,776 27,808 19 Appraisal services 14,889 14,550 339 2 Hardware and other 5,258 4,994 264 5 Total cost of revenues $ 195,602 $ 167,479 $ 28,123 17% The following table sets forth a comparison of gross margin percentage by revenue type for the years ended December 31: Gross margin percentage 2012 2011 Change Software licenses, royalties and acquired software 88.6% 87.2% 1.4% Software services, maintenance and subscriptions 42.8 41.9 0.9 Appraisal services 34.0 37.4 (3.4) Hardware and other 24.4 20.7 3.7 Overall gross margin 46.2% 45.9% 0.3% Software licenses, royalties and acquired software. In 2012, our software license gross margin percentage increased compared to 2011 due to higher royalties and because our product mix included less third party software which offset higher amortization expense associated with acquisitions. Software services, maintenance and subscription-based services. In 2012, the software services, maintenance and subscriptions gross margin increased compared to the prior year partly because we improved our utilization of our support and maintenance staff and due to annual rate increases on certain services. Excluding 147 employees added with acquisitions, our implementation and support staff has increased by 103 employees since 2011. Most of these additions occurred mid-to late 2012. Appraisal services. Appraisal services revenues are approximately 6% of total revenues. The appraisal services gross margin declined compared to 2011. The appraisal services gross margin in 2011 was also favorably impacted by operational efficiencies associated with a large revaluation contract, which began in mid-2010 and was substantially complete by mid-2011. Our blended gross margin for 2012 increased 0.3% from 2011 mainly due to leverage in the utilization of our support, maintenance and subscription-based services staff and economies of scale and slightly higher rates on certain services. The gross margin also benefited from lower third party software costs and higher royalties. Management’s Discussion and Analysis of Financial Condition and Results of Operations Tyler Technologies 2013 Annual Report 33 Selling, General and Administrative Expenses The following table sets forth a comparison of our SG&A expenses for the following years ended December 31: Change ($ in thousands) 2012 2011 $ % Selling, general and administrative expenses $ 86,706 $ 75,650 $ 11,056 15% Excluding the impact of acquisitions, SG&A increased approximately 11% compared to 2011. SG&A as a percentage of revenues was 23.9% in 2012 compared to 24.5% in 2011. SG&A expenses increased due to higher commission expense in connection with increased sales; increased headcount in sales and related expenses to support geographic expansion; and increased incentive compensation costs due to improved results and higher stock compensation expense because our company stock price has increased substantially over the last few years. Research and Development Expense The following table sets forth a comparison of our research and development expense for the years ended December 31: Change ($ in thousands) 2012 2011 $ % Research and development expense $ 20,140 $ 16,414 $ 3,726 23% Our research and development expense increased $3.7 million in 2012 compared to 2011. The increase is mainly due to lower reimbursements from Microsoft in 2012. In 2012, we had $1.0 million in research and development expense offsets compared to $3.5 million in 2011, which were the amounts earned under the terms of our agreement with Microsoft. Under our amended agreement with Microsoft, the project included offsets to research and development expense, varying in amount from quarter to quarter from 2009 through 2012 for a total of approximately $6.2 million. As of September 30, 2012, we received the final $1.0 million under the agreement. Amortization of Customer and Trade Name Intangibles The following table sets forth a comparison of amortization of customer and trade name intangibles for the years ended December 31: Change ($ in thousands) 2012 2011 $ % Amortization of customer and trade name intangibles $ 4,279 $ 3,331 $ 948 28% In 2012, we completed four acquisitions that increased amortizable customer and trade name intangibles by approximately $11.1 million. This amount is being amortized over a weighted average period of 11.8 years. Other The following table sets forth a comparison of other expense, net for the years ended December 31: Change ($ in thousands) 2012 2011 $ % Other expense, net $ 2,709 $ 2,404 $ 305 13% Interest expense was higher in 2012 than 2011 due to higher debt levels associated with several acquisitions completed since October 2011 and stock repurchases in the last half of 2011. The effective interest rate in 2012 was 3.4% compared to 3.3% in 2011. Management’s Discussion and Analysis of Financial Condition and Results of Operations Tyler Technologies 2013 Annual Report34 Management’s Discussion and Analysis of Financial Condition and Results of Operations Income Tax Provision The following table sets forth a comparison of our income tax provision for the years ended December 31: Change ($ in thousands) 2012 2011 $ % Income tax provision $ 20,874 $ 16,556 $ 4,318 26% Effective income tax rate 38.8% 37.5% The effective income tax rates for both years were different from the statutory United States federal income tax rate of 35% due to state income taxes, non-deductible share-based compensation expense, the qualified manufacturing activities deduction, disqualifying incentive stock option dispositions and non-deductible meals and entertainment costs. The effective income tax rate in 2011 was also reduced by a research and development tax credit. The qualified manufacturing activities deduction declined in 2012 contributing to a higher effective tax rate. FINANCIAL CONDITION AND LIQUIDITY As of December 31, 2013, we had cash and cash equivalents of $78.9 million and investments available-for-sale of $1.3 million, compared to cash and cash equivalents of $6.4 million and investments available-for-sale of $2.0 million at December 31, 2012. As of December 31, 2013, we had no outstanding borrowings and an outstanding letter of credit totaling $2.0 million. Some of our customers require a letter of credit in connection with our contracts. The notional amount of performance guarantees outstanding secured by letter of credit as of December 31, 2013 was estimated to be approximately $29.0 million. We do not believe this letter of credit will be required to be drawn upon. We believe that cash from operating activities, cash on hand and access to the credit markets provides us with sufficient flexibility to meet our long-term financial needs. The following table sets forth a summary of cash flows for the years ended December 31: ($ in thousands) 2013 2012 2011 Cash flows provided (used) by: Operating activities $ 66,090 $ 58,668 $ 56,435 Investing activities (25,658) (34,736) (28,809) Financing activities 32,038 (18,852) (28,414) Net increase (decrease) in cash and cash equivalents $ 72,470 $ 5,080 $ (788) Net cash provided by operating activities continues to be our primary source of funds to finance operating needs and capital expenditures. Other potential capital resources include cash on hand, public and private issuances of debt or equity securities, and bank borrowings. It is possible that our ability to access the capital and credit markets in the future may be limited by economic conditions or other factors. We currently believe that cash provided by operating activities, cash on hand and access to the credit markets are sufficient to fund our working capital requirements, capital expenditures, income tax obligations, and share repurchases for at least the next twelve months. In 2013, operating activities provided net cash of $66.1 million, primarily generated from net income of $39.1 million, non-cash depreciation and amortization charges of $13.8 million and non-cash share-based compensation expense of $11.7 million. Cash from operations also benefited from timing of payments on wages and bonuses. In addition, deferred revenue balances were higher than 2012 due to an increase in annual software maintenance billings as a result of growth in our installed customer base and growth in subscription-based arrangements. These increases in liabilities were offset somewhat by higher accounts receivable balances from annual software maintenance billings, progress billings associated with large contracts and prepaid commissions on large contracts. In general, changes in the balance of deferred revenue are cyclical and primarily driven by the timing of our maintenance renewal billings. Our renewal dates occur throughout the year but our heaviest renewal cycles occur in the second and fourth quarters. Management’s Discussion and Analysis of Financial Condition and Results of Operations Tyler Technologies 2013 Annual Report 35 At December 31, 2013, our days sales outstanding (“DSOs”) were 87 days compared to DSOs of 95 days at December 31, 2012. DSOs are calculated based on accounts receivable (excluding long-term receivables, but including unbilled receivables) divided by the quotient of annualized quarterly revenues divided by 360 days. Accounts receivable at December 31, 2012 included several large billings for retentions associated with appraisal contracts. Investing activities used cash of $25.7 million in 2013 compared to $34.7 million in 2012. Investing activities in 2013 include $20.3 million paid in connection with the construction of an office building in Plano, Texas compared to $2.3 million in 2012. In 2012, we completed the acquisitions of Akanda Innovations, Inc., UniFund, L.L.C., Computer Software Associates, Inc. and EnerGov Solutions, L.L.C. The combined cash purchase prices paid in 2012, net of cash acquired was approximately $25.7 million. In May 2012, we purchased land and a building in Moraine, Ohio to support our appraisal and tax operations for a purchase price of $2.6 million, which was comprised of $1.7 million in cash and land and a building valued at $900,000. These expenditures were funded from cash generated from operations and borrowings under our revolving credit line. In 2011, we completed the acquisition of Windsor. The purchase price, net of cash acquired, was approximately $16.4 million. In March 2011, we paid $6.6 million for approximately 27 acres of land and a building in Plano, Texas. Financing activities in 2013 provided cash of $32.0 million compared to cash used by financing activities of $18.9 million in 2012. Financing activities in 2013 were comprised of $18.0 million in net payments on our revolving line of credit offset by collections of $21.8 million from stock option exercises and employee stock purchase plan activity and $28.2 million excess tax benefit from exercises of share-based arrangements. Cash used in financing activities in 2012 was mainly comprised of $42.7 million in payments on our revolving line of credit offset by collections of $15.1 million from stock option exercises and contributions from the employee stock purchase plan and $8.8 million excess tax benefit from exercises of share-based arrangements. In 2011, cash used in financing activities was primarily comprised of purchases of treasury shares, net of proceeds from stock option exercises, borrowings and payments on our revolving credit line and contributions from our employee stock purchase plan. During 2011, we purchased 3.0 million shares of our common stock for an aggregate purchase price of $71.8 million. The share repurchase program, which was approved by our board of directors, was announced in October 2002, and was amended in April 2003, July 2003, October 2004, October 2005, May 2007, May 2008, October 2008, May 2009, July 2010, October 2010 and September 2011. As of December 31, 2013, we had remaining authorization to repurchase up to 1.7 million additional shares of our common stock. Our share repurchase program allows us to repurchase shares at our discretion and market conditions influence the timing of the buybacks and the number of shares repurchased, as well as the volume of employee stock option exercises. These share repurchases are funded using our existing cash balances and borrowings under our revolving credit agreement and may occur through open market purchases and transactions structured through investment banking institutions, privately negotiated transactions and/ or other mechanisms. There is no expiration date specified for the authorization and we intend to repurchase stock under the plan from time to time. In 2013, we issued 1.4 million shares of common stock and received $18.3 million in aggregate proceeds upon exercise of stock options. In 2012 we issued 1.2 million shares of common stock and received $12.4 million in aggregate proceeds upon exercise of stock options. In 2011 we received $3.6 million from the exercise of options to purchase approximately 582,000 shares of our common stock under our employee stock option plan. In 2013, 2012 and 2011 we received $3.5 million, $2.6 million and $2.0 million, respectively, from contributions to the Tyler Technologies, Inc. Employee Stock Purchase Plan. We have a $150.0 million Credit Agreement (the “Credit Facility”) and a related pledge and security agreement with a group of seven financial institutions, with Bank of America, N.A., as Administrative Agent. The Credit Facility provides for a revolving credit line of $150.0 million (which may be increased up to $200.0 million subject to our obtaining commitments for such increase), with a $25.0 million sublimit for letters of credit. The Credit Facility matures on August 11, 2014. Borrowings under the Credit Facility may be used for general corporate purposes, including working capital requirements, acquisitions and share repurchases. Management’s Discussion and Analysis of Financial Condition and Results of Operations Tyler Technologies 2013 Annual Report36 Borrowings under the Credit Facility bear interest at a rate of either (1) the Bank of America’s prime rate plus a margin of 1.50% to 2.75% or (2) the 30, 60, 90 or 180-day LIBOR rate plus a margin of 2.50% to 3.75%, with the margin determined by our consolidated leverage ratio. The Credit Facility is secured by substantially all of our assets, excluding real property. The Credit Facility requires us to maintain certain financial ratios and other financial conditions and prohibits us from making certain investments, advances, cash dividends or loans, and limits incurrence of additional indebtedness and liens. As of December 31, 2013, we were in compliance with those covenants. As of December 31, 2013, we had no outstanding borrowings and unused available borrowing capacity of $148.0 million under the Credit Facility. In addition, as of December 31, 2013, our bank had issued an outstanding letter of credit totaling $2.0 million. This letter of credit reduces our available borrowing capacity and expires in 2014. We paid income taxes, net of refunds received, of $9.3 million in 2013, $13.1 million in 2012 and $13.4 million in 2011. We experienced significant stock option exercise activity in 2013 that generated $28.2 million excess tax benefits. Excess tax benefits reduce tax payments but do not significantly reduce the effective tax rate and can result in limitations on other deductions. The majority of this excess tax benefit was generated in the last half of 2013 and as a result we anticipate a tax refund in 2014 for approximately $9.7 million. In 2012 and 2011, excess tax benefits were $8.8 million and $3.6 million, respectively. Excluding acquisitions, we anticipate that 2014 capital spending will be between $12.0 million and $13.0 million. We expect the majority of this capital spending will consist of computer equipment and software for infrastructure replacements and expansion. We currently do not expect to capitalize significant amounts related to software development in 2014, but the actual amount and timing of those costs, and whether they are capitalized or expensed may result in additional capitalized software development. Capital spending is expected to be funded from existing cash balances and cash flows from operations. From time to time we engage in discussions with potential acquisition candidates. In order to pursue such opportunities, which could require significant commitments of capital, we may be required to incur debt or to issue additional potentially dilutive securities in the future. No assurance can be given as to our future acquisition opportunities and how such opportunities will be financed. We lease office facilities, as well as transportation, computer and other equipment used in our operations under non-cancelable operating lease agreements expiring at various dates through 2021. Most leases contain renewal options and some contain purchase options. Summarized in the table below are our obligations to make future payments under our long-term revolving credit agreement and lease obligations at December 31, 2013 (in thousands): 2014 2015 2016 2017 2018 Thereafter Total Lease obligations $ 5,680 $ 4,677 $ 4,415 $ 3,880 $ 1,731 $ 2,339 $ 22,722 As of December 31, 2013, we do not have any off-balance sheet arrangements, guarantees to third parties or material purchase commitments, except for the operating lease commitments listed. CAPITALIZATION At December 31, 2013, our capitalization consisted of no outstanding borrowings and $246.3 million of shareholders’ equity. QUANTITATIVE AND QUALITATIVE DISCLOSURES ABOUT MARKET RISK Market risk represents the risk of loss that may affect us due to adverse changes in financial market prices and interest rates. As of December 31, 2013 we had no outstanding borrowings under the Credit Facility. Borrowings under the Credit Facility bear interest at a rate of either (1) the Bank of America’s prime rate plus a margin of 1.50% to 2.75% or (2) the 30, 60, 90 or 180-day LIBOR rate plus a margin of 2.50% to 3.75%, with the margin determined by our consolidated leverage ratio. Tyler Technologies 2013 Annual Report 37 CONTROLS AND PROCEDURES Evaluation of Disclosure Controls and Procedures — We maintain disclosure controls and procedures (as defined in Rule 13a-15(e) of the Securities Exchange Act) designed to provide reasonable assurance that the information required to be disclosed by us in the reports we file or submit under the Exchange Act is recorded, processed, summarized and reported within the time periods specified in the Securities and Exchange Commission’s rules and forms. These include controls and procedures designed to ensure that this information is accumulated and communicated to our management, including our chief executive officer and chief financial officer, as appropriate to allow timely decisions regarding required disclosures. Management, with the participation of the chief executive officer and chief financial officer, evaluated the effectiveness of our disclosure controls and procedures as of December 31, 2013. Based on this evaluation, the chief executive officer and chief financial officer have concluded that our disclosure controls and procedures were effective as of December 31, 2013. Management’s Report on Internal Control Over Financial Reporting — Tyler’s management is responsible for establishing and maintaining effective internal control over financial reporting as defined in Securities Exchange Act Rule 13a-15(f). Tyler’s internal control over financial reporting is designed to provide reasonable assurance to Tyler’s management and board of directors regarding the preparation and fair presentation of published financial statements. Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Therefore, even those systems determined to be effective can provide only reasonable assurance with respect to financial statement preparation and presentation. Management assessed the effectiveness of Tyler’s internal control over financial reporting as of December 31, 2013. In making this assessment, management used the criteria set forth by the Committee of Sponsoring Organizations of the Treadway Commission in Internal Control — Integrated Framework (1992 framework). Based on our assessment, we concluded that, as of December 31, 2013, Tyler’s internal control over financial reporting was effective based on those criteria. Tyler’s internal control over financial reporting as of December 31, 2013 has been audited by Ernst & Young LLP, the independent registered public accounting firm who also audited Tyler’s financial statements. Ernst & Young’s attestation report on Tyler’s internal control over financial reporting appears on page 38 hereof. Changes in Internal Control Over Financial Reporting — During the quarter ended December 31, 2013, there were no changes in our internal control over financial reporting, as defined in Securities Exchange Act Rule 13a-15(f), that materially affected, or are reasonably likely to materially affect, our internal control over financial reporting. Controls and Procedures Report of Independent Registered Public Accounting Firm Tyler Technologies 2013 Annual Report38 REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM The Board of Directors and Shareholders Tyler Technologies, Inc. We have audited Tyler Technologies, Inc.’s internal control over financial reporting as of December 31, 2013, based on criteria established in Internal Control — Integrated Framework issued by the Committee of Sponsoring Organizations of the Treadway Commission (1992 framework) (the COSO Criteria). Tyler Technologies, Inc.’s management is responsible for maintaining effective internal control over financial reporting, and for its assessment of the effectiveness of internal control over financial reporting included in the accompanying “Management’s Report on Internal Control Over Financial Reporting.” Our responsibility is to express an opinion on the company’s internal control over financial reporting based on our audit. We conducted our audit in accordance with the standards of the Public Company Accounting Oversight Board (United States). Those standards require that we plan and perform the audit to obtain reasonable assurance about whether effective internal control over financial reporting was maintained in all material respects. Our audit included obtaining an understanding of internal control over financial reporting, assessing the risk that a material weakness exists, testing and evaluating the design and operating effectiveness of internal control based on the assessed risk, and performing such other procedures as we considered necessary in the circumstances. We believe that our audit provides a reasonable basis for our opinion. A company’s internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A company’s internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use, or disposition of the company’s assets that could have a material effect on the financial statements. Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate. In our opinion, Tyler Technologies, Inc. maintained, in all material respects, effective internal control over financial reporting as of December 31, 2013, based on the COSO criteria. We also have audited, in accordance with the standards of the Public Company Accounting Oversight Board (United States), the consolidated balance sheets of Tyler Technologies, Inc. as of December 31, 2013 and 2012, and the related consolidated statements of comprehensive income, shareholders’ equity, and cash flows for each of the three years in the period ended December 31, 2013 and our report dated February 19, 2014 expressed an unqualified opinion thereon. Dallas, Texas February 19, 2014 Tyler Technologies 2013 Annual Report 39 REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM The Board of Directors and Shareholders Tyler Technologies, Inc. We have audited the accompanying consolidated balance sheets of Tyler Technologies, Inc. as of December 31, 2013 and 2012, and the related consolidated statements of comprehensive income, shareholders’ equity, and cash flows for each of the three years in the period ended December 31, 2013. These financial statements are the responsibility of the Company’s management. Our responsibility is to express an opinion on these financial statements based on our audits. We conducted our audits in accordance with the standards of the Public Company Accounting Oversight Board (United States). Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion. In our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of Tyler Technologies, Inc. at December 31, 2013 and 2012, and the consolidated results of its operations and its cash flows for each of the three years in the period ended December 31, 2013, in conformity with U.S. generally accepted accounting principles. We also have audited, in accordance with the standards of the Public Company Accounting Oversight Board (United States), Tyler Technologies, Inc.’s internal control over financial reporting as of December 31, 2013, based on criteria established in Internal Control — Integrated Framework issued by the Committee of Sponsoring Organizations of the Treadway Commission (1992 framework) and our report dated February 19, 2014 expressed an unqualified opinion thereon. Dallas, Texas February 19, 2014 Report of Independent Registered Public Accounting Firm Consolidated Statements of Comprehensive Income Tyler Technologies 2013 Annual Report40 CONSOLIDATED STATEMENTS OF COMPREHENSIVE INCOME For the years ended December 31, 2013 2012 2011 In thousands, except per share amounts Revenues: Software licenses and royalties $ 40,841 $ 33,928 $ 32,594 Subscriptions 61,864 44,618 31,160 Software services 93,267 83,408 69,617 Maintenance 191,720 171,851 146,498 Appraisal services 20,825 22,543 23,228 Hardware and other 8,126 6,956 6,294 Total revenues 416,643 363,304 309,391 Cost of revenues: Software licenses and royalties 2,377 1,983 3,034 Acquired software 2,078 1,888 1,125 Software services, maintenance and subscriptions 199,617 171,584 143,776 Appraisal services 13,809 14,889 14,550 Hardware and other 5,559 5,258 4,994 Total cost of revenues 223,440 195,602 167,479 Gross profit 193,203 167,702 141,912 Selling, general and administrative expenses 98,289 86,706 75,650 Research and development expense 23,269 20,140 16,414 Amortization of customer and trade name intangibles 4,517 4,279 3,331 Operating income 67,128 56,577 46,517 Other expense, net 1,309 2,709 2,404 Income before income taxes 65,819 53,868 44,113 Income tax provision 26,718 20,874 16,556 Net income $ 39,101 $ 32,994 $ 27,557 Earnings per common share: Basic $ 1.23 $ 1.09 $ 0.88 Diluted $ 1.13 $ 1.00 $ 0.83 Unrealized gains (losses) on investment securities available-for-sale $ 341 $ 134 $ (123) Income tax expense (benefit) related to components of other comprehensive income (loss) 119 47 (43) Other comprehensive income (loss), net of tax $ 222 $ 87 $ (80) Comprehensive income $ 39,323 $ 33,081 $ 27,477 See accompanying notes. Tyler Technologies 2013 Annual Report 41 Consolidated Balance Sheets CONSOLIDATED BALANCE SHEETS December 31, 2013 2012 In thousands, except share and per share amounts ASSETS Current assets: Cash and cash equivalents $ 78,876 $ 6,406 Accounts receivable (less allowance for losses of $1,113 in 2013 and $1,621 in 2012) 106,570 99,212 Prepaid expenses 13,522 9,000 Income tax receivable 9,721 406 Other current assets 787 1,074 Deferred income taxes 7,759 5,955 Total current assets 217,235 122,053 Accounts receivable, long-term portion 588 1,187 Property and equipment, net 64,844 45,381 Non-current investments available-for-sale 1,288 2,037 Other assets: Goodwill 121,011 121,011 Other intangibles, net 38,986 45,800 Sundry 536 1,197 $ 444,488 $ 338,666 LIABILITIES AND SHAREHOLDERS’ EQUITY Current liabilities: Accounts payable $ 2,533 $ 3,167 Accrued liabilities 32,839 26,018 Deferred revenue 156,738 140,550 Total current liabilities 192,110 169,735 Revolving line of credit — 18,000 Deferred income taxes 6,059 5,632 Commitments and contingencies Shareholders’ equity: Preferred stock, $10.00 par value; 1,000,000 shares authorized, none issued — — Common stock, $0.01 par value; 100,000,000 shares authorized; 48,147,969 shares issued in 2013 and 2012 481 481 Additional paid-in capital 182,176 154,018 Accumulated other comprehensive loss, net of tax (46) (268) Retained earnings 202,210 163,109 Treasury stock, at cost; 15,309,940 and 16,816,903 shares in 2013 and 2012, respectively (138,502) (172,041) Total shareholders’ equity 246,319 145,299 $ 444,488 $ 338,666 See accompanying notes. Consolidated Statements of Shareholders’ Equity Tyler Technologies 2013 Annual Report42 CONSOLIDATED STATEMENTS OF SHAREHOLDERS’ EQUITY For the years ended December 31, 2013, 2012 and 2011 Accumulated Additional Other Total Common Stock Paid-in Comprehensive Retained Treasury Stock Shareholders’ Shares Amount Capital Income (Loss) Earnings Shares Amount Equity In thousands Balance at December 31, 2010 48,148 $ 481 $ 153,576 $ (275) $ 102,558 (15,854) $ (149,368) $ 106,972 Net Income — — — — 27,557 — — 27,557 Unrealized loss on investment securities, net of tax — — — (80) — — — (80) Issuance of shares pursuant to stock compensation plan — — (10,352) — — 582 13,905 3,553 Stock compensation — — 6,253 — — — — 6,253 Treasury stock purchases — — — — — (3,004) (71,802) (71,802) Issuance of shares pursuant to Employee Stock Purchase Plan — — (230) — — 100 2,275 2,045 Federal income tax benefit related to exercise of stock options — — 3,612 — — — — 3,612 Balance at December 31, 2011 48,148 481 152,859 (355) 130,115 (18,176) (204,990) 78,110 Net Income — — — — 32,994 — — 32,994 Unrealized gain on investment securities, net of tax — — — 87 — — — 87 Issuance of shares pursuant to stock compensation plan — — (17,018) — — 1,218 29,461 12,443 Stock compensation — — 7,411 — — — — 7,411 Issuance of shares pursuant to Employee Stock Purchase Plan — — 639 — — 81 2,002 2,641 Federal income tax benefit related to exercise of stock options — — 8,798 — — — — 8,798 Issuance of shares for acquisition — — 1,329 — — 60 1,486 2,815 Balance at December 31, 2012 48,148 481 154,018 (268) 163,109 (16,817) (172,041) 145,299 Net Income — — — — 39,101 — — 39,101 Unrealized gain on investment securities, net of tax — — — 222 — — — 222 Issuance of shares pursuant to stock compensation plan — — (13,742) — — 1,443 32,031 18,289 Stock compensation — — 11,653 — — — — 11,653 Issuance of shares pursuant to Employee Stock Purchase Plan — — 2,034 — — 64 1,508 3,542 Federal income tax benefit related to exercise of stock options — — 28,213 — — — — 28,213 Balance at December 31, 2013 48,148 $ 481 $ 182,176 $ (46) $ 202,210 (15,310) $ (138,502) $ 246,319 See accompanying notes. Tyler Technologies 2013 Annual Report 43 Consolidated Statements of Cash Flows CONSOLIDATED STATEMENTS OF CASH FLOWS For the years ended December 31, 2013 2012 2011 In thousands Cash flows from operating activities: Net income $ 39,101 $ 32,994 $ 27,557 Adjustments to reconcile net income to net cash provided by operations: Depreciation and amortization 13,786 12,711 10,676 Share-based compensation expense 11,653 7,411 6,253 Provision for losses – accounts receivable 729 961 805 Excess tax benefit from exercises of share-based arrangements (28,207) (8,764) (3,590) Deferred income tax benefit (1,497) (215) (2,916) Changes in operating assets and liabilities, exclusive of effects of acquired companies: Accounts receivable (7,488) (6,825) (8,544) Income tax receivable 18,898 7,791 6,084 Prepaid expenses and other current assets (4,154) 110 (214) Accounts payable (574) (369) 575 Accrued liabilities 7,655 (530) 4,887 Deferred revenue 16,188 13,393 14,862 Net cash provided by operating activities 66,090 58,668 56,435 Cash flows from investing activities: Proceeds from sale of investments 1,090 75 50 Cost of acquisitions, net of cash acquired (181) (25,680) (17,298) Additions to property and equipment (26,858) (9,102) (12,278) Decrease (increase) in other 291 (29) 717 Net cash used by investing activities (25,658) (34,736) (28,809) Cash flows from financing activities: (Decrease) increase in net borrowings on revolving line of credit (18,000) (42,700) 34,200 Purchase of treasury shares — — (71,802) Contributions from employee stock purchase plan 3,542 2,641 2,045 Proceeds from exercise of stock options 18,289 12,443 3,553 Excess tax benefit from exercises of share-based arrangements 28,207 8,764 3,590 Net cash provided (used) by financing activities 32,038 (18,852) (28,414) Net increase (decrease) in cash and cash equivalents 72,470 5,080 (788) Cash and cash equivalents at beginning of period 6,406 1,326 2,114 Cash and cash equivalents at end of period $ 78,876 $ 6,406 $ 1,326 See accompanying notes. Notes to Consolidated Financial StatementsNotes to Consolidated Financial Statements Tyler Technologies 2013 Annual Report44 (Tables in thousands, except per share data) (1) SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES DESCRIPTION OF BUSINESS We provide integrated software systems and related services for the public sector, with a focus on local governments. We develop and market a broad line of software solutions and services to address the information technology (“IT”) needs of cities, counties, schools and other local government entities. In addition, we provide professional IT services, including software and hardware installation, data conversion, training, and for certain customers, product modifications, along with continuing maintenance and support for customers using our systems. We also provide subscription- based services such as software as a service (“SaaS”) arrangements, which utilize the Tyler private cloud, and electronic document filing solutions (“e-filing”). In addition, we also provide property appraisal outsourcing services for taxing jurisdictions. PRINCIPLES OF CONSOLIDATION The consolidated financial statements include our parent company and a subsidiary, which is wholly-owned. All significant intercompany balances and transactions have been eliminated in consolidation. CASH AND CASH EQUIVALENTS Cash and cash equivalents consist of cash on deposit with a bank. Cash and cash equivalents are stated at cost, which approximates market value. INVESTMENTS Investments consist of auction rate municipal securities. These investments are classified as available-for-sale securities and are stated at fair value in accordance with Accounting Standards Codification (“ASC”) 820, Fair Value Measurements and Disclosures. Unrealized holding gains and losses, net of the related tax effect, if any, are not reflected in earnings but are reported as a separate component of accumulated other comprehensive income until realized. The cost basis of securities sold is the specific cost of the auction rate municipal security. We account for the transactions as “proceeds from sales of investments” for the security relinquished, and a “purchases of investments” for the security purchased, in the accompanying Consolidated Statements of Cash Flows. REVENUE RECOGNITION We earn revenue from software licenses, royalties, subscriptions, software services, post-contract customer support (“PCS” or “maintenance”), hardware and appraisal services. Software Arrangements: For the majority of our software arrangements, we provide services that range from installation, training, and basic consulting to software modification and customization to meet specific customer needs. If the arrangement does not require significant production, modification or customization or where the software services are not considered essential to the functionality of the software, revenue is recognized when all of the following conditions are met: i. persuasive evidence of an arrangement exists; ii. delivery has occurred; iii. our fee is fixed or determinable; and iv. collectability is probable. For multiple element arrangements, each element of the arrangement is analyzed and we allocate a portion of the total arrangement fee to the elements based on the relative fair value of the element using vendor-specific objective evidence of fair value (“VSOE”), regardless of any separate prices stated within the contract for each element. Fair value is considered the price a customer would be required to pay if the element was sold separately based on our historical Notes to Consolidated Financial Statements Notes to Consolidated Financial StatementsNotes to Consolidated Financial Statements Tyler Technologies 2013 Annual Report 45 experience of stand-alone sales of these elements to third parties. For PCS, we use renewal rates for continued support arrangements to determine fair value. For software services, we use the fair value we charge our customers when those services are sold separately. We monitor our transactions to determine that we maintain and periodically revise VSOE to reflect fair value. In software arrangements in which we have the fair value of all undelivered elements but not of a delivered element, we apply the “residual method,” in compliance with ASC 985-605, Software Revenue Recognition. Under the residual method, if the fair value of all undelivered elements is determinable, the fair value of the undelivered elements is deferred and the remaining portion of the arrangement fee is allocated to the delivered element(s) and is recognized as revenue assuming the other revenue recognition criteria are met. In software arrangements in which we do not have VSOE for all undelivered elements, revenue is deferred until fair value is determined or all elements for which we do not have VSOE have been delivered. Alternatively, if sufficient VSOE does not exist and the only undelivered element is services that do not involve significant modification or customization of the software, the entire fee is recognized over the period during which the services are expected to be performed. Software Licenses and Royalties We recognize the revenue allocable to software licenses and specified upgrades upon delivery of the software product or upgrade to the customer, unless the fee is not fixed or determinable or collectability is not probable. If the fee is not fixed or determinable, software license revenue is generally recognized as payments become due from the customer. If collectability is not considered probable, revenue is recognized when the fee is collected. Arrangements that include software services, such as training or installation, are evaluated to determine whether those services are essential to the product’s functionality. A majority of our software arrangements involve “off-the-shelf” software. We consider software to be off-the-shelf software if it can be added to an arrangement with minor changes in the underlying code and it can be used by the customer for the customer’s purpose upon installation. For off-the-shelf software arrangements, we recognize the software license fee as revenue after delivery has occurred, customer acceptance is reasonably assured, that portion of the fee represents a non-refundable enforceable claim and is probable of collection, and the remaining services such as training are not considered essential to the product’s functionality. For arrangements that involve significant production, modification or customization of the software, or where software services are otherwise considered essential, we recognize revenue using contract accounting and apply the provisions of the Construction — Type and Production — Type Contracts as discussed in ASC 605-35, Multiple Elements Arrangements. We generally use the percentage-of-completion method to recognize revenue from these arrangements. We measure progress-to-completion primarily using labor hours incurred, or value added. The percentage-of-completion method generally results in the recognition of reasonably consistent profit margins over the life of a contract because we have the ability to produce reasonably dependable estimates of contract billings and contract costs. We use the level of profit margin that is most likely to occur on a contract. If the most likely profit margin cannot be precisely determined, the lowest probable level of profit in the range of estimates is used until the results can be estimated more precisely. These arrangements are often implemented over an extended time period and occasionally require us to revise total cost estimates. Amounts recognized in revenue are calculated using the progress-to-completion measurement after giving effect to any changes in our cost estimates. Changes to total estimated contract costs, if any, are recorded in the period they are determined. Estimated losses on uncompleted contracts are recorded in the period in which we first determine that a loss is apparent. For arrangements that include new product releases for which it is difficult to estimate final profitability except to assume that no loss will ultimately be incurred, we recognize revenue under the completed contract method. Under the completed contract method, revenue is recognized only when a contract is completed or substantially complete. Historically these amounts have been immaterial. We recognize royalty revenue when earned under the terms of our third party royalty arrangements, provided the fees are considered fixed or determinable and realization of payment is probable. Currently, our third party royalties are variable in nature and such amounts are not considered fixed or determinable until we receive notice of amounts earned. Typically, we receive notice of royalty revenues earned on a quarterly basis in the immediate quarter following the royalty reporting period. Notes to Consolidated Financial StatementsNotes to Consolidated Financial Statements Tyler Technologies 2013 Annual Report46 Software Services Some of our software arrangements include services considered essential for the customer to use the software for the customer’s purposes. For these software arrangements, both the software license revenue and the services revenue are recognized as the services are performed using the percentage-of-completion contract accounting method. When software services are not considered essential, the fee allocable to the service element is recognized as revenue as we perform the services. Computer Hardware Equipment Revenue allocable to computer hardware equipment is recognized when we deliver the equipment and collection is probable. Post-Contract Customer Support Our customers generally enter into PCS agreements when they purchase our software licenses. PCS includes telephone support, bug fixes, and rights to upgrades on a when-and-if available basis. Our PCS agreements are typically renewable annually. Revenue allocated to PCS is recognized on a straight-line basis over the period the PCS is provided. All significant costs and expenses associated with PCS are expensed as incurred. Subscription-Based Services: Subscription-based services consist of revenues derived from SaaS arrangements, which utilize the Tyler private cloud, and electronic filing transactions. For SaaS arrangements, we evaluate whether the customer has the contractual right to take possession of our software at any time during the hosting period without significant penalty and whether the customer can feasibly maintain the software on the customer’s hardware or enter into another arrangement with a third party to host the software. In cases where the customer has the contractual right to take possession of our software at any time during the hosting period without significant penalty and the customer can feasibly maintain the software on the customer’s hardware or enter into another arrangement with a third party to host the software, we recognize the license, professional services and hosting services revenues pursuant to ASC 985-605, Software Revenue Recognition. For SaaS arrangements that do not meet the criteria for recognition under ASC 985-605, we account for the elements under ASC 605-25, Multiple Element Arrangements, using all applicable facts and circumstances, including whether (i) the element has stand-alone value, (ii) there is a general right of return and (iii) the revenue is contingent on delivery of other elements. We allocate contract value to each element of the arrangement that qualifies for treatment as a separate element based on VSOE, and if VSOE is not available, third party evidence, and if third party evidence is unavailable, estimated selling price. We recognize hosting services ratably over the term of the arrangement, which range from one to 10 years but are typically for a period of three to six years. For professional services associated with SaaS arrangements that we determine do not have stand-alone value to the customer or are contingent on delivery of other elements, we recognize the services revenue ratably over the remaining contractual period once we have provided the customer access to the software and we may begin billing for hosting services. We record amounts that have been invoiced in accounts receivable and in deferred revenue or revenues, depending on whether the revenue recognition criteria have been met. Electronic filing transaction fees primarily pertain to documents filed with the courts by attorneys and other third parties via our e-filing services and retrieval of filed documents via our access services. The elements for these arrangements are accounted for under ASC 605-25. For each document filed with a court, the filer generally pays a transaction fee and a court filing fee to us and we remit a portion of the transaction fee and the filing fee to the court. We record as revenue the transaction fee, while the portion of the transaction fee remitted to the courts is recorded as cost of sales as we are acting as a principal in the arrangement. Court filing fees collected on behalf of the courts and remitted to the courts are recorded on a net basis and thus do not affect the statement of comprehensive income. In some cases, we are paid on a fixed fee basis and recognize the revenue ratably over the contractual period. Notes to Consolidated Financial Statements Notes to Consolidated Financial StatementsNotes to Consolidated Financial Statements Tyler Technologies 2013 Annual Report 47 Costs of performing services under subscription-based arrangements are expensed as incurred, except for certain direct and incremental contract origination and set-up costs associated with SaaS arrangements. Such direct and incremental costs are capitalized and amortized ratably over the related SaaS hosting term. Appraisal Services: For our property appraisal projects, we recognize revenue using the proportional performance method of revenue recognition since many of these projects are implemented over one to three year periods and consist of various unique activities. Under this method of revenue recognition, we identify each activity for the appraisal project, with a typical project generally calling for bonding, office set up, training, routing of map information, data entry, data collection, data verification, informal hearings, appeals and project management. Each activity or act is specifically identified and assigned an estimated cost. Costs which are considered to be associated with indirect activities, such as bonding costs and office set up, are expensed as incurred. These costs are typically billed as incurred and are recognized as revenue equal to cost. Direct contract fulfillment activities and related supervisory costs such as data collection, data entry and verification are expensed as incurred. The direct costs for these activities are determined and the total contract value is then allocated to each activity based on a consistent profit margin. Each activity is assigned a consistent unit of measure to determine progress towards completion and revenue is recognized for each activity based upon the percentage complete as applied to the estimated revenue for that activity. Progress for the fulfillment activities is typically based on labor hours or an output measure such as the number of parcel counts completed for that activity. Estimated losses on uncompleted contracts are recorded in the period in which we first determine that a loss is apparent. Allocation of Revenue in Statements of Comprehensive Income In our statements of comprehensive income, we allocate revenue to software licenses, software services, maintenance and hardware and other based on the VSOE of fair value for elements in each revenue arrangement and the application of the residual method for arrangements in which we have established VSOE of fair value for all undelivered elements. In arrangements where we are not able to establish VSOE of fair value for all undelivered elements, revenue is first allocated to any undelivered elements for which VSOE of fair value has been established. We then allocate revenue to any undelivered elements for which VSOE of fair value has not been established based upon management’s best estimate of fair value of those undelivered elements and apply a residual method to determine the license fee. Management’s best estimate of fair value of undelivered elements for which VSOE of fair value has not been established is based upon the VSOE of similar offerings and other objective criteria. Other The majority of deferred revenue consists of unearned support and maintenance revenue that has been billed based on contractual terms in the underlying arrangement with the remaining balance consisting of payments received in advance of revenue being earned under software licensing, subscription-based services, software and appraisal services and hardware installation. Unbilled revenue is not billable at the balance sheet date but is recoverable over the remaining life of the contract through billings made in accordance with contractual agreements. The termination clauses in our contracts generally provide for the payment for the value of products delivered and services performed in the event of an early termination. Prepaid expenses and other current assets include direct and incremental costs such as commissions associated with arrangements for which revenue recognition has been deferred. Such costs are expensed at the time the related revenue is recognized. USE OF ESTIMATES The preparation of our financial statements in conformity with accounting principles generally accepted in the United States (“GAAP”) requires us to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosure of contingent assets and liabilities at the date of the financial statements and the reported amounts of revenues and expenses during the reporting period. Significant items subject to such estimates and Notes to Consolidated Financial StatementsNotes to Consolidated Financial Statements Tyler Technologies 2013 Annual Report48 assumptions include the application of the percentage-of-completion and proportional performance methods of revenue recognition, the carrying amount and estimated useful lives of intangible assets, determination of share-based compensation expense and valuation allowance for receivables. Actual results could differ from estimates. PROPERTY AND EQUIPMENT, NET Property, equipment and purchased software are recorded at original cost and increased by the cost of any significant improvements after purchase. We expense maintenance and repairs when incurred. Depreciation and amortization is calculated using the straight-line method over the shorter of the asset’s estimated useful life or the term of the lease in the case of leasehold improvements. For income tax purposes, we use accelerated depreciation methods as allowed by tax laws. RESEARCH AND DEVELOPMENT COSTS We expensed research and development costs of $23.3 million during 2013, $20.1 million during 2012 and $16.4 million during 2011. We reduced our research and development expense by approximately $1.0 million in 2012 and, $3.5 million in 2011, which was the amount earned under the terms of our strategic alliance with a development partner. INCOME TAXES Income taxes are accounted for under the asset and liability method. Deferred taxes arise because of different treatment between financial statement accounting and tax accounting, known as “temporary differences.” We record the tax effect of these temporary differences as “deferred tax assets” (generally items that can be used as a tax deduction or credit in the future periods) and “deferred tax liabilities” (generally items that we received a tax deduction for, which have not yet been recorded in the income statement). The deferred tax assets and liabilities are measured using enacted tax rules and laws that are expected to be in effect when the temporary differences are expected to be recovered or settled. A valuation allowance would be established to reduce deferred tax assets if it is more likely than not that a deferred tax asset will not be realized. SHARE-BASED COMPENSATION We have a stock option plan that provides for the grant of stock options to key employees, directors and non-employee consultants. Stock options generally vest after three to six years of continuous service from the date of grant and have a contractual term of ten years. We account for share-based compensation utilizing the fair value recognition pursuant to ASC 718, Stock Compensation. See Note 10 — “Share-Based Compensation” for further information. GOODWILL AND OTHER INTANGIBLE ASSETS Goodwill Goodwill represents the excess of the purchase price over the fair value of net assets acquired, including identifiable intangible assets, in connection with our business combinations. Upon acquisition, goodwill is assigned to the reporting unit that is expected to benefit from the synergies of the business combination, which is the reporting unit to which the related acquired technology is assigned. A reporting unit is the operating segment, or a business unit one level below that operating segment, for which discrete financial information is prepared and regularly reviewed by executive management. We assess goodwill for impairment annually as of April, or more frequently whenever events or changes in circumstances indicate its carrying value may not be recoverable. When testing goodwill for impairment quantitatively, we first compare the fair value of each reporting unit with its carrying amount. If the carrying amount of a reporting unit exceeds its fair value, a second step is performed to measure the amount of potential impairment. In the second step, we compare the implied fair value of reporting unit goodwill with the carrying amount of the reporting unit’s goodwill. If the carrying amount of reporting unit goodwill exceeds the implied fair value of that goodwill, an impairment loss is recognized. The fair values calculated in our impairment Notes to Consolidated Financial Statements Notes to Consolidated Financial StatementsNotes to Consolidated Financial Statements Tyler Technologies 2013 Annual Report 49 tests are determined using discounted cash flow models involving several assumptions. The assumptions that are used are based upon what we believe a hypothetical marketplace participant would use in estimating fair value. We evaluate the reasonableness of the fair value calculations of our reporting units by comparing the total of the fair value of all of our reporting units to our total market capitalization. Our annual goodwill impairment analysis, which we performed quantitatively during the second quarter of 2013, did not result in an impairment charge. Other Intangible Assets We make judgments about the recoverability of purchased intangible assets other than goodwill whenever events or changes in circumstances indicate that an impairment may exist. Customer base constitutes approximately 80% of our purchased intangible assets other than goodwill. We review our customer turnover each year for indications of impairment. Our customer turnover has historically been very low. If indications of impairment are determined to exist, we measure the recoverability of assets by a comparison of the carrying amount of the asset to the estimated undiscounted future cash flows expected to be generated by the asset. If the carrying amount of the assets exceeds their estimated future cash flows, an impairment charge is recognized for the amount by which the carrying amount of the assets exceeds the fair value of the assets. There have been no significant impairments of intangible assets in any of the periods presented. IMPAIRMENT OF LONG-LIVED ASSETS We periodically evaluate whether current facts or circumstances indicate that the carrying value of our property and equipment or other long-lived assets to be held and used may not be recoverable. If such circumstances are determined to exist, we measure the recoverability of assets to be held and used by a comparison of the carrying amount of the asset or appropriate grouping of assets and the estimated undiscounted future cash flows expected to be generated by the assets. If the carrying amount of the assets exceeds their estimated future cash flows, an impairment charge is recognized for the amount by which the carrying amount of the assets exceeds the fair value of the assets. Assets to be disposed of would be separately presented in the balance sheet and reported at the lower of the carrying amount or fair value less costs to sell, and are no longer depreciated. The assets and liabilities of a disposed group classified as held for sale would be presented separately in the appropriate asset and liability sections of the balance sheet. There have been no significant impairments of long-lived assets in any of the periods presented. COSTS OF COMPUTER SOFTWARE We capitalize software development costs upon the establishment of technological feasibility and prior to the availability of the product for general release to customers. Software development costs primarily consist of personnel costs and rent for related office space. We begin to amortize capitalized costs when a product is available for general release to customers. Amortization expense is determined on a product-by-product basis at a rate not less than straight-line basis over the product’s remaining estimated economic life, but not to exceed five years. We have not capitalized any internal software development costs in any of the periods presented. FAIR VALUE OF FINANCIAL INSTRUMENTS Cash and cash equivalents, accounts receivables, accounts payables, short-term obligations and certain other assets at cost approximate fair value because of the short maturity of these instruments. Our investments available-for-sale are recorded at fair value as of December 31, 2013 based upon the level of judgment associated with the inputs used to measure their fair value. See Note 3 — “Fair Value of Financial Instruments” for further information. CONCENTRATIONS OF CREDIT RISK AND UNBILLED RECEIVABLES Financial instruments that potentially subject us to significant concentrations of credit risk consist principally of cash and cash equivalents, investments available-for-sale and accounts receivable from trade customers. Our cash and cash equivalents primarily consists of operating account balances, which are maintained at one major financial institution Notes to Consolidated Financial StatementsNotes to Consolidated Financial Statements Tyler Technologies 2013 Annual Report50 Notes to Consolidated Financial Statements and the balances often exceed insured amounts. As of December 31, 2013 we had cash and cash equivalents of $78.9 million. We perform periodic evaluations of the credit standing of this financial institution. Concentrations of credit risk with respect to receivables are limited due to the size and geographical diversity of our customer base. Historically, our credit losses have not been significant. As a result, we do not believe we have any significant concentrations of credit risk as of December 31, 2013. We maintain allowances for doubtful accounts and sales adjustments, which are provided at the time the revenue is recognized. Since most of our customers are domestic governmental entities, we rarely incur a loss resulting from the inability of a customer to make required payments. Events or changes in circumstances that indicate that the carrying amount for the allowances for doubtful accounts and sales adjustments may require revision, include, but are not limited to, deterioration of a customer’s financial condition, failure to manage our customer’s expectations regarding the scope of the services to be delivered, and defects or errors in new versions or enhancements of our software products. The following table summarizes the changes in the allowances for doubtful accounts and sales adjustments: Years ended December 31, 2013 2012 2011 Balance at beginning of year $ 1,621 $ 990 $ 1,603 Provisions for losses – accounts receivable 729 961 805 Collection of accounts previously reserved — — (142) Deductions for accounts charged off or credits issued (1,237) (330) (1,276) Balance at end of year $ 1,113 $ 1,621 $ 990 The termination clauses in most of our contracts provide for the payment for the value of products delivered or services performed in the event of early termination. Our property appraisal outsourcing service contracts can range up to three years and, in a few cases, as long as five years, in duration. In connection with these contracts, as well as certain software service contracts, we may perform work prior to when the software and services are billable and/or payable pursuant to the contract. We have historically recorded such unbilled receivables (costs and estimated profit in excess of billings) in connection with (1) property appraisal services contracts accounted for using proportional performance accounting in which the revenue is earned based upon activities performed in one accounting period but the billing normally occurs subsequently and may span another accounting period; (2) software services contracts accounted for using the percentage-of-completion method of revenue recognition using labor hours as a measure of progress towards completion in which the services are performed in one accounting period but the billing for the software element of the arrangement may be based upon the specific phase of the implementation; (3) software revenue for which we have objective evidence that the customer-specified objective criteria has been met but the billing has not yet been submitted to the customer; (4) some of our contracts provide for an amount to be withheld from a progress billing (generally a 10% retention) until final and satisfactory project completion is achieved; and (5) in a limited number of cases, we may grant extended payment terms generally to existing customers with whom we have a long-term relationship and favorable collection history. In connection with this activity, we have recorded unbilled receivables of $10.8 million and $11.8 million at December 31, 2013 and 2012, respectively. We also have recorded retention receivables of $2.6 million and $1.3 million at December 31, 2013 and 2012, respectively, and these retentions become payable upon the completion of the contract or completion of our field work and formal hearings. Unbilled receivables and retention receivables expected to be collected in excess of one year have been included with accounts receivable, long-term portion in the accompanying consolidated balance sheets. INDEMNIFICATION Most of our software license agreements indemnify our customers in the event that the software sold infringes upon the intellectual property rights of a third party. These agreements typically provide that in such event we will either modify or replace the software so that it becomes non-infringing or procure for the customer the right to use the software. We Notes to Consolidated Financial StatementsNotes to Consolidated Financial Statements Tyler Technologies 2013 Annual Report 51 have recorded no liability associated with these indemnifications, as we are not aware of any pending or threatened infringement actions that are possible losses. We believe the estimated fair value of these intellectual property indemnification clauses is minimal. We have also agreed to indemnify our officers and board members if they are named or threatened to be named as a party to any proceeding by reason of the fact that they acted in such capacity. We maintain directors’ and officers’ insurance coverage to protect against any such losses. We have recorded no liability associated with these indemnifications. Because of our insurance coverage, we believe the estimated fair value of these indemnification agreements is minimal. RECLASSIFICATIONS Certain amounts for previous years have been reclassified to conform to the current year presentation. (2) ACQUISITIONS 2012 In November 2012, we acquired all of the capital stock of EnerGov Solutions, L.L.C. (“EnerGov”) that develops and sells enterprise permitting, land management, licensing and regulatory software solutions to governmental agencies. The purchase price, net of cash acquired of $15,000 was $10.5 million in cash and 60,000 shares of Tyler common stock valued at $2.8 million, based on the stock price on the acquisition date. As of December 31, 2012 the purchase price allocation was not yet complete. In March 2013, we finalized the purchase price allocation, which resulted in additional goodwill of $1.1 million and a corresponding reduction in tangible assets. The balance sheet at December 31, 2012 has been retrospectively revised to include this adjustment. In April 2012, we acquired all of the capital stock of Computer Software Associates, Inc. (“CSA”) for a cash purchase price of $9.4 million, net of cash acquired of $437,000. CSA is a reseller of Tyler’s Infinite Visions school enterprise solution, and sells proprietary CSA tax and recording solutions to county governments, primarily in the Northwest. In March 2012, we acquired all the capital stock of UniFund, L.L.C. (“UniFund”) for a cash purchase price of $4.6 million, net of cash acquired of $780,000. UniFund provides enterprise resource planning solutions to schools and local governments, primarily in the Northeast. UniFund is also a reseller of Tyler’s Infinite Visions school enterprise solution. In January 2012, we acquired substantially all of the assets of Akanda Innovation, Inc., (“Akanda”) a provider of web-based solutions to the public sector, which are integrated, with our property tax software, for a total purchase price of $2.9 million. The purchase price included certain liabilities we assumed of approximately $800,000, resulting in net cash paid to the sellers of $2.1 million, of which $900,000 was paid prior to December 31, 2011. 2011 In October 2011, we acquired all of the capital stock of Windsor Management Group, L.L.C. for a cash purchase price of $16.4 million, net of cash acquired of $7.4 million. Windsor provides Infinite Visions suite of school enterprise solutions for the K-12 education market, primarily in the Southwest. (3) FAIR VALUE OF FINANCIAL INSTRUMENTS Assets recorded at fair value in the balance sheet as of December 31, 2013 are categorized based upon the level of judgment associated with the inputs used to measure their fair value as defined by ASC 820, Fair Value Measurements and Disclosures. We have investments available-for-sale (consisting of auction rate securities) that are considered to be Level 3 assets for which little or no market data exist and are required to be measured at fair value on a recurring basis. The fair value of our investments available-for-sale as of December 31, 2013 and December 31, 2012 was $1.3 million and $2.0 million, respectively. As of December 31, 2013 the par value of our investments available-for- sale was $1.4 million and the related temporary impairment was $72,000, based on our estimate of the related fair value using a discounted trinomial model. Notes to Consolidated Financial StatementsNotes to Consolidated Financial Statements Tyler Technologies 2013 Annual Report52 Notes to Consolidated Financial Statements In association with this estimate of fair value, we have recorded an after-tax temporary unrealized gain on our investments available-for-sale of $222,000, net of related tax effects of $119,000 in 2013, which is included in accumulated other comprehensive loss on our balance sheet. The unrealized gain includes the impact of adjusting previously recorded unrealized losses of approximately $138,000 net of related tax effects of $74,000 as of December 31, 2013 for one security, which was partially redeemed at par during 2013. The following table reflects the activity for assets measured at fair value using Level 3 inputs for the years ended December 31: Balance as of December 31, 2010 $ 2,126 Transfers into level 3 — Transfers out of level 3 (25) Purchases, sales issuances and settlements (25) Unrealized losses included in accumulated loss (123) Balance as of December 31, 2011 1,953 Transfers into level 3 — Transfers out of level 3 — Purchases, sales issuances and settlements (50) Unrealized gains included in accumulated loss 134 Balance as of December 31, 2012 2,037 Transfers into level 3 — Transfers out of level 3 — Purchases, sales issuances and settlements (1,090) Unrealized gains included in accumulated loss 341 Balance as of December 31, 2013 $ 1,288 (4) PROPERTY AND EQUIPMENT, NET Property and equipment, net consists of the following at December 31: Useful Lives (Years) 2013 2012 Land — $ 7,800 $ 7,800 Building and leasehold improvements 5-39 50,523 33,299 Computer equipment and purchased software 3-5 27,071 24,036 Furniture and fixtures 5 10,834 8,108 Transportation equipment 5 241 274 96,469 73,517 Accumulated depreciation and amortization (31,625) (28,136) Property and equipment, net $ 64,844 $ 45,381 Depreciation expense was $6.4 million during 2013, $5.6 million during 2012 and $5.3 million during 2011. We own office buildings in Yarmouth, Maine, Lubbock and Plano, Texas, and Moraine, Ohio. We lease some space in these buildings to third-party tenants. These leases expire between 2014 and 2017 and are expected to provide rental income of approximately $834,000 during 2014, $685,000 during 2015, $319,000 during 2016 and $46,000 during 2017. Rental income associated with third party tenants was $704,000 in 2013, $586,000 in 2012 and $1.2 million in 2011, and was included as a reduction of selling, general and administrative expenses. Notes to Consolidated Financial StatementsNotes to Consolidated Financial Statements Tyler Technologies 2013 Annual Report 53 (5) GOODWILL AND OTHER INTANGIBLE ASSETS Other intangible assets and related accumulated amortization consists of the following at December 31: 2013 2012 Gross carrying amount of acquisition intangibles: Customer related intangibles $ 60,547 $ 60,547 Software acquired 32,003 32,003 Trade name 3,109 3,272 Lease acquired 1,387 1,387 97,046 97,209 Accumulated amortization (58,060) (51,489) Acquisition intangibles, net $ 38,986 $ 45,720 Post acquisition software development costs $ 36,701 $ 36,701 Accumulated amortization (36,701) (36,621) Post acquisition software costs, net $ — $ 80 Total other intangibles $ 38,986 $ 45,800 Total amortization expense, for acquisition related intangibles and post acquisition software development costs, was $6.8 million in 2013, $6.5 million during 2012, and $4.9 million during 2011. The allocation of acquisition intangible assets is summarized in the following table: December 31, 2013 December 31, 2012 Weighted Weighted Gross Average Gross Average Carrying Amortization Accumulated Carrying Amortization Accumulated Amount Period Amortization Amount Period Amortization Non-amortizable intangibles: Goodwill $ 121,011 — $ — $ 121,011 — $ — Amortizable intangibles: Customer related intangibles 60,547 15 years 28,864 60,547 15 years 24,554 Software acquired 32,003 5 years 26,584 32,003 5 years 24,505 Trade name 3,109 15 years 1,225 3,272 15 years 1,182 Lease acquired 1,387 5 years 1,387 1,387 5 years 1,248 The changes in the carrying amount of goodwill for the two years ended December 31, 2013 are as follows: Enterprise Appraisal and Tax Software Software Solutions Solutions and Services Total Balance as of December 31, 2011 $ 100,504 $ 5,590 $ 106,094 Goodwill acquired during 2012 related to the purchase of Akanda — 967 967 Goodwill acquired during 2012 related to the purchase of UniFund 1,055 — 1,055 Goodwill acquired during 2012 related to the purchase of CSA 4,634 — 4,634 Goodwill acquired during 2012 related to the purchase of EnerGov 8,261 — 8,261 Balance as of December 31, 2012 and December 31, 2013 $ 114,454 $ 6,557 $ 121,011 Notes to Consolidated Financial StatementsNotes to Consolidated Financial Statements Tyler Technologies 2013 Annual Report54 Notes to Consolidated Financial Statements Estimated annual amortization expense relating to acquisition intangibles, including acquired software for which the amortization expense is recorded as cost of revenues is as follows: Years ending December 31, 2014 $ 6,308 2015 6,128 2016 6,039 2017 5,042 2018 4,366 (6) ACCRUED LIABILITIES Accrued liabilities consist of the following at December 31: 2013 2012 Accrued wages, bonuses and commissions $ 25,471 $ 17,875 Other accrued liabilities 7,368 8,143 $ 32,839 $ 26,018 (7) REVOLVING LINE OF CREDIT On August 11, 2010, we entered into a new $150.0 million Credit Agreement (the “Credit Facility”) and a related pledge and security agreement with a group of seven financial institutions, with Bank of America, N.A., as Administrative Agent. The Credit Facility provides for a revolving credit line of $150.0 million (which may be increased up to $200.0 million subject to our obtaining commitments for such increase), with a $25.0 million sublimit for letters of credit. The Credit Facility matures on August 11, 2014. Borrowings under the Credit Facility may be used for general corporate purposes, including working capital requirements, acquisitions and share repurchases. Borrowings under the Credit Facility bear interest at a rate of either (1) the Bank of America’s prime rate plus a margin of 1.50% to 2.75% or (2) the 30, 60, 90 or 180-day LIBOR rate plus a margin of 2.50% to 3.75%, with the margin determined by our consolidated leverage ratio. The Credit Facility is secured by substantially all of our assets, excluding real property. The Credit Facility requires us to maintain certain financial ratios and other financial conditions and prohibits us from making certain investments, advances, cash dividends or loans, and limits incurrence of additional indebtedness and liens. As of December 31, 2013, we were in compliance with those covenants. As of December 31, 2013, we had no outstanding borrowings and unused available borrowing capacity of $148.0 million under the Credit Facility. In addition, as of December 31, 2013, we had an outstanding letter of credit totaling $2.0 million. Some of our customers require a letter of credit guaranteeing performance in connection with our contracts. The notional amount of performance guarantees outstanding as of December 31, 2013 was estimated to be approximately $29.0 million. This letter of credit is issued under our revolving line of credit and reduces our available borrowing capacity. We do not believe this letter of credit will be required to be drawn upon. The letter of credit expires in 2014. We paid interest of $899,000 in 2013 and $2.0 million in 2012. Notes to Consolidated Financial StatementsNotes to Consolidated Financial Statements Tyler Technologies 2013 Annual Report 55 (8) INCOME TAX The income tax provision (benefit) on income from operations consists of the following: Years ended December 31, 2013 2012 2011 Current: Federal $ 25,625 $ 19,113 $ 17,239 State 2,590 1,976 2,233 28,215 21,089 19,472 Deferred (1,497) (215) (2,916) $ 26,718 $ 20,874 $ 16,556 Reconciliation of the U.S. statutory income tax rate to our effective income tax expense rate for operations follows: Years ended December 31, 2013 2012 2011 Federal income tax expense at statutory rate $ 23,037 $ 18,854 $ 15,440 State income tax, net of federal income tax benefit 2,371 1,365 1,238 Non-deductible business expenses 1,110 1,087 918 Qualified manufacturing activities — (717) (840) Research and development credit — — (177) Other, net 200 285 (23) $ 26,718 $ 20,874 $ 16,556 The tax effects of the major items recorded as deferred tax assets and liabilities as of December 31 are: 2013 2012 Deferred income tax assets: Operating expenses not currently deductible $ 7,360 $ 5,372 Stock option and other employee benefit plans 7,089 6,097 Capital loss and credit carryforward 185 275 Property and equipment 149 570 Total deferred income tax assets 14,783 12,314 Deferred income tax liabilities: Intangible assets (12,910) (11,838) Other (173) (153) Total deferred income tax liabilities (13,083) (11,991) Net deferred income tax asset $ 1,700 $ 323 At December 31, 2013, we had approximately $650,000 of net operating loss carryforwards for Federal income tax reporting purposes available to offset future taxable income. The $650,000 was attributable to excess tax benefits related to share-based arrangements for which authoritative guidance prohibits the recognition of a deferred tax asset. The $650,000 tax benefit will be accounted for as an increase to shareholders’ equity and a reduction in income tax payable when realized. This carryforward expires in 2034. We recognized approximately $28.2 million excess tax benefits related to share-based arrangements in 2013 as a credit to shareholders’ equity and a reduction in income taxes payable. Although realization is not assured, we believe it is more likely than not that all the deferred tax assets at December 31, 2013 and 2012 will be realized. Accordingly, we believe no valuation allowance is required for the deferred tax assets. However, the amount of the deferred tax asset considered realizable could be adjusted in the future if estimates of reversing taxable temporary differences are revised. No reserves for uncertain income tax positions have been recorded pursuant to ASC 740-10, Income Taxes. Notes to Consolidated Financial StatementsNotes to Consolidated Financial Statements Tyler Technologies 2013 Annual Report56 Notes to Consolidated Financial Statements The Internal Revenue Service (“IRS”) is examining our U.S. income tax return for the year 2010. We are unable to make a reasonable estimate as to when cash settlements related to the examination, if any, will occur. We are subject to U.S. federal tax as well as income tax of multiple state and local jurisdictions. We are no longer subject to United States federal income tax examinations for years before 2009. We are no longer subject to state and local income tax examinations by tax authorities for the years before 2008. We paid income taxes, net of refunds received, of $9.3 million in 2013, $13.1 million in 2012, and $13.4 million in 2011. (9) SHAREHOLDERS’ EQUITY The following table details activity in our common stock: Years ended December 31, 2013 2012 2011 Shares Amount Shares Amount Shares Amount Stock option exercises 1,443 $ 18,289 1,218 $ 12,443 582 $ 3,553 Purchases of common stock — — — — (3,004) (71,802) Employee stock plan purchases 64 3,542 81 2,641 100 2,045 Shares issued for acquisition — — 60 2,815 — — As of February 19, 2014 we had authorization from our board of directors to repurchase up to 1.7 million additional shares of our common stock. (10) SHARE-BASED COMPENSATION Share-Based Compensation Plan We have a stock option plan that provides for the grant of stock options to key employees, directors and non-employee consultants. Stock options generally vest after three to six years of continuous service from the date of grant and have a contractual term of ten years. Once options become exercisable, the employee can purchase shares of our common stock at the market price on the date we granted the option. We account for share-based compensation utilizing the fair value recognition pursuant to ASC 718, Stock Compensation. As of December 31, 2013, there were 1.1 million shares available for future grants under the plan from the 16.0 million shares previously approved by the stockholders. Determining Fair Value of Stock Compensation Valuation and Amortization Method. We estimate the fair value of share-based awards granted using the Black-Scholes option valuation model. We amortize the fair value of all awards on a straight-line basis over the requisite service periods, which are generally the vesting periods. Expected Life. The expected life of awards granted represents the period of time that they are expected to be outstanding. The expected life represents the weighted-average period the stock options are expected to be outstanding based primarily on the options’ vesting terms, remaining contractual life and the employees’ expected exercise based on historical patterns. Expected Volatility. Using the Black-Scholes option valuation model, we estimate the volatility of our common stock at the date of grant based on the historical volatility of our common stock. Risk-Free Interest Rate. We base the risk-free interest rate used in the Black-Scholes option valuation model on the implied yield currently available on U.S. Treasury zero-coupon issues with an equivalent remaining term equal to the expected life of the award. Notes to Consolidated Financial StatementsNotes to Consolidated Financial Statements Tyler Technologies 2013 Annual Report 57 Expected Dividend Yield. We have not paid any cash dividends on our common stock in the last ten years and we do not anticipate paying any cash dividends in the foreseeable future. Consequently, we use an expected dividend yield of zero in the Black-Scholes option valuation model. Expected Forfeitures. We use historical data to estimate pre-vesting option forfeitures. We record share-based compensation only for those awards that are expected to vest. The following weighted average assumptions were used for options granted: Years ended December 31, 2013 2012 2011 Expected life (in years) 6.4 6.7 6.7 Expected volatility 32.4% 32.6% 33.1% Risk-free interest rate 1.4% 1.0% 1.7% Expected forfeiture rate 3% 3% 3% The following table summarizes share-based compensation expense related to share-based awards which is recorded in the statements of comprehensive income: Years ended December 31, 2013 2012 2011 Cost of software services, maintenance and subscriptions $ 1,509 $ 1,084 $ 871 Selling, general and administrative expense 10,144 6,327 5,382 Total share-based compensation expense 11,653 7,411 6,253 Tax benefit (3,363) (2,040) (1,545) Net decrease in net income $ 8,290 $ 5,371 $ 4,708 Stock Option Activity Options granted, exercised, forfeited and expired are summarized as follows: Weighted Average Weighted Remaining Aggregate Number of Average Contractual Life Intrinsic Shares Exercise Price (Years) Value Outstanding at December 31, 2010 5,836 $ 12.74 Granted 831 26.83 Exercised (582) 6.10 Forfeited (26) 15.78 Outstanding at December 31, 2011 6,059 15.31 Granted 930 43.53 Exercised (1,218) 10.22 Forfeited (60) 28.07 Outstanding at December 31, 2012 5,711 20.86 Granted 1,453 67.08 Exercised (1,443) 12.68 Forfeited (1) 68.17 Outstanding at December 31, 2013 5,720 34.66 7 $ 385,868 Exercisable at December 31, 2013 1,971 $ 15.41 5 $ 170,956 We had unvested options to purchase 3.5 million shares with a weighted average grant date exercise price of $44.55 as of December 31, 2013 and unvested options to purchase 2.8 million shares with a weighted average grant date exercise price of $27.20 as of December 31, 2012. As of December 31, 2013, we had $48.3 million of total unrecognized compensation cost related to unvested options, net of expected forfeitures, which is expected to be amortized over a weighted average amortization period of four years. Notes to Consolidated Financial StatementsNotes to Consolidated Financial Statements Tyler Technologies 2013 Annual Report58 Notes to Consolidated Financial Statements Other information pertaining to option activity was as follows during the twelve months ended December 31: 2013 2012 2011 Weighted average grant-date fair value of stock options granted $ 23.27 $ 15.24 $ 9.91 Total intrinsic value of stock options exercised 99,393 40,589 12,289 Employee Stock Purchase Plan Under our Employee Stock Purchase Plan (“ESPP”) participants may contribute up to 15% of their annual compensation to purchase common shares of Tyler. The purchase price of the shares is equal to 85% of the closing price of Tyler shares on the last day of each quarterly offering period. As of December 31, 2013, there were 1.0 million shares available for future grants under the ESPP from the 2.0 million shares previously approved by the stockholders. (11) EARNINGS PER SHARE Basic earnings and diluted earnings per share data were computed as follows: Years Ended December 31, 2013 2012 2011 Numerator for basic and diluted earnings per share: Net income $ 39,101 $ 32,994 $ 27,557 Denominator: Weighted-average basic common shares outstanding 31,891 30,327 31,267 Assumed conversion of dilutive securities: Stock options 2,699 2,589 1,887 Denominator for diluted earnings per share – Adjusted weighted-average shares 34,590 32,916 33,154 Earnings per common share: Basic $ 1.23 $ 1.09 $ 0.88 Diluted $ 1.13 $ 1.00 $ 0.83 Stock options representing the right to purchase common stock of 62,000 shares in 2013, 463,000 shares in 2012, and 714,000 shares in 2011 were not included in the computation of diluted earnings per share because their inclusion would have had an anti-dilutive effect. (12) LEASES We lease office facilities for use in our operations, as well as transportation, computer and other equipment. We also have an office facility lease agreement with an entity owned by an executive’s father and brother. The executive does not have an interest in the entity that leases the property to us and the lease arrangement existed at the time we acquired the business unit that occupies this property. Most of our leases are non-cancelable operating lease agreements and they expire at various dates through 2021. In addition to rent, the leases generally require us to pay taxes, maintenance, insurance and certain other operating expenses. Rent expense was approximately $7.5 million in 2013, $7.2 million in 2012, and $5.9 million in 2011, which included rent expense associated with related party lease agreements of $1.7 million in 2013, $1.7 million in 2012, and $1.8 million in 2011. Notes to Consolidated Financial StatementsNotes to Consolidated Financial Statements Tyler Technologies 2013 Annual Report 59 Future minimum lease payments under all non-cancelable leases at December 31, 2013 are as follows: Years ending December 31, 2014 $ 5,680 2015 4,677 2016 4,415 2017 3,880 2018 1,731 Thereafter 2,339 $ 22,722 Included in future minimum lease payments are non-cancelable payments due to related parties of $1.7 million in 2014, $1.7 million in 2015, $1.7 million in 2016 and $1.7 million in 2017. (13) EMPLOYEE BENEFIT PLANS We provide a defined contribution plan for the majority of our employees meeting minimum service requirements. The employees can contribute up to 30% of their current compensation to the plan subject to certain statutory limitations. We contribute up to a maximum of 3% of an employee’s compensation to the plan. We made contributions to the plan and charged operating results $3.8 million during 2013, $3.3 million during 2012, and $2.9 million during 2011. (14) COMMITMENTS AND CONTINGENCIES Other than routine litigation incidental to our business, there are no material legal proceedings pending to which we are party or to which any of our properties are subject. (15) SEGMENT AND RELATED INFORMATION We are a major provider of integrated information management solutions and services for the public sector, with a focus on local and state governments. We provide our software systems and services and appraisal services through four business units which focus on the following products: – financial management and education software solutions; – financial management and municipal courts, and land and vital records software solutions; – courts and justice software solutions; and – appraisal and tax software solutions and property appraisal services. In accordance with ASC 280-10, Segment Reporting, the financial management and education software solutions unit, financial management and municipal courts and land and vital records software solutions unit and the courts and justice software solutions unit meet the criteria for aggregation and are presented in one reportable segment, Enterprise Software Solutions (“ESS”). The ESS segment provides municipal and county governments and schools with software systems and services to meet their information technology and automation needs for mission-critical “back-office” functions such as financial management and courts and justice processes. The Appraisal and Tax Software Solutions and Services (“ATSS”) segment provides systems and software that automate the appraisal and assessment of real and personal property as well as property appraisal outsourcing services for local governments and taxing authorities. Property appraisal outsourcing services include: the physical inspection of commercial and residential properties; data collection and processing; computer analysis for property valuation; preparation of tax rolls; community education; and arbitration between taxpayers and the assessing jurisdiction. Notes to Consolidated Financial StatementsNotes to Consolidated Financial Statements Tyler Technologies 2013 Annual Report60 Notes to Consolidated Financial Statements We evaluate performance based on several factors, of which the primary financial measure is business segment operating income. We define segment operating income for our business units as income before noncash amortization of intangible assets associated with their acquisition, interest expense and income taxes. Segment operating income includes intercompany transactions. The majority of intercompany transactions relate to contracts involving more than one unit and are valued based on the contractual arrangement. Segment operating income for corporate primarily consists of compensation costs for the executive management team and certain accounting and administrative staff and share-based compensation expense for the entire company. Corporate segment operating income also includes revenues and expenses related to a company-wide user conference. The accounting policies of the reportable segments are the same as those described in Note 1, “Summary of Significant Accounting Policies.” Segment assets include net accounts receivable, prepaid expenses and other current assets and net property and equipment. Corporate assets consist of cash and investments, prepaid insurance, intangibles associated with acquisitions, deferred income taxes and net property and equipment mainly related to unallocated information and technology assets. ESS segment capital expenditures in 2013, 2012 and 2011 included $19.6 million, $3.0 million and $6.6 million, respectively for the construction of a new building and purchase of an existing building and land in connection with plans to consolidate workforces and support long-term growth. ATSS segment capital expenditures in 2012 included $2.6 million for the purchase of a building and land to support long-term growth. Enterprise Appraisal and Tax Software Software Solutions As of and year ended December 31, 2013 Solutions and Services Corporate Totals Revenues Software licenses and royalties $ 38,774 $ 2,067 $ — $ 40,841 Subscriptions 59,070 2,794 — 61,864 Software services 85,459 7,808 — 93,267 Maintenance 175,180 16,540 — 191,720 Appraisal services — 20,825 — 20,825 Hardware and other 6,342 — 1,784 8,126 Intercompany 2,899 — (2,899) — Total revenues $ 367,724 $ 50,034 $ (1,115) $ 416,643 Depreciation and amortization expense 10,569 1,028 2,189 13,786 Segment operating income 85,045 9,428 (20,750) 73,723 Capital expenditures 22,457 250 3,438 26,145 Segment assets $ 161,923 $ 16,244 $ 266,321 $ 444,488 Enterprise Appraisal and Tax Software Software Solutions As of and year ended December 31, 2012 Solutions and Services Corporate Totals Revenues Software licenses and royalties $ 32,060 $ 1,868 $ — $ 33,928 Subscriptions 43,319 1,299 — 44,618 Software services 76,103 7,305 — 83,408 Maintenance 155,290 16,561 — 171,851 Appraisal services — 22,543 — 22,543 Hardware and other 5,297 — 1,659 6,956 Intercompany 2,249 — (2,249) — Total revenues $ 314,318 $ 49,576 $ (590) $ 363,304 Depreciation and amortization expense 9,929 958 1,824 12,711 Segment operating income 71,135 8,498 (16,889) 62,744 Capital expenditures 5,469 3,382 1,865 10,716 Segment assets $ 134,160 $ 18,464 $ 186,042 $ 338,666 Notes to Consolidated Financial StatementsNotes to Consolidated Financial Statements Tyler Technologies 2013 Annual Report 61 Enterprise Appraisal and Tax Software Software Solutions As of and year ended December 31, 2011 Solutions and Services Corporate Totals Revenues Software licenses and royalties $ 30,194 $ 2,400 $ — $ 32,594 Subscriptions 30,400 760 — 31,160 Software services 60,840 8,777 — 69,617 Maintenance 130,999 15,499 — 146,498 Appraisal services — 23,228 — 23,228 Hardware and other 5,199 — 1,095 6,294 Intercompany 2,103 — (2,103) — Total revenues $ 259,735 $ 50,664 $ (1,008) $ 309,391 Depreciation and amortization expense 8,516 650 1,510 10,676 Segment operating income 56,856 9,786 (15,669) 50,973 Capital expenditures 11,143 137 998 12,278 Segment assets $ 119,595 $ 20,535 $ 155,261 $ 295,391 Reconciliation of reportable segment operating income to the Company’s consolidated totals: 2013 2012 2011 Total segment operating income $ 73,723 $ 62,744 $ 50,973 Amortization of acquired software (2,078) (1,888) (1,125) Amortization of customer and trade name intangibles (4,517) (4,279) (3,331) Other expense, net (1,309) (2,709) (2,404) Income before income taxes $ 65,819 $ 53,868 $ 44,113 (16) QUARTERLY FINANCIAL INFORMATION (unaudited) The following table contains selected financial information from unaudited statements of income for each quarter of 2013 and 2012. 2013 2012 Quarters ended Dec. 31 Sept. 30 June 30 Mar. 31 Dec. 31 Sept. 30 June 30 Mar. 31 Revenues $ 110,735 $ 107,021 $ 103,088 $ 95,799 $ 95,368 $ 93,845 $ 91,368 $ 82,723 Gross profit 52,767 49,549 47,042 43,845 44,640 44,944 40,699 37,419 Income before income taxes 19,062 17,572 15,053 14,132 15,035 17,810 11,682 9,341 Net income 10,512 11,049 9,047 8,493 9,376 10,832 7,105 5,681 Earnings per diluted share 0.30 0.32 0.26 0.25 0.28 0.33 0.22 0.17 Shares used in computing diluted earnings per share 35,348 34,764 34,290 33,948 33,421 32,986 32,769 32,530 Performance Graph Tyler Technologies 2013 Annual Report62 The following table compares total Shareholder returns for Tyler over the last five years to the Standard and Poor’s 500 Stock Index and the Standard and Poor’s 600 Information Technology Index assuming a $100 investment made on December 31, 2008. Each of the three measures of cumulative total return assumes reinvestment of dividends. The stock performance shown on the graph below is not necessarily indicative of future price performance. COMPARISON OF CUMULATIVE FIVE YEAR TOTAL RETURN 2008 2009 2010 2011 2012 2013 100 166.19 173.29 251.34 404.34 852.50 100 126.46 145.51 148.59 172.37 228.19 100 148.16 184.60 177.17 198.48 287.61 $900 $800 $700 $600 $500 $400 $300 $200 $100 $0 Tyler Technologies, Inc. S&P 500 Index S&P 600 Information Technology Index Corporate Officers John M. Yeaman Chairman of the Board John S. Marr Jr. President and Chief Executive Officer Dustin R. Womble Executive Vice President Brian K. Miller Executive Vice President Chief Financial Officer and Treasurer H. Lynn Moore Jr. Executive Vice President General Counsel and Secretary Matthew B. Bieri Vice President Chief Information Officer Samantha B. Crosby Vice President Chief Marketing Officer Robert J. Sansone Vice President Human Resources W. Michael Smith Vice President Chief Accounting Officer Terri L. Alford Controller Division Leadership Andrew D. Teed President Appraisal & Tax and ERP & School Divisions Bruce Graham President Courts & Justice Division Christopher P. Hepburn Senior Vice President ERP & School Division Brett Cate President Local Government Division 1 Executive Committee 2 Audit Committee 3 Nominating and Governance Committee 4 Compensation Committee Note: Richard E. Peterson Jr., president, ERP & School Division, retired on December 31, 2013. Design by Eisenberg And Associates Board of Directors John M. Yeaman1 Chairman of the Board Tyler Technologies, Inc. John S. Marr Jr.1 President and Chief Executive Officer Tyler Technologies, Inc. Donald R. Brattain2,3 President Brattain and Associates, LLC J. Luther King Jr.2,4 Chief Executive Officer Luther King Capital Management G. Stuart Reeves2,3,4 Retired Executive Vice President Electronic Data Systems Corporation Michael D. Richards3,4 Chief Operating Officer Republic Title of Texas, Inc. Dustin R. Womble1 Executive Vice President Tyler Technologies, Inc. Corporate Headquarters 5101 Tennyson Parkway Plano, Texas 75024 972.713.3700 www.tylertech.com Transfer Agent and Registrar American Stock Transfer & Trust Company 59 Maiden Lane Plaza Level New York, New York 10038 800.937.5449 718.236.2641 fax www.amstock.com Independent Registered Public Accounting Firm Ernst & Young LLP Dallas, Texas Annual Meeting of Stockholders Our annual meeting will be held on Wednesday, May 14, 2014, at 9:30 a.m. CDT at The Westin Stonebriar, 1549 Legacy Drive, Frisco, Texas 75034. Certifications We submitted an unqualified Annual CEO Certification to the New York Stock Exchange (NYSE) as required by the NYSE Listed Company rules. We also filed with the Securities and Exchange Commission the Chief Executive Officer and Chief Financial Officer certifications required under Section 302 of the Sarbanes-Oxley Act as exhibits to our Annual Report on Form 10-K. Investor Information Our annual report on Form 10-K is available on the company’s website at www.tylertech.com. A copy of the Form 10-K or other information may also be obtained by contacting the Investor Relations Department at corporate headquarters. Investor Relations 972.713.3714 info@tylertech.com Common Stock Listed on the New York Stock Exchange under the symbol “TYL” 4 5101 Tennyson Parkway | Plano, TX 75024 972.713.3700 | www.tylertech.com City of Oshkosh, Wisconsin Request for Proposals For Enterprise Resource Planning (ERP) Software System & Implementation Issued September 15, 2014 City of Oshkosh P.O. Box 1130 Oshkosh, Wisconsin 54903-1130 www.ci.oshkosh.wi.us 2 REQUEST FOR PROPOSALS Enterprise Resource Planning (ERP) Software System & Implementation I. GENERAL INFORMATION AND INSTRUCTIONS General Information The City of Oshkosh, Wisconsin, (herein referred to as the City) hereby solicits proposals for purchase and implementation of an Enterprise Resource Planning (ERP) software system. This RFP provides proposers with the relevant operational, performance, application, and architectural requirements of the system. The system should include all of the following comprehensive, fully integrated systems listed in Attachment E. The City of Oshkosh is lead by a Council-Manager form of government. It acts as the taxing authority, provides police & fire protection, street maintenance and improvement, parks and general administrative services. The City of Oshkosh manages and tracks the municipal procurement process from requisition through payment of invoices. In addition, the City owns and operates a water and sewer system and a storm drainage system. The City of Oshkosh has a 2010 census of 66,083, with 20,271 residential, 2,471 commercial, 139 industrial, 79 municipal & 245 public utility accounts. It is the responsibility of the Proposer to carefully read the entire Request for Proposals (hereinafter referred to as the RFP) which contains all provisions applicable to successful completion and submission of a proposal. All proposals, sealed and marked “PROPOSAL FOR ERP SOFTWARE SYSTEM”, must be received by the City of Oshkosh, City Clerk’s Office, 215 Church Avenue, PO Box 1130, Oshkosh, WI 54903-1130 by 10:00 a.m. CST on November 11, 2014. Any proposal received after this time will not be considered. Responses received after the deadline cannot be considered and will be returned unopened. The City is not responsible for delays occasioned by the U.S. Postal Service, the internal mail delivery system of the City, or any other delivery method employed by the Proposer. Proposals should be mailed or delivered (in a sealed envelope, marked “PROPOSAL FOR ERP SOFTWARE SYSTEM” in the lower left corner) to: City of Oshkosh City Clerk’s Office P.O. Box 1130 Oshkosh, WI 54903-1130 The outside of the Proposal envelope shall also identify the name of the Proposer. 3 Guidelines This RFP is a request to purchase or otherwise acquire rights to use software and professional services required to implement/train new users on the software. As such, proposals from implementation firms along or software firms without an implementation mechanism will not be considered. The City will consider only software firms, not their implementation partners or third- party partners to be the primary point of contact throughout the proposal process. If all products and services are not provided by one firm, firms are expected to partner to submit a joint proposal. Following contract negotiations, the primary implementation firm will be the prime point of contact for the project, and once the ERP System is implemented, the City will consider the primary implementation firm the single point of contact for service-related issues. The software firm must be the entity providing the responses to the detailed functional requirements. If the implementation firm disagrees with how a software firm expects to meet a specific requirement, it should use the comment field (or a separate document, if necessary) to note the disagreement. Both the software and implementation firms(s) will be required to warrant the license and services agreement to the requirement responses. For this reason it is important that the requirement matrix be evaluated carefully. In the event that a software firm submits multiple proposals using different implementation firms, it must keep its pricing and response to the functional requirements the same across all of the proposals. It is the responsibility of the software firm to ensure that pricing and response are represented in the exact same manner in all proposals. Proposals with variance among the software proposer’s submitted pricing or requirements responses may be eliminated from further consideration at the discretion of the City. The City reserves the right to reconsider any proposal submitted at any stage of the procurement. It also reserves the right to meet with select proposers at any time to gather additional information. Furthermore, the City reserves the right to delete or add functionality (i.e., modules and components) until the final contract signing. All third-party solutions proposed as part of this package are subject to the same guidelines of this RFP, unless otherwise stated. The software firm will serve as the prime contact for all work related to this RFP and the procurement process. The City expects to enter separate agreements for software and professional services (if implementation firm is different from the software firm). If the City is not satisfied with the qualifications, cost or experience of the implementation firm or any third-party solution, it reserves the right to request that the software firm implement its own software or propose a new implementation firm. If the City is not satisfied with the quality or experience of the implementation firms being proposed, the City also reserves the right to select the software product as the only part of this procurement, and to issue another RFP for implementation services. All firms submitting proposals, by virtue of doing so, are recognizing that the City retains this option. 4 The City reserves the right to reject any or all proposals and to waive technicalities and informalities when such waiver is determined to by the City to be in the City’s best interest. It is neither the City’s responsibility nor practice to acknowledge receipt of any proposal. Proposals may be withdrawn by notice to the party receiving proposals of the place designated for the receipt of proposals any time prior to the opening. Such notice shall be in writing over signature of the proposer, or by e-mail. If by e-mail, written confirmation over the signature of the proposer shall be mailed and postmarked on or before the date and time set for receipt of proposals, and it shall be so worded as not to reveal the amount listed in the original proposal. The City will not be liable for any costs incurred by the proposer in responding to this RFP or participating in the RFP process. Such costs are the sole responsibility of the proposer. When responding to this RFP, please follow all instructions carefully. Please submit proposal contents according to the outline specified and submit all hard copy and/or electronic documents according to the instructions. Failure to follow these instructions may be considered an unresponsive proposal and may result in immediate elimination from further consideration. Pricing Pricing must be submitted on a “not-to-exceed” basis. For implementation services under a not-to-exceed arrangement, the City compensates the proposer on the basis of major deliverables to be identified in the development of the state of work. If there is a “residual” amount at the end of the project (the difference between total implementation contract amount and tactual totals costs), the City will retain the difference by not spending the funds. In contracts, if the implementation cost ceiling is exceeded, the proposer is to finish the work at no additional compensation, unless the City does not meet specific assumptions outlined in the proposal. Proposers are to provide all work effort needed to meet the detailed functional requirements as part of their proposal on the Responses to Functional/Technical Requirements: Price Proposal Form attached as Attachment E. Finally, the City reserves the right to ask proposers to resubmit proposal pricing on either a fixed fee basis or a combination of fixed and not-to-exceed basis. All firms submitting proposals are encouraged to submit the most competitive proposals possible as the failure to do so may lead to elimination prior to software demonstrations. All prices, costs, and conditions in the proposal shall remain firm and valid for acceptance for 180 days after the due date of this solicitation to allow evaluation and award determination, unless indicated otherwise. Once awarded, prices shall remain firm for the duration of the contract. Prices MUST also be free of federal, state and local taxes otherwise imposed by a governmental body, and applicable to the material on the proposal. 5 Timeline The following schedule provides anticipated dates for events and deadlines for this RFP. This timeline may change in accordance with the City’s needs or unforeseen circumstances. RFP Issued September 15, 2014 Technical Questions/Inquiries Due October 6, 2014 Addendum Issued (if required) October 15, 2014 RFP Deadline November 11, 2014- 10 A.M. CST Complete Initial Evaluation November-December, 2014 Demonstrations January-February, 2015 Final Award Notification Spring, 2015 Communication Verbal communication shall not be effective unless formally confirmed in writing by the specified procurement official in charge of managing this RFP process. In no case shall verbal communication govern over written communication. Vendors’ inquiries, questions and requests for clarification related to this RFP must be submitted in writing, via email to: Jon Urben, General Services Manager jurben@ci.oshkosh.wi.us The deadline for questions and/or clarifications of this RFP is October 6, 2014. Errors and omissions in this RFP and enhancements: Proposers shall bring to the City any discrepancies, errors or omissions that may exist within this RFP. With respect to this RFP, proposers shall recommend to the City any enhancements that might be in the best interests of the City. These recommendations must be submitted in writing via email and be received by October 6, 2014. Inquiries about technical interpretations must also be submitted in writing via email and be received by October 6, 2014. Applicable terms and conditions herein shall govern communications and inquiries between the City and proposers as they relate to this RFP. Rights to Submitted Material It shall be understood all proposals, responses, inquiries or correspondence relating to or in reference to this RFP, and all reports, charts, and proposal or referencing information submitted in response to this RFP shall become the property of the City, and will not be returned. The City will use discretion with regards to the disclosure of proprietary information contained in any response, but cannot guarantee information will not be made public. The City is a governmental entity which is subject to the Wisconsin Open Records laws. Therefore, all proposals and other materials submitted to the City may be considered a public record accessible to anyone who may request such information. If you believe 6 that any information or document that you may submit to the City is not, or should not be, a public record, then you must contact the City before it comes into the possession of the City. The City will be glad to answer questions about the applicability of open record laws and to come to some type of resolution, if possible, regarding particular circumstances. Any ongoing discussions regarding open records will not extend the deadline for submitting proposals. Rules, Regulations, Licensing Requirements The City is relying on the expertise of the Proposer in providing these professional services. The Proposer shall comply with all laws, ordinances, and regulations applicable to the services contemplated herein. Proposers are presumed to be familiar with all Federal, State and local laws, ordinances, codes and regulations, including GASB that may in any way affect the services offered. The Proposer understand that Federal laws, regulations, policies, and related administrative practices applicable to services described in this RFP on the date the services commence may be modified from time to time. Proposer agrees that the most recent of such Federal requirements will govern the administration of this service at any particular time, except if there is sufficient evidence in the RFP of a contrary intent. Such contrary intent might be evidenced by express language in this RFP, or a letter signed by an authorized Federal Administrator, the langue of which modifies or otherwise conditions the text of a particular provision of this RFP. Likewise, new Federal laws, regulations, policies and administrative practices may be established after the date any subsequent agreement that has been executed and may apply. Contractual Agreement The City will notify all proposers upon completion of the evaluation process. The City will begin negotiating with the proposer whose proposal best meets the proposal requirements. The scope of services defined in this RFP, the cost scheduled supplied by the proposer, along with any subsequent scope addenda/amendments, will become the scope of the work for the proposer. Beyond this scope and budget, the contractual agreement will require the proposer to provide proof of required insurance coverage, naming the City as an additional insured, to the City prior to the start of work. A copy of the City’s professional liability insurance requirements is attached as Attachment B. Upon signature by designated City officials, the agreement will become binding and the proposer may begin to execute its scope of work. The entity submitting the successful proposal will be expected to enter into a contract substantially similar to the contract attached as Attachment C. The proposer shall be solely responsible for services performed for or decisions rendered to covered individuals by the proposer. The proposer shall indemnify and hold the City of Oshkosh harmless from any and all claims, lawsuits, settlements, judgments, costs, penalties, expenses, attorney fees, or liabilities incurred as a result of determination of medical necessity by the proposer. The proposer shall maintain, at its sole cost and expense, in full force and effect during the term of this agreement, a valid current policy or policies of general and professional 7 liability insurance with an insurer acceptable to the City of Oshkosh, whose acceptance shall not be unreasonably withheld, insuring its proposer, agents and employees against any liabilities for any services provided or failed to be provided for any negligence, and/or judgment. The policies shall contain a provision that such coverage not be determined, or reduced or materially changed without at least a thirty (30) day written notification to the City of Oshkosh. Coverage must remain in effect two years after termination of the contract. Protest Procedure Any proposer who wishes to protest the proposed award of a contract must submit a detailed statement in writing of the grounds for protest and any supporting documentation to the General Services Manager prior to the contract award. The appealing party must be an actual or prospective proposer whose direct economic interest would be affected by the award, or failure to award the contract. Award of the contract will be suspended temporarily unless this action will cause undue harm to the City of Oshkosh. The General Services Manager shall issue a determination upon the protest and notify the protesting party. Minor errors in proposal procedures shall not be grounds for delaying or prohibiting approval of the contract. II. PROJECT SCOPE The City of Oshkosh seeks proposals for a Commercial off-the-Shelf (COTS) Suite designed for an enterprise environment and City of Oshkosh requirements. The ERP will assist the organization in accomplishing its mission of managing enterprise resources in order to provide The City of Oshkosh services that meet the operational and municipal requirements. The ERP Suite must sustain the organization’s finance functions. Listed below are minimum features required: • Sustain a minimum of 500 users and sustain a minimum of 100 concurrent users. • Sustain a minimum 12 physically connected locations via pre-existing 1 GB fiber optic backbone. • The City of Oshkosh supports: accounts payable, accounts receivable, core financials, budgeting/financial forecasting, capital improvement programs, procurement, cash and treasury management, inventory, fixed assets, budgeting, project tracking and accounting, water utility billing, real estate & personal property taxation, human resources, payroll, benefits administration, workflow reporting and approval. • Operating environment: Microsoft Windows 2003 & 2008 R2 with a Microsoft SQL (2005 & 2008) database backend. The ERP Suite must provide the Oshkosh Common Council, City Manager, Finance Director, department heads, division supervisors & citizen’s strategic and tactical view of municipal performance. The integrated capabilities are: • Core Financials components to support the accounting and business activities. • Ability to develop and track budgeting related to capital improvement programs and their associate projects. 8 • Provide the capability for financial reporting, budgeting, and asset management built around sites or locations in a hierarchical Suite to enable comprehensive, flexible reporting and management based upon sites, departments, division and special funds. • Workflow functions to facilitate the automation of business processes during which documents, information, and/or tasks are passed from one participant to another for action or approval, according to a set of procedural rules. • Provide capability for budgeting and forecasting at all organizational levels, against single accounts, sites, departments, divisions or across other ranges. Budgeting and forecasting can be complemented with Microsoft Excel® spreadsheet import and export capabilities. • Automatic creation from prior year’s financial or statistical data. • Multiple budgets may be defined, e.g., original, revised, rolling, etc. • Mass creation for rapid generation of budgets. • Ability to integrate with pre-defined, company-specific spreadsheets • Optional workflow tracking of budget information collection process. The Suite must be able to support the processing of 100,000 invoices annually and perform the following tasks: • Receive manual or electronic invoices. • Provide invoice reconciliation and auto-match capability. • Automate the payment and accrual process. • Electronically collect counts of invoices received, processed, notification for un- reconciled invoices that are approaching invoice due date and/or aged. • Automatic launching of invoice and documentation that supports the reconciled invoice. • Electronically identify matching PO receivers by invoice and receiver line item for each invoice by department and/or site with receiver data from the purchasing module. • Electronically calculate and identify discrepancies between invoice quantities and dollar amounts and those on the receivers/purchase orders. • Ability to launch various internal and external forms based on invoice and/or receiver criteria and route forms via email to vendors and/or departments/divisions. 9 Listed below is a summary of the City’s current modules, vendors, versions and replacement status: Module Current Vendor Version Replace (Yes, No, Optional) Accounts Payable Harris Evolve 11.xx Yes Accounts Receivable Harris Evolve 11.xx Yes Assessments/Appraisals Tyler iasWorld 4.0.33.1 No Budgeting Harris Evolve 11.xx Yes Capital Improvements Program Excel Spreadsheets Yes Cash Receipting In-House SQL 1.0.2.4 Yes Fixed Assets Excel Spreadsheets Yes General Ledger Harris Evolve 11.xx Yes Human Resources Tyler Munis 9.4 Yes Parking Tickets In-House SQL 11.2.840 7 Yes Payroll Tyler Munis 9.4 Yes Project & Grant Accounting Excel Spreadsheets Yes Purchasing Harris Evolve 11.xx Yes Special Assessments In-House SQL 1.3.2 Yes Tax Billing-Personal Property In-House SQL 1.0.3.8 Yes Tax Billing-Real Estate In-House SQL 1.0.3.8 Yes Utility Billing Harris Evolve 11.xx Yes Utility Work Order/Inventory Cartegraph 8.3 Yes III. ERP SYSTEM REQUIREMENTS AND SPECIFICATIONS Attachment E: Responses to Functional/Technical Requirements: Price Proposal Form lists the requirements and specifications the City of Oshkosh has identified for inclusion in the desired system. IV. SUBMITTAL REQUIREMENTS Proposal Response, Organization & Format The City requires 2 hard copies and 1 digital copy. Proposals should be typed and submitted on 8.5 X 11 inch paper bound securely. Proposals should be organized and presented in the order and by the number assigned in the RFP. Each individual attachment should be separated by tabs or otherwise clearly marked. Each response must include a transmittal letter with the following elements: 10 1) Indicate whether the bidder intends to adhere to the provisions described in the RFP without modification, or that the bidder has provided detailed written exceptions (the City strongly recommends that any bidder discuss with the City any proposed exceptions before submitting a proposal). 2) Identify the submitting organization. 3) Identify the person, by name and title, authorized to contractually obligate the organization. 4) Identify the contact person responsible for this response, specifying name, title, mailing address, phone, fax and email address. 5) Acknowledge the proposal is considered firm for one hundred and eight (180) days after the due date for receipt of proposals or receipt of the last best and final offer submitted. 6) Acknowledge that provided cost estimates include all proposed services (except those that were not required in the RFP or Contract, but might be proposed as optional by the bidder). 7) Provide the original signature of the person authorized to contractually obligate the organization. Oral Presentations- Scripted Software Demonstrations Selected proposers will be required to make oral presentations and scripted software demonstrations to supplement their proposals. The City will make every reasonable attempt to schedule each presentation at a time which is agreeable to the proposer. Failure of a proposer to conduct a presentation to the City on the date scheduled may result in rejection of the proposer’s proposals. Site Visits with Government Users in Live Environment The City may conduct site visits to local government users of selected proposers in order to observe the software in a live operating environment. This would be done after the scripted software demonstrations have been completed. Proposals shall provide a straightforward, concise explanation of the proposer’s capability to satisfy all of the elements and requirements of the RFP both in content and in sequence. Each proposal shall be submitted in the request format and provide all pertinent information. One original copy of each proposal shall be signed in ink by a duly authorized officer of the company. A proposal will not be considered if it modifies or fails to conform to each of the requirements set forth in this Section. The proposal must conform to the following outline and contain all requested information in the same sequential order as outlined in this Section. Proposals deviating from the proposal format and organization may be removed from further consideration. So that competing proposals can be compared equally, proposers must assemble their proposals in strict adherence to the layout requirements. Failure to follow all proposal layout requirements may result in disqualification due to non-responsiveness. Each proposer is required to submit the proposals in a sealed package. Proposals should be prepared as simply as possible and provide a straightforward, concise description of the proposed products and serves to satisfy the requirements of the RFP. Attention should be given to accuracy, completeness, and clarify of content. All parts, pages and figures 11 should be numbered and clearly labeled. Each proposal should be organized into the following major sections: 1.0 Background Material (Title Page, Letter of Transmittal) 2.0 Executive Summary 3.0 Scope of Services 4.0 Company Background 5.0 Proposed Application Software and Computing Environment 6.0 Implementation Plan 7.0 Training Plan 8.0 Maintenance and Support Program 9.0 Client References 10.0 Exceptions to the RFP 11.0 Sample Documents 12.0 RFP Submittal Checklist 13.0 Responses to Functional/Technical Requirements: Price Proposal Form 1.0 Background Material The Title Page must show the RFP title, name of the Proposer, address, telephone number, email address and the date. Letter of Transmittal, executed by an authorized representative, and Table of Contents must also be included. 2.0 Executive Summary The Executive Summary should be limited to a brief narrative summarizing the proposal. The summary should contain as little technical jargon as possible and should be oriented toward non-technical personnel. 3.0 Scope of Services This section should include a general discussion of the Proposer’s overall understanding of the project and the scope of work proposed. ▪ Within this section Proposer’s shall list and describe all proposed modules. Proposer must explicitly state the software module name and versions that are proposed as part of this ERP solution. All modules should also be listed on the Responses to Functional/Technical Requirements: Price Proposal Form (Attachment E). ▪ All functional requirements that are responded to with a positive response (indicated with a “Y” on the ERP Requirements & Price Proposal Form) will be considered to be in the scope. ▪ What are the proposed third-party applications? ▪ The proposers should provide written proof that it provides full technical support for third-party software. ▪ Proposers must include the price for any third-party products specified. ▪ Please list all modifications/customizations/enhancements to the software that have been proposed as part of scope. Modifications listed here should accommodate all functional requirements on the Responses to Functional/Technical Requirements: Price Proposal Form (Attachment E) listed as “M”. 12 4.0 Company Background In this section Proposers must provide a general overview of the company responding to the RFP, including any subcontractors and/or third parties. Please provide the following information within this Section: ▪ Prime Software Firm and Implementation Firm Overview: Please provide an overview of the Company(s)(including sub-contractors) represented in this response. In the case of teamed responses please reply to all questions for each company involved. In addition to your overview please address the following items: o Describe the proposing companies’ structure (corporation, partnership, or privately held). o Describe the number of years the companies in this proposal have been in software and professional services for each module. o State the location of the primary office(s) from which this engagement will be serviced and the range of activities performed at that office. ▪ Prime Software Firm and Implementation Firm Resources: The Proposer should include information with regard to the organization’s resources that it deems advantageous to the successful provision of the requested products and services. This might include management capabilities and experience, technical resources, and operational resources not directly assigned to this project, but available if needed. ▪ Shared History: Please provide a history of the previous work conducted individually and as a team by the software and implementation firms included in this proposal, including third party software providers and sub-contractors. ▪ Financial Information: For all companies proposed in this proposal (including sub-contractors), provide an overview of the company’s Financial Stability in terms of the past year, 3 years, 5 years and finally 10 years. In addition to your overview please address the following items: o Please provide audited Financial Statements for the last fiscal year available. o Please describe any litigation or pending litigation arising from any of the firms’ performance in the last 5 years. o Please describe any investigations or any of the proposing firms by state or federal regulatory or law enforcement agencies in the last 10 years. o Please describe the amounts and types of professional liability insurance and the name of the carrier. Please provide a copy of the certificates of insurance. ▪ Prime/Sub Relationship Structure and Project Resources Resumes: Please provide a detailed description of the prime/sub relationship structure being proposed for this project. Please provide a resume for each proposed 13 team member for all implementation firms and subcontractors in this proposal. The City expects that key individuals will provide services on this project from start to finish to ensure continuity and success. Elaborate on your willingness and ability to maintain key personnel dedicated to the project, both in terms of reassignment within your organization and retaining them generally as employees. Additionally, if there is a change in key personnel on the project, the City requires approval of these changes. Further, any ramp up time and costs incurred due to transitioning personnel will not affect the project timeline nor the overall cost to the City. ▪ Subcontractor Information: The Proposer should list any subcontractor’s name, address and state of incorporation that are proposed to be used in providing the required products and services. The subcontractor’s responsibilities under the proposal, anticipated dollar amount for subcontract, the subcontractor’s form of organization, and an indication from the subcontractor of a willingness to carry out these responsibilities are to be included for each subcontractor. This assurance is no way relives the proposer of any responsibilities in responding to this RFP or in completing the commitments documented in the proposal. 5.0 Implementation Plan Implementation Methodology & Approach Please provide an overview of your implementation methodology, including a description of your approach including project initiation/planning, design, configuration, development, testing, training, conversion, and post go-live support. In addition to your overview please address the following items: ▪ Describe how the implementation plan has been designed in such a way to minimize any negative impacts on existing City operations and responsibilities. ▪ Describe how the implementation plan has been designed to provide for the deployment and use of management, supervisory or other key personnel during the project. (The detailed plan below should show all management, supervisory and key personnel that will be assigned to manage, supervise and monitor the project). ▪ Describe how the implementation plan has been designed in such a way to minimize the start-up time of the project. ▪ Describe specific actions the City could take to support an accelerated start-up. Describe how the implementation plan makes use of subcontractor(s), if any, on this project. ▪ Describe how the implementation work plan will be maintained and updated throughout the course of the project. ▪ Describe your experiences with organizations that have successfully prepared for, implemented and supported your solution. Additional for each experience describe what items/actions led to the organization being prepared. ▪ Describe your experiences with organizations that have not been successful or have struggled in preparing for, implementing and supporting your solution. 14 Additional for each experience describe what items/actions cause the failure of struggle, and how you would recommend the City prepare to ensure success. Implementation Work Plan & Deliverables Please provide a detailed work plan for each phase of the implementation. The work plan section should include the following: ▪ Phases and major activities o Description of each phase (e.g. system design, modification, installation, implementation, technical training, user training and acceptance). o Description of major activities within each phase showing all significant tasks required for successful completion of the Phase objectives. ▪ Detailed timeline (by Gantt, Pert or other chart) o Timeline details for all phases indicating the start dates and end dates and milestones. o Timeline details for all major activities indicating the start dates and end dates and milestones. o Timeline details for all deliverables indicating the start dates and end dates and milestones. ▪ Resource allocations o Identification of hours by resource (City, proposer and any sub- contractors) for all phases. o Identification of hours by resource (City, proposer and any sub- contractors) for all major activities. ▪ Deliverables o Comprehensive inventory of project deliverables by phase. o Detailed description of all deliverables (e.g. process documentation, etc.) o Identification of major dependencies for each deliverable. o Detail the deliverable acceptance period for each deliverable. o Provide samples of all major deliverables proposed. Implementation Project Team Please provide a detailed description of the project organization strategy for the proposed work plan. As part of your description, please address the following items: ▪ Detailed description of the team structure and roles for all firms involved (including sub-contractors) and the City. ▪ Detailed description of the responsibilities for each role defined in the team structure for all firms involved (including sub-contractors) and the City. ▪ Detailed description of the number of personnel and the estimated hours for all firms involved (including sub-contractors) and the City. Project Management Describe in detail your proposed project management approach for this proposal. Include the following items: ▪ Describe what status reporting and frequency of communication will be proposed for the City. 15 ▪ Describe the project coordination, documentation, and communication tools you will provide for the project (e.g. Sharepoint). ▪ Describe the approach that will be used to manage scope and changes during the course of the project. ▪ Describe the approach that will be used to assess go-live readiness. Testing Approach Describe in detail your proposed testing approach for this proposal. Include the following items: ▪ Describe the different aspects of testing included within your approach (e.g. unit, integration, security, parallel, stress, performance, regression, etc.). ▪ Describe the testing environment recommended for testing. ▪ Describe the user acceptance testing recommended. 6.0 Training Plan The Proposer must provide a detailed plan for training. Include the following items: ▪ Describe how a training environment would be created and maintained. ▪ Describe your proposed approach to training for this project (i.e. on site at the City vs. at Proposer facilities, train the trainer vs. train all users), training materials, and methodologies. Please include all software (including third party products) proposed in this proposal. ▪ Identify whether there is instructor-led, classroom training available. ▪ Identify whether there is computer-based training available. If so, identify what is included in this proposal. ▪ Identify what other tools are optionally available to the City. ▪ Provide a list of the courses proposed, with the course name, description and hours. ▪ Describe in detail how training regarding the operation and use of the ERP will be delivered to each subset of the end-user community, and what tools and materials will be employed. ▪ Describe the time commitment required of each group of trainees. ▪ Describe whether or not custom training materials will be provided by the proposer based upon the City’s configurations, modifications and process decisions during the implementation. If custom training material is not recommended to be provided by the proposer (i.e. the City is responsible for custom training materials), please estimate the cost for the proposer to create the custom training materials. ▪ Describe your technical training and knowledge transfer approach to IT personnel to support the ERP hardware, if necessary. ▪ Describe the proposed methodology and approach for ongoing training. Address the procedures for training new users and for delivering refresher training to existing users. ▪ Identify whether your system includes a user reference manual and a technical reference manual. ▪ Identify whether the technical reference manual includes descriptions and diagrams of the relational database structure, tables and elements within the 16 database. Please provide a sample of descriptions and diagram the relational database structure, tables and elements within the database. ▪ Identify whether all manuals are available in electronic format. ▪ Identify whether all manuals are updated with each new release of software. ▪ Identify whether online help is provided. ▪ Identify whether online tutorials are provided. ▪ Describe whether and how the help feature can be called from the specific transaction being processes (field sensitive help). ▪ Provide a sample training plan relevant to this implementation. ▪ Describe the benefits and risks to your proposed training strategy. 7.0 Maintenance and Support Program The proposal must specify the nature of any post-implementation and on-going support provided by the proposer including: ▪ Describe the maintenance and support package you are proposing to the City. o Fully describe the terms and conditions of your annual software maintenance agreements. o Please include a copy of your standard agreement. ▪ Describe why this is the best option for the City. o Describe the ongoing support services provided, including hours of operation, procedures, and problem escalation measures available. o Describe the ratio of customers to support personnel. o Describe your customer support locations and hours of operation in terms of CST/DST. o Describe the committed support time for support questions. o Describe your average response time for support questions. o Describe your range of response time for support questions. o Describe a typical customer support call based on an application error. o Describe a typical customer support call based on a data error (interface not working, data not replicating). o Describe a typical customer support call based on report not working properly or displaying incorrect data. o Describe the follow-up process with a client after resolution of a help desk call. o Identify whether the support is available seven (7) days a week, 24 hours a day. If so, identify the cost above your recommended support. o Describe your support staff’s ability to “log in” to the customer system for certain types of support. Explain the process and the security supporting the process. o Identify whether onsite support is available if needed. Describe how onsite support costs are handled. o Describe the available web-based support options. o Describe any web-based reporting tools available to review open/pending support issues. ▪ Describe the other maintenance and support packages available to the City that are not proposed (including Helpdesk type support). 17 8.0 Client References The City considers references for both the software and implementation services to be important in its decision to award a contract. Using the Reference Form (Attachment A) provided please provide three (3) public sector client references. At least one of the references should be similar in size to the City and have a similar implementation scope. Regional clients are preferred but the City understands this may be difficult and an inability to provide regional references will not negatively impact the evaluation process. If the software proposer is different from the implementation firm, three (3) references should be provided for each. Lastly, please provide three (3) references for any third- party software firms. All references should be for fully completed (live) installations. 9.0 Exceptions to the RFP All requested information in this RFP must be supplied. Proposers may take exception to certain requirements in this RFP. All exceptions shall be clearly identified in this section and a written explanation shall include the scope of the exceptions, the ramifications of the exceptions for the City, and the description of the advantages or disadvantages to the City as a result of the exceptions. The City, at its sole discretion, may reject any exceptions or specifications within the proposal. 10.0 Sample Documents Proposers should include sample copies of the following documents. Although they are sample forms, the documents must contain all material terms so that the City can fairly evaluate the proposer’s forms. ▪ Sample software licensing agreement. ▪ Sample maintenance agreement. ▪ Sample implementation services agreement. ▪ Sample standard reports. ▪ Sample documentation (user guides, training materials, etc.). ▪ Sample implementation project plan. 11.0 RFP Submittal Checklist Proposers should review the RFP Submittal Checklist (Attachment D) and must include this with their proposal. 12.0 Responses to Functional/Technical Requirements: Price Proposal Form Proposers must complete and submit the Responses to Functional/Technical Requirements: Price Proposal Form (Attachment E) in a separate and sealed packet according to the format provided. The City reserves the right to contact proposers on price and scope clarification at any time throughout the selection process and negotiation process. It is important that proposers use the format presented in this RFP even if another format is provided. Attachment E should include the costs for all software, services, and additional costs to acquire all software and services referenced in each of the individual modules, including third party prices. In addition, Attachment E should also include the total costs of all software, services and additional costs to acquire all software and services referenced within the ERP, including third-party prices. If third- 18 party products or services are included, do not provide separate versions for each third- party product. Do NOT use “To Be Determined” or similar annotations in the lines for each of the functional/technical requirements listed on Attachment E. The City is asking proposers to estimate prices for all categories with the understanding that they may have to make assumptions. Such assumptions should be stated. Proposers may submit additional pricing sheets as an addendum Attachment E; however the cost template within Attachment E MUST be completed. The City may award a purchase contract, based on initial offers received without discussion of such offers. A proposer’s initial offer should, therefore, be based on the most favorable terms available. It may also required revised pricing offers from such proposers, and make an award and/or conduct negotiations thereafter. V. PROPOSAL SELECTION AND AWARD PROCESS Overview Submitted proposals will be evaluated by the Evaluation Team. During the evaluation process, the City reserves the right, where it may serve the best interest of the City, to request additional information or clarification from firms submitting proposals. Once received, the proposals will first be reviewed to determine if requirements for the RFP are met and all requested documentation is present. Failure to meet requirements will result in the proposal being rejected. In the event all proposers do not meet one or more of the mandatory requirements, the City reserves the right to continue the evaluation of the proposals and to select the proposal which most closely meets the requirements specified in this RFP. The City will use a competitive process based upon selecting a certain number of proposers to compete against each other at different levels (stages) of the process. The City recognizes that if a proposer fails to meet expectations during any part of the process, the City reserves the right to proceed with the remaining proposers or to select a proposer that was not elevated before. Selection Criteria Accepted proposals will be reviewed by the Evaluation Team and evaluated against the stated criteria. The team will review references and required oral presentations and scripted software demonstrations. The City’s intention is to procure the most functionally complete and cost-effective application which will provide the flexibility to meet our current and future needs. The total price proposal of the proposed solution for the City’s application will be considering in the final analysis, but this will not be used as the primary consideration in the selection of the “best” solution. Ultimately the City will award the contract to the responsive, responsible Proposer whose overall proposal offers the best value for the City. The City reserves the right to award in part or whole. 19 The criteria that will be used to evaluate the proposals may include, but are not limited to the following: • Quality clarity and responsiveness of proposal in conformance with instructions condition and format contained herein • Technical requirements • Timeliness and professionalism of on-going support • Demonstrated performance of proposed system elsewhere in the public sector • Implementation strategy and timelines • Cost and quality of software and implementation services • Cost of on-going maintenance • Reference checks including possible visits to client sites 20 Attachment A: Reference Form References shall be included subject to the City’s preferences cited in Section 9.0 of the RFP. It is mandatory for Proposers to complete the following table for all references: CONTACT INFORMATION Organization Name: ______________________________________________________ Organization Size/Description: ______________________________________________ Contact Name: __________________________________________________________ Title: __________________________________________________________________ Address: _______________________________________________________________ Phone: _________________________________________________________________ Email: _________________________________________________________________ PROJECT INFORMATION Project Name: ___________________________________________________________ Project Dates: (Start-Finish) ________________________________________________ Project Description: ______________________________________________________ Software Implemented: ___________________________________________________ Was the project completed on time and on budget? If not, provide a description. _______________________________________________________________________ _______________________________________________________________________ Provide any lessons learned: _______________________________________________ _______________________________________________________________________ _______________________________________________________________________ 21 Attachment B: Professional Liability Insurance Requirements 22 Attachment C: Sample City of Oshkosh Consultant Agreement 23 Attachment D: RFP Submittal Checklist Task Reference Submitted 1.0 Background Material (Title Page, Letter of Transmittal) p. 11 [ ] 2.0 Executive Summary p. 11 [ ] 3.0 Scope of Services (Attachment E) p. 11 [ ] 4.0 Company Background p. 12 [ ] 5.0 Implementation Plan p. 13 [ ] 6.0 Training Plan p. 15 [ ] 7.0 Maintenance and Support Program p. 16 [ ] 8.0 Client References (Attachment A) p. 17 [ ] 9.0 Exceptions to the RFP p. 17 [ ] 10.0 Sample Documents p. 17 [ ] 11.0 RFP Submittal Checklist (this form) p. 17 [ ] 12.0 Responses to Functional/Technical Requirements: p. 17 [ ] Price Proposal Form (Attachment E) Number of Hard Copies 2 Number of Digital Copies 1 24 Attachment E: Responses to Functional/Technical Requirements: Price Proposal Form Proposers must complete and submit the Responses to Functional/Technical Requirements: Price Proposal Form (Attachment E) in a separate and sealed packet according to the format provided. The City reserves the right to contact proposers on price and scope clarification at any time throughout the selection process and negotiation process. It is important that proposers use the format presented in this RFP even if another format is provided. Attachment E should include the costs for all software, services, and additional costs to acquire all software and services referenced in each of the individual modules, including third party prices. In addition, Attachment E should also include the total costs of all software, services and additional costs to acquire all software and services referenced within the ERP, including third-party prices. If third-party products or services are included, do not provide separate versions for each third-party product. Do NOT use “To Be Determined” or similar annotations in the lines for each of the functional/technical requirements listed on Attachment E. The City is asking proposers to estimate prices for all categories with the understanding that they may have to make assumptions. Such assumptions should be stated. Proposers may submit additional pricing sheets as an addendum Attachment E; however the cost template within Attachment E MUST be completed. The City may award a purchase contract, based on initial offers received without discussion of such offers. A proposer’s initial offer should, therefore, be based on the most favorable terms available. It may also required revised pricing offers from such proposers, and make an award and/or conduct negotiations thereafter. The following requirements and features have been identified by the City of Oshkosh for inclusion in the desired system. The responses should be in the following format: Check “Y” if the item is included as a part of the standard system package. Check “N” if the item is not available. Check “M” if the system requires modification to meet this specification. Please identify the estimated cost of any required modification. General 1. Single Input: Information should be entered into the system one time. Duplicate entry of data should be eliminated. This should provide greater efficiency, timely information and eliminate errors introduced through data re-entry. Y N M $__________ 2. Client/Server: Solution proposed must be a client/server application. Y N M $__________ 3. Ease of Use: The system must be easy to use and learn. A Microsoft Windows ™ environment is Y N M $__________ 25 required. ** Note: Please specify which versions of Windows are supported. 4. Real Time Information: The system must provide transactions at a real-time level, not batch processing. Y N M $__________ 5. Schedule: Installation must be performed in a timely fashion and in accordance with a mutually agreeable timeframe. Y N M $__________ 6. Ad Hoc Reporting: The system should have the reporting tools for generating custom reports from system information, at the user level. Y N M $__________ 7. System Documentation: The system must be accompanied by current version system administration manuals. Y N M $__________ 8. User Documentation: The system must be accompanied by current version user manuals. Y N M $__________ 9. Training & Support: Do you provide on-site training, documentation & support? Y N M $__________ 10. Demonstration: If you are selected as a finalist, are you willing to provide an on-site demonstration of your current version suite, to allow the City of Oshkosh to ensure a functional fit and more fully evaluate the product? Y N M $__________ 11. Financials Conversion: The selected vendor will be required to convert existing AP/AR/GL/PO information from the existing SQL 2005 database (currently Harris Evolve – formerly Idaho Computer Systems/DataNow). Y N M $__________ 12. HR/Payroll Conversion: The selected vendor will be required to convert existing HR & Payroll information from the existing SQL 2005 database (currently Tyler Technologies – Munis 9.4). Y N M $__________ 13. UB Conversion: The selected vendor will be required to convert existing utility billing information from the existing SQL 2005 database (currently Harris Evolve – formerly Idaho Computer Systems/DataNow). Y N M $__________ 14. W/O & Inventory Conversion: The selected vendor will be required to convert existing work order and inventory information from the SQL database system. (Currently CarteGraph WorkDirector & WaterView version 8.3) Y N M $__________ 15. References: Please provide a list of municipalities or public utilities that use the current version of your system, along with names and phone numbers of responsible parties who can be contacted. 16. Hourly Rates: As part of your proposal, please provide staff hourly rates for additional work outside the scope of any contract should the vendor be selected. 26 17. Reporting: Please describe your report writing utility and identify if it is provided by a third party. 18. Vendor Profile: Please provide a vendor profile that indicates number of staff members, years established, key staff and number of LIVE installation locations. 19. Product Testing: Describe how you conduct product testing and explain how it will ensure the system is ready for production. Also, indicate if the system maintains a separate “test” database. 20. Acceptance: Describe the acceptance criteria used to turn the system over to the City of Oshkosh. 21. Security: The system should be capable of enforcing uniform policies and procedures throughout the City of Oshkosh. Security should cover various levels from user to user groups. Please describe the security provisions your system has. 22. Updates/Upgrades: Describe the frequency of major releases and minor updates and how they are delivered. 23. Optional Software: Include a description of any products features or other value-added components available for use with the proposed software application(s) that have not been specifically requested in this RFP. Consideration of these products features or other value- added components will be given where these may be of value to the City of Oshkosh. 24. Hardware Environment: Describe the hardware environment required to utilize the proposed software. In the event there is more than one suitable hardware platform list all options and indicate the relative strengths and weaknesses of each. 25. Operating System: Identify the operating system required by the proposed application software and database management system in the hardware environment recommended above. In the event there is more than one suitable operating system list all options and indicate the relative strengths and weaknesses of each. 26. Support: Identify the annual support costs and items covered by the annual support contract. System Environment 1. Does the system include basic password protection for standard access? Y N M $__________ 2. Can application access be restricted by password? Y N M $__________ 3. Does the system use a native GUI interface? Y N M $__________ 4. Is file recovery automatic after a system failure? Y N M $__________ 5. Does the system operate on a SQL database platform? Please specify which version(s). Y N M $__________ 6. Does the system run in a Windows 2003/2008 mixed domain? Y N M $__________ 7. Does the system support Active Directory? Y N M $__________ MODULE: Financial System/General Ledger Specifications 1. Does the system provide for centralized account management? Y N M $__________ 2. Interface to Bank Reconciliation? Y N M $__________ 3. Are users restricted from access to applications not within their authority? Y N M $__________ 4. Can information be exported to other systems such as Y N M $__________ 27 Microsoft Excel? 5. Can GL information be imported for posting from CSV files (ex: JPMorgan Chase P-Card Transactions & account #’s)? Y N M $__________ 6. Can accounts be added in years other than the current fiscal year? Y N M $__________ 7. Allow at least 13 periods per year with open periods? Y N M $__________ 8. Allow unlimited number of years of detail information? Y N M $__________ 9. Which of the following reports are available: Y N M $__________ a. Trial Balance? Y N M $__________ b. Detail of transactions by account/object code? Y N M $__________ c. Revenue & expense detail by account? Y N M $__________ d. Revenue & expense summary? Y N M $__________ e. Trial Balance by Fund? Y N M $__________ 10. Is selective accounting information available: Y N M $__________ a. By account? Y N M $__________ b. By period? Y N M $__________ c. By date range? Y N M $__________ 11. Can reports be rerun for periods other than the current period? Y N M $__________ 12. Does the system support multiple accounting methods: Y N M $__________ a. Cash Basis? Y N M $__________ b. Modified Accrual? Y N M $__________ c. Full Accrual? Y N M $__________ 13. Can entries be reversed and deleted automatically? Y N M $__________ 14. Are entries tracked as to: Y N M $__________ a. Transaction date & time? Y N M $__________ b. Posting date & time? Y N M $__________ c. By user performing entry? Y N M $__________ 15. Allow unlimited number of journal entries? Y N M $__________ 16. On-line screen inquiry including unlimited history? Y N M $__________ 17. Can the previous year be “locked” after year-end closure occurs so inadvertent changes cannot be made? Y N M $__________ 18. Does the system provide year-end annual reporting for: Y N M $__________ a. Balance sheets? Y N M $__________ b. Operating statements? Y N M $__________ c. Cash flow statements? Y N M $__________ 19. Does the system support the uniform chart of accounts? Y N M $__________ 20. Allow notes to accounts? Y N M $__________ a. How many? Y N M $__________ 21. How many user-defined chart of account components? Y N M $__________ 22. How many characters available in the chart of accounts? Y N M $__________ 23. Will the system allow accounting periods other than the City’s fiscal year for projects and grants? Y N M $__________ 24. How many funds can your system manage? Y N M $__________ 25. Does the system offer drill down capabilities in Financial Y N M $__________ 28 Reporting? 26. Does the system have the capability to post contra accounts automatically? Y N M $__________ MODULE: Budgeting Preparation Specifications 1. Provides support for line item (account) budgeting on a monthly basis. Y N M $__________ 2. System provides budget rollover functionally at the end of the fiscal year to automatically roll over encumbered balances to the new budget year. Y N M $__________ 3. Ability to select the unencumbered balances that should carry forward over fiscal years as budget amendments. Y N M $__________ 4. System provides functionality to export / import to common spreadsheet applications at all points through the budget preparation process. Y N M $__________ 5. Flexible budget reporting using tools that are usable and configurable by staff with no programming background. Y N M $__________ 6. Ability to track non-financial budget data (with related reporting) for performance budgeting. Y N M $__________ 7. Budget reporting has flexibility in specifying date ranges, sorting preferences and account ranges. Y N M $__________ 8. System is configurable to allow / disallow budget responsible individuals (with appropriate security levels) the ability to process Purchase Orders for accounts that have exceed a budget limit, when budget control levels have been exceeded. Y N M $__________ 9. System provides functionality to perform 5 year future budget forecasting and provides similar reporting to budgets for current year activities. Y N M $__________ 10. Accommodates internal service fund inter-fund transfers by providing notifications to individuals with budget responsibilities to identify changes to budgets during the budget preparation process. Y N M $__________ 11. Ability to display requested, recommended, and approved budget amounts for the last and previous years. Y N M $__________ 12. Ability to display or print the requested, recommended, and approved budget amounts for up to 5 historical years. Y N M $__________ 13. Ability to modify preliminary budget amounts for an account and automatically update department totals. Y N M $__________ 14. Ability to record and track multiple budget amendments during the year and inquire on the adjustments after the fact (including previous years) both on-screen and via reporting. Y N M $__________ 15. Ability to user-generate proposed budget data by extrapolating multi-year historical financial data using user-defined criteria/specifications. Y N M $__________ 16. Capability for on-line budget status inquiry for a department to retrieve up-to-date detail account (or any Y N M $__________ 29 segment of the chart) status, including revenues, expenditures, and open purchases. 17. Ability to break out and report the following after departments prepare requested budget: Y N M $__________ a. Which items are a contribution of prior year, and total. Y N M $__________ b. Which items are new requests, and total. Y N M $__________ 18. The system maintains the following history for the current, last and multiple previous years: Y N M $__________ a. Original and Current Budget Amounts Y N M $__________ b. Amount Requested Y N M $__________ c. Amount Recommended Y N M $__________ d. Amount Approved Y N M $__________ 19. Search capabilities within the budgeting process at all levels of account structure. Y N M $__________ 20. Supports budget controls at various / varying levels of the account structure. Y N M $__________ 21. Pulls data at a user-defined level. Y N M $__________ 22. Departments have the ability to see and do “what-ifs” to projections without changing the file. Y N M $__________ 23. Tracks all expenditures to date and provides report listing: Y N M $__________ a. Over/Under Expenditures Y N M $__________ b. Balances Y N M $__________ 24. Provides summary totals at the following levels: a. Fund / Project Y N M $__________ b. Org Y N M $__________ c. Program Y N M $__________ d. Sub-Activity Y N M $__________ e. Object Y N M $__________ 25. Each budget responsibility area may either create their requested budget on-line, export / import their budget to a common spreadsheet format, or manually complete a computer-printed budget preparation form. Y N M $__________ 26. "What if" analysis should be available on individual accounts and the results could be viewed at the account or department level. Y N M $__________ 27. "What if" analyses must be available in a trial mode, prior to any updates to actual data. Y N M $__________ 28. Ability to save such analyses to a separate file or print out analyses. Y N M $__________ 29. The system provides the ability to describe a budget item. An unlimited narrative may be input and printed on the final budget document. Y N M $__________ 30. Capability to inquire into the chart of account master files on-line. Y N M $__________ 31. Capability to interface with the Payroll/HR module to assist in calculation of the personnel services budget. Y N M $__________ 30 32. Capability to support personnel cost projections that include fringe benefit costs (based on existing benefits elected accommodating percentage increases or dollar cost increases in benefit costs). Y N M $__________ 33. Capability to process personnel services budget through an interface with Payroll (dollars and FTE units) based on: a. Requested Positions (FTEs) Y N M $__________ b. Budget Salary, Wage, and Position Master Table Y N M $__________ c. Other Pays/Allowances Master File Y N M $__________ d. Employee Benefits by Employee Group Y N M $__________ e. Employee Benefits by Job Position Y N M $__________ f. Override Salary/Position Master File Y N M $__________ 34. Position Budgeting allows for calculation of Step / Grade increases. Y N M $__________ 35. Allows for integration to the Payroll module for use of future salary tables in establishing the personnel services budget. Y N M $__________ 36. Ability to specify date or timeframe for which to view or report data. Y N M $__________ 37. Multi-level budget approvals (Department, Finance, County Administrator / City Mgr, and Board / Commission) for establishing budgets, line item transfers, budget adjustments are accommodated on-line, based on user security level. Y N M $__________ 38. Capability to provide budgets and tracking for major commodities or services. Y N M $__________ 39. Capability to report estimated budget savings or overruns for the remainder of the current year based on current budget balance status and trends. Y N M $__________ 40. Ability to generate estimated income statement and balance sheet. Y N M $__________ 41. Capability to report budget projections using any dimension of the account number. Y N M $__________ 42. Capability to download budget data to a personal computer in Excel and QuatroPro. Y N M $__________ 43. Ability for the system to maintain a requested, recommended, and approved budget. Y N M $__________ 44. Ability for the user to make changes simultaneously to one or more of these budgets. Y N M $__________ 45. Ability for the system to limit changes within the unadopted budget after a certain point in the budget process has been reached. Y N M $__________ 46. Ability for all changes that occur departmentally after this point to have the appropriate user authorization to implement. Y N M $__________ 47. Ability for specific allocations and transfers to be made automatically between departments and funds as defined Y N M $__________ 31 by the user (i.e., internal service funds and debt service). 48. Ability for the system to allow for project budgeting within or across funds as specified by the user. Interface with Project Accounting module. Y N M $__________ a. Project budget reporting is flexible enough to be able to specify date ranges that are different than the fiscal year Y N M $__________ 49. Ability for the system to report changes in the document that occur from one authorization point to another by producing an audit "change trail" and what operator made each particular change. Y N M $__________ 50. Drill down capabilities to provide easy access to view the detail within a line item. Y N M $__________ 51. Ability to indicate out-of-balance conditions with corrections defined by the user. Y N M $__________ 52. After adoption, adjustments must be approved on-line by Budget Director. Y N M $__________ 53. Ability for the system to produce an "effects" report showing results of changes to fund balances and possible adjustments needed. Y N M $__________ 54. Ability for these adjustments to only be allowed with proper authorization. Y N M $__________ 55. Ability for the system to give the date a figure was last changed. Y N M $__________ 56. Ability for the system to allow automatic installation of the adopted budget by the proper authorized user. Y N M $__________ 57. Ability for departments to set own parameters for reports. Y N M $__________ 58. Ability to review history of budget transfers. Y N M $__________ 59. Ability for department to request the existence of a budget line item to be reviewed for acceptance by the Budget Manager. Y N M $__________ 60. Multiple control levels. Y N M $__________ 61. Override option on budget adjustments. Y N M $__________ 62. Ability to upload budgets from spreadsheets. Y N M $__________ 63. Modified budget replaces previous budget and system calculates adjustments. Y N M $__________ 64. Paper budget worksheet format is similar to department’s budget input screens and includes the same data elements. Y N M $__________ 65. Ability for the system to include the following reports: a. Amendment Report- Account Number and Title Y N M $__________ b. Amendment Report- Original Budget Y N M $__________ c. Amendment Report- Amendments Y N M $__________ d. Amendment Report- Amended Budget Y N M $__________ e. Amendment Report- JE Number Y N M $__________ f. Amendment Report- Post Date Y N M $__________ g. Amendment Report- Description Y N M $__________ 32 h. Project Budget Report Y N M $__________ i. Effects on Fund Balance Report Y N M $__________ j. Automatic Allocation Report Y N M $__________ k. Automatic Transfer Report Y N M $__________ 66. Budget Turnaround Document (on-line and hard copy) listing prior years actual revenues and expenditures and current year's budget and actual year-to-date revenues and expenditures with available space for entering additional information. Y N M $__________ 67. Budget Worksheet, will allow users to define which items to display, including: a. Last 2 Years (minimum) Actual & Approval Y N M $__________ b. Original Budget – Current Year Y N M $__________ c. Amended Budget – Current Year Y N M $__________ d. Actual Expenditures/Revenues to Date Y N M $__________ e. Columns for Requested Y N M $__________ f. Columns for Recommended Y N M $__________ g. Columns for Adopted Y N M $__________ 68. Detail and Summary Budget Report, providing a detailed or summary list of budget data by account, activity, and department. Y N M $__________ 69. Simplified Budget Report, by department, grouped by Revenue and Expenditures, including column headings of: a. Account Number Y N M $__________ b. Account Title Y N M $__________ c. Original Appropriation Y N M $__________ d. Amended Appropriation Y N M $__________ e. Month-to-Date Expenditures/Revenues Y N M $__________ f. Year-to-Date Expenditures/Revenues Y N M $__________ g. Outstanding Encumbrances Y N M $__________ h. Unencumbered Balance Y N M $__________ i. Current Month Activity Y N M $__________ j. Encumbered YTD Y N M $__________ k. Un-encumbered balance Y N M $__________ l. Percentage of revenue/expenditures remaining Y N M $__________ m. Prior year - YTD and MTD with % of Actual to Budget amounts Y N M $__________ 70. Payroll Projection Report, listing each employee, by department, and displaying the current annual salary, review date, and the amount of the next annual increase. The ability to enter an increase in either percentage or flat rate amount to salaries and/or benefits provided. A final set of figures breaking out salary and benefits is provided for each department. Y N M $__________ 71. “What if” Report utilizes current year information, allowing the user to adjust the account code level Y N M $__________ 33 amounts by a percentage, amount, or flat rate across the board for a particular fund, cost center, object, or project. This may be run in a trial mode, updating the files only after the user gives approval. Interfaces with Payroll module. 72. Expenditure Account Listing including the following headings: a. Prior Year History by Month Y N M $__________ b. Annual Budget Y N M $__________ c. Re-encumbrance Amounts Y N M $__________ d. Adjusted Annual Budget Y N M $__________ e. Budget Amendments Y N M $__________ f. Encumbrance Transactions Y N M $__________ g. Actual Expenditure Transactions Y N M $__________ h. Unencumbered Budget Balance Y N M $__________ 73. Ability to link line items to supporting documentation at PC level (Word, Excel). Y N M $__________ 74. Ability to load budget request from previous year’s budget amounts. Y N M $__________ 75. Ability to prepare budget for multiple years concurrently. Y N M $__________ 76. Ability to report budget for multiple years on same report. Y N M $__________ 77. Develop tables to accommodate input of performance measures (e.g., transactions per, number of staff/customer, etc.). Y N M $__________ 78. Budget Status Report, by fund, by department, detailing account number and name, budget amount, changes to budget, amended budget amount, MTD, YTD, encumbered, Projected % and Balance. Y N M $__________ 79. Interfund budget report, detailing budgeted balances between funds Y N M $__________ 80. Adopted Budget Report, by fund, by department, and/or by Project. Report ranges by account code. Report details account code and description, 3 prior year Actual budget amounts, Prior year Amended amount, Current Budget Year “Controller Recommended” budget amount, Current Budget Year “Liaison Recommended” budget amount, Current Budget Year “Finance Recommended” budget amount, Current Budget Year “Board Adopted” budget amount. Y N M $__________ 81. Will the system allow for budgeting and tracking of Capital Improvement Programs and the associated projects? Y N M $__________ MODULE: Special Assessments Specifications 1. Ability to track special assessments from the Council meeting at which time they were initiated. 2. Allow for deferred payments of assessments. Y N M $__________ 34 3. Offers a payment schedule that matches the bond, with different ways to calculate. Y N M $__________ 4. System utilizes the Parcel ID number and ties this number through parcel splits. Y N M $__________ 5. Offers parcel number as a first identification number. Y N M $__________ 6. Accommodates multiple rolls per parcel number. Y N M $__________ 7. Integrates with the Assessing, Tax Billing, and Cash Receipts modules. Y N M $__________ 8. Allows for payoff at any time. 9. Supports different billing cycles (monthly, quarterly, annually, etc) Y N M $__________ 10. Allows for generous descriptive input (2 lines of 50 characters each for tax assessments. Y N M $__________ 11. System displays a chronological history per account of payments. Y N M $__________ 12. Integrated with Tax Billing so as to include special assessments on tax bill; Special Assessment payments are automatically updated through payment of tax bill. Y N M $__________ 13. Flexibility to make adjustments to original roll. Y N M $__________ 14. System shows on the screen pay-off and “as of” dates. 15. Ability to print a roll at any time in the tax process. Y N M $__________ 16. Ability to print totals on different user defined criteria. 17. Outstanding Balance by Customer report by individual special assessments. Y N M $__________ 18. Special Assessment Roll (projected and approved). Y N M $__________ 19. Annual Billing Register Y N M $__________ 20. Interest/Penalty calculation report Y N M $__________ 21. Special Assessment District Listing Y N M $__________ 22. Open Accounts Receivable Report with flexibility to report by year, roll #, property range, etc. (detail and summary capabilities). 23. Daily Recaps (detail and summary). Y N M $__________ 24. Monthly Recaps (daily and summary) Y N M $__________ 25. User Designable Bill Print Y N M $__________ 26. Billing Reprints Y N M $__________ MODULE: Accounts Payable Specifications 1. Can you cancel invoices in the system? Y N M $__________ 2. Can you cancel/void checks in the system? Y N M $__________ 3. Does the system allow unlimited number of vendors? Y N M $__________ 4. Does the system allow unlimited number of years of history? Y N M $__________ 5. Will the system allow you to work in both current and future periods? Y N M $__________ 6. Will the system interface with the other systems such as: Y N M $__________ 35 GL, Budget, and Cash Receipting? 7. Do transactions directly affect the General Ledger accounts in: Y N M $__________ a. Income Y N M $__________ b. Expenses Y N M $__________ c. Budget Y N M $__________ 8. Does the system provide a check reconciliation system? Y N M $__________ 9. Can the system generate a payment approval list for City Council approval? Y N M $__________ 10. Access vendor history by Y N M $__________ a. vendor Y N M $__________ b. invoice Y N M $__________ c. date Y N M $__________ d. check date Y N M $__________ e. check number Y N M $__________ 11. Handle an unlimited number of accounts & account code shortcuts? Y N M $__________ 12. Ability to attach electronic documents (word processing, spreadsheet, scanned image files) to invoices, credit memos and other transactions in the Payable process. Y N M $__________ 13. Ability to provide extended descriptions and include free form text for line items on Payables transactions. Y N M $__________ 14. Approvals within the Payables must be flexible and configurable to change with the City's changing process. Y N M $__________ 15. Provides for blank check stock based check printing, including check format layout configuration, MICR encoding, digital authorized signatures, etc. Y N M $__________ 16. Check printing functionality must have the appropriate security features. Y N M $__________ 17. Ability to change the vendor name for a vendor number as the vendor changes its name. These changes should be reflected on all open purchase orders as well. Y N M $__________ 18. Ability to track and use wire transfers in the Accounts Payable module. Y N M $__________ 19. Ability to inactivate vendors. Y N M $__________ 20. Ability to purge and archive purchase history. Y N M $__________ 21. Ability to rate vendor performance. Y N M $__________ 22. Ability to assign classifications to vendors and the ability to limit department / use security for updating vendor information based on vendor classification. Y N M $__________ 23. Ability for departmental users to view payment status online. Y N M $__________ 24. Robust reporting ability, allowing users to perform ad hoc reporting. Y N M $__________ 25. Ability to have multiple voucher line item descriptions, dollar amounts and account distributions. Y N M $__________ 26. Ability to drill down or aggregate upward information Y N M $__________ 36 within the system. 27. Ability to interact with vendors on-line, place orders, receive invoices and make payments electronically. Y N M $__________ 28. Integration to an inventory tracking mechanism. Y N M $__________ 29. Ability to interface with the asset tracking modules. Y N M $__________ 30. The system should allow users to enter invoices in batch, providing control totals reconcilable by user. Y N M $__________ 31. Ability to assign security rights to the following payables functions: Batch creation, invoice entry, invoice posting, payment generation. Y N M $__________ 32. The system should allow Vendors to be identified as 1099 vendors, and associate their Tax-Id number. The vendor record should be flagged if a Tax ID is required by none has been furnished. User notation is available. Y N M $__________ 33. The system should have the ability to identify specific invoices and payments for 1099 vendors as 1099 transactions. Y N M $__________ 34. The system should print 1099 reports on 1099 forms. Y N M $__________ 35. As part of the annual software support contract, the ERP vendor will provide the City with timely annual State and Federal mandated updates to current year 1099 report formats and 1099 file export features. Y N M $__________ 36. Updates to annual 1099 forms should be provided with the annual software maintenance agreement. Y N M $__________ 37. System provides 'fold and seal' functionality in the 1099 process. Y N M $__________ 38. System should provide ‘backup withholding functionality’ for 1099’s. Y N M $__________ 39. Ability to view a 1099 report that identifies vendor that have been associated with a 1099 status, but do not have complete 1099 information. Y N M $__________ 40. Ability to download 1099 information onto a electronic files meeting IRS requirements. Y N M $__________ 41. The system should provide a positive pay export file during check runs. Y N M $__________ 42. Ability to track and report on when purchase orders will expire. Y N M $__________ 43. The system should allow for vendor information to be integrated between the procurement and accounts payable systems. Y N M $__________ 44. The system should provide document work flow processing with electronic signature capabilities for approvals. Y N M $__________ 45. The system should have the ability to scan / attach electronic documents to requisitions, purchase orders and payment vouchers. Y N M $__________ 46. Recurring payment vouchers are supported. Y N M $__________ 37 47. Ability to post into a future posting accounting period purchase orders. Y N M $__________ 48. Provide the ability to enter and track basic contract information including: a) Contract number Y N M $__________ b) Contract amount Y N M $__________ c) Contract changes (dollar amount) Y N M $__________ d) Audit required? Y N M $__________ e) Expense reports required? Y N M $__________ f) Standard program categories (what services are provided) Y N M $__________ g) Payment method (1/12, actual, times unit rate) Y N M $__________ h) Payments against the contract Y N M $__________ i) Budget line item Y N M $__________ j) Program manager Y N M $__________ k) Program group Y N M $__________ l) Provider name and address Y N M $__________ m) Contract balance Y N M $__________ n) Length of contract (months) Y N M $__________ o) Number of months completed Y N M $__________ 49. Provide the ability to export contract data including payment and other contract information. Y N M $__________ 50. Be able to view all payments at a detail level that are associated with a specific contract number. Y N M $__________ 51. Be able to print detailed payment information for a specific vendor name and distinguish payments to a vendor for different program activities. Y N M $__________ 52. Vendor contracts must be able to span multiple fiscal years. Y N M $__________ 53. System provides 'contract owner' a notification of overspending on a contract, based on purchase schedule. Y N M $__________ 54. Be able to print a summary for a line item. Y N M $__________ 55. Provide the ability to compare actual contract amounts paid to units provided. Y N M $__________ 56. Payment Processing: Allow for the set-up of contracts with recurring payments to vendors with the ability to make one-time payment amount adjustments without affecting the remainder of the contract payment schedule and amount. These adjustments may need to be made each month. Y N M $__________ 57. Payment Processing: Provide the ability to generate checks on-demand. Y N M $__________ 58. Payment Processing: Provide the ability to generate an electronic check register that can be printed and/or imported into another system. Y N M $__________ 59. Capability for user to input comments regarding account status. Y N M $__________ 38 60. Ability to allow the user to define specific search criteria and limits while performing an on-line inquiry. Y N M $__________ 61. Ability to provide document history retrieval on-line, linking requisitions to purchase orders, invoices, and checks. Y N M $__________ 62. Ability to provide a method of assigning separate approval levels to users for processing invoices, receiving reports, payments, requisitions and purchase orders (edit vs. update functions). Y N M $__________ 63. System provides for ability to integrate to a document imaging system in order to associate scanned vendor invoices with transactions entered in the system. Y N M $__________ 64. Provides capability to reconcile bank accounts (outstanding check reconciliation) via tape/modem download from bank using standard ABA format. Y N M $__________ 65. Maintains an accounts payable open-item (unpaid invoice) file which contains detailed records of invoices by vendor, invoice number, and due date. Y N M $__________ 66. Invoice information can be automatically imported from the corresponding PO file in the Purchasing module. When the Invoice is created from the Purchase Order. the vendor remit address will default from the vendor file if it was not specified on the Purchase Order, and users will have the ability to override that remit address. Y N M $__________ 67. Ability to accommodate multiple invoices for one purchase order and/or for one purchase order line. Y N M $__________ 68. Ability to provide for the identification of capitalized items as invoices are processed. Y N M $__________ 69. Ability to allow computer assisted matching of Purchase Orders, Receiving Reports, and Vendor Invoices. Y N M $__________ 70. Ability for user to easily specify “Receive All Lines” in order to speed data entry. Y N M $__________ 71. Tracks debit/credit memos by vendor. Y N M $__________ 72. Ability to adjust an invoice to reflect damaged goods received and returned, unapplied discounts, etc., using debit/credit memos. Y N M $__________ 73. Ability to permit a distribution error to be corrected by the user without having to back out of the invoice and resubmit it. Y N M $__________ 74. Ability to delete or modify an invoice record before it is scheduled for payment. Y N M $__________ 75. Checks will be printed in vendor name order. Y N M $__________ 76. Ability to post manual checks and include them in the General Ledger detail. Y N M $__________ 77. Ability to process one check per vendor with all claims detail support on the corresponding page for additional check stub overflow capacity. Y N M $__________ 78. Ability to process separate checks for a vendor in the same Y N M $__________ 39 check run. 79. Prints pertinent remittance data on check stub. Y N M $__________ 80. Provides the ability to void a check and have the transaction automatically reflected throughout the financial accounting system. Y N M $__________ 81. Ability to maintain a check register for multiple accounts (e.g., payroll and accounts payable). Such a check register must be a cumulative list of all checks issued, including those later canceled, and must be updateable with information received electronically (via tape of modem) from the bank regarding checks paid. Y N M $__________ 82. Accounts Payable procedures include the: a) Scheduling of payments Y N M $__________ b) Calculating and taking of discounts Y N M $__________ c) Releasing of payments Y N M $__________ 83. System provides optional workflow ability for authorization of payments. Y N M $__________ 84. Ability to pay via ACH / EFT and wire transfers. Y N M $__________ 85. System generates payment date based on terms assigned to invoice. Y N M $__________ 86. Capability to track invoice, payment and GL dates separately and to change payment due dates and General Ledger dates prior to payment. Y N M $__________ 87. Provides ability to automatically liquidate encumbrances for invoiced purchase orders upon payment, not in prior period. Y N M $__________ 88. Provides the ability to hold payments on any specific open item or for all invoices of a particular vendor. Y N M $__________ 89. Provides detailed audit trail reports to support payable items and liabilities reflected in the General Ledger system. Y N M $__________ 90. Provides ability to distribute invoice payments by item or total into multiple General Ledger accounts, department, activities, funds and cost categories, project codes, etc. Y N M $__________ 91. Invoices are matched to the purchase orders and the partial, adjusted, or complete payment is recorded once a check is generated. Y N M $__________ 92. Capability to associate payment terms by vendor or by invoice. Y N M $__________ 93. Capability to override payment terms as specified in the vendor master file. Y N M $__________ 94. Ability to create the necessary accounting adjustments automatically. Y N M $__________ 95. Ability to handle vendor payments retentions and interest from retentions. Y N M $__________ 96. Ability to record accounts payable where no encumbrance existed. Y N M $__________ 40 97. Ability to control and prevent duplicate payments. Y N M $__________ 98. Ability to allow user to specify special routing/handling for payments. Y N M $__________ 99. System allows for capturing vendor discount based on terms code identified upon payment. Y N M $__________ 100. Ability to automatically calculate payment due date to take advantage of available discounts. Y N M $__________ 101. Ability to monitor payment discounts lost. Y N M $__________ 102. Provides positive pay export file with check funds for transmittal to bank. Y N M $__________ 103. Provides bank reconciliation functionality. Y N M $__________ 104. System safeguards must be provided against unauthorized, non-employee access to social security numbers. Y N M $__________ 105. 1099 codes can default based on the General Ledger account code (i.e. - the payment of transcripts). Y N M $__________ 106. At least 5 fiscal years of 1099 information must be accessible on-line. Y N M $__________ 107. Ability to change 1099 codes to correct data entry errors. Y N M $__________ 108. Ability to print 1099 information and the related forms on a user specified laser printer. Y N M $__________ 109. Ability to generate necessary analysis reporting for 1099 generation purposes (Summary and Invoice Detail history sorted by Tax ID, Report combining multiple vendors with same Tax ID). Y N M $__________ 110. Allows for one-time payment without creating a permanent vendor in the master file. System retains information on name, date, and amount of vendor payment. Y N M $__________ 111. Provides ability for on-line maintenance of vendor information. Y N M $__________ 112. Assigns vendor numbers automatically with the option to be able to manually assign the numbers. Y N M $__________ 113. Changes to the vendor master file will not affect vendor information on check history. Y N M $__________ 114. Mailing list and label generation available for mailings to vendors. And the ability to export vendor address information to other applications (MS Word). Y N M $__________ 115. Ability to provide for the annual removal of inactive vendors based upon flexible, user-generated parameters. Y N M $__________ 116. Ability identify payments that exceed certain dollar thresholds on a per transaction basis that my require Finance Committee or Board/Commission Approval. Y N M $__________ 117. Principal Reports: Each report is available by date, vendor, user definable period, and fund and is available in Y N M $__________ 41 detail or summary. 118. Cash Requirements Report for user-specified date range, or account range, or overall. Y N M $__________ 119. Ability to compile and output the following reports: a) Pre-Check Register Y N M $__________ b) Invoice Register, Vendor and/or Numerical Order Y N M $__________ c) Cash Requirements Report Y N M $__________ d) Summary Check Register Y N M $__________ e) Detailed Check Register Y N M $__________ f) Cash Disbursement Report Y N M $__________ g) Requisition Register Y N M $__________ h) Detail Requisition Register Y N M $__________ i) Vendor Listing in Alphabetical Order Y N M $__________ j) Vendor Listing in Vendor Number Sequence Y N M $__________ k) Vendor Listing in Tax ID Sequence Y N M $__________ l) Aged Accounts Payable Report Y N M $__________ m) Listing of Invoices on Hold Y N M $__________ n) 1099 Detail Report Y N M $__________ o) 1099 Information Form Y N M $__________ p) Invoice Edit Listing by user Y N M $__________ q) Purchase Journal Y N M $__________ r) GL Distribution Journal Y N M $__________ s) GL Distribution Journal by any segment within the chart of accounts Y N M $__________ t) Accounts Payable by Vendor and Entry Date Y N M $__________ u) Accounts Payable by Vendor and Due Date Y N M $__________ v) Accounts Payable by Entry Date Y N M $__________ w) Accounts Payable Within a Date Range Y N M $__________ x) Accounts Payable by Due Date. Y N M $__________ y) Accounts Payable by Department Y N M $__________ z) Cash transfer request organized by Cash Account, Bank Code, and Fund. Y N M $__________ aa) Cash transfer request error report (identifying requested negative cash balance). Y N M $__________ bb) Voucher payment check register organized by check number sequence. Y N M $__________ cc) Manual Check report organized by vendor number. Y N M $__________ dd) Scheduled check report organized by vendor number. Y N M $__________ ee) Departmental Check Register Y N M $__________ ff) Claims report organized by any segment within the chart of accounts within a specified period. Y N M $__________ 120. Expenditure Approval List including manual checks, brief descriptions of items, voucher number, and who approved it. Y N M $__________ 42 121. Accounts Payable Invoice Edit List, by date range, including various sort orders, detailing vendor number and name, user that entered invoice, transaction number, gross amount, discount amount, expense amount, total amount, account code / account name breakout, invoice date, GL transaction date, due date, transaction description, and other invoice details. Y N M $__________ 122. The report associated with the Check writing subsystem include: a) Checks and Remittance Advices Y N M $__________ b) Check Registers Y N M $__________ c) Manual Check Registers Y N M $__________ d) Exceptions Report Y N M $__________ e) Cash Disbursements Journal Y N M $__________ f) Outstanding Check List by Bank Code Y N M $__________ 123. Expenditure Approval List including manual checks, brief descriptions of items, voucher number, and who approved it. Y N M $__________ 124. Check reconciliation report: a) List of reconciled checks Y N M $__________ b) Outstanding checks Y N M $__________ c) Voided checks Y N M $__________ d) Bank item not in payables Y N M $__________ e) List of checks where bank amount does not equal payables amount Y N M $__________ 125. 1099 reports Y N M $__________ 126. Vendor paid year-to-date report Y N M $__________ 127. Encumbrance reports Y N M $__________ 128. Encumbrance/Purchase order discrepancy report (may not be needed with integrated system) Y N M $__________ 129. Entry balancing reports Y N M $__________ 130. Checks by vendor Y N M $__________ 131. Invoices by vendor Y N M $__________ 132. Bank transfer report Y N M $__________ 133. ACH capable: a) Ease of testing new banking information Y N M $__________ b) Common/shared bank information Y N M $__________ c) Email/fax notification to vendor upon ACH send Y N M $__________ 134. Check box for credit card vendor or a credit card indicator of some kind. Y N M $__________ 135. Indicator of whether we have W9 on file. Y N M $__________ 136. Easy interface for our purchasing card system allowing for detailed vendor data to be included. Y N M $__________ 43 MODULE: Accounts Receivable Specifications 137. Does the system provide for customer maintenance: Y N M $__________ a. By name? Y N M $__________ b. By customer number? Y N M $__________ 138. Does the system allow for miscellaneous billing at anytime? Y N M $__________ 139. Can you cancel invoices in the system? Y N M $__________ 140. Can you adjust invoices in the system? Y N M $__________ 141. Can you re-print an invoice if necessary? Y N M $__________ 142. Can you attach a parcel number to the invoice by invoice type? Y N M $__________ 143. Does the system allow unlimited number of customers? Y N M $__________ 144. Does the system allow unlimited number of years of history? Y N M $__________ 145. Ability of assess interest based on the aged date? Y N M $__________ 146. Will the system interface with the other systems such as: GL, and Cash Receipting? Y N M $__________ 147. Generate an aging? Y N M $__________ a. By fund? Y N M $__________ b. By department? c. Dictated delinquent age? 148. List of outstanding receivables by parcel number? Y N M $__________ 149. Capability to have billing templates? Y N M $__________ 150. Can the system print 1099’s at year-end for vendors requiring them? Y N M $__________ 151. Able to download in Excel/Access? Y N M $__________ 152. Can you tag notes to a particular invoice? Y N M $__________ 153. Generate Statements and/or delinquency letters? Y N M $__________ 154. Search capabilities by customer name, invoice, and amount? Y N M $__________ 155. Ability to have multiple revenue lines? Y N M $__________ 156. Print coupon books? Y N M $__________ 157. Retain sales tax exemption by customer? Y N M $__________ 158. Ability to generate reoccurring invoices on a scheduled basis? Y N M $__________ 159. Generate invoice in batch control? Y N M $__________ 160. Generate invoice format so address in window envelope? Y N M $__________ 161. Can be linked to the assessor’s website to obtain current owner/address? Y N M $__________ 162. For loans, be able to establish various payment schedules based on interest percentage, balloon amounts, amortization periods, etc. Y N M $__________ 44 163. Be able to set-up a loan that will automatically generate invoices in advance to include principal amount, interest amount, current principal amount and interest paid to date. Y N M $__________ 164. Allows user input of comments regarding account status, collection activities, etc. Y N M $__________ MODULE: Purchasing Specifications 1. Ability to attach electronic documents (word processing, spreadsheet, scanned image files) to requisition and purchase order transactions. Y N M $__________ 2. System supports automation in the RFP (Request for Proposal) process by managing solicitation, proposal responses, criteria, rankings, decisions and communications. Y N M $__________ 3. System supports automation in the RFQ (Request for Qualifications) process by managing solicitation, responses, criteria, rankings, decisions and communications. Y N M $__________ 4. System supports automation in the Request for Quote process by managing solicitation, responses, criteria, rankings, decisions and communications. Y N M $__________ 5. System supports automation in the Invitation to Bid process by managing solicitation, bid responses, criteria, rankings, decisions and communications. Y N M $__________ 6. Ability to provide extended descriptions and includes free form text for line items on requisitions and purchase orders. Y N M $__________ 7. Requisitions must be able to be edited by all users within the Department that created the requisition. Y N M $__________ 8. Approvals within the requisition and purchase process must be flexible and configurable to change with the City's changing process. Y N M $__________ 9. Approvals must be present for purchases that require budget override. Y N M $__________ 10. Closing a purchase order automatically releases the related encumbrance. Y N M $__________ 11. Closed Purchase Orders can be re-opened. Y N M $__________ 12. System provides for automatic numbering of transactions. Y N M $__________ 13. Purchase transactions should be able to be entered dated with either current or next fiscal year. Y N M $__________ 14. Encumbrances must be able to be transferred to the next fiscal year, at year end, automatically. Y N M $__________ 15. In entering requisitions and purchase orders, ability to select the appropriate account codes from a list. Y N M $__________ 16. In entering requisitions and purchase orders, ability to manually enter account codes information. Y N M $__________ 45 17. System should integrate with common email platforms (Exchange, Groupwise, Notes) and allow Purchasing Department staff to automatically send electronic copies of purchase orders to vendor email addresses (tracked on the vendor record) to reduce time in the purchasing process. Y N M $__________ 18. Ability to develop bidders lists and track: a) Organization name & address Y N M $__________ b) MBE / WBE status Y N M $__________ c) Several user defined fields Y N M $__________ d) Class code(s) Y N M $__________ e) Last bid Y N M $__________ f) Last award Y N M $__________ g) eMail address Y N M $__________ h) Phone, fax and mobile numbers Y N M $__________ i) Contact information Y N M $__________ 19. Ability to view the complete profile for a transaction Y N M $__________ 20. Ability to have on-line requisitions and purchase orders with automatic numbering. Y N M $__________ 21. Billing and Shipping address default on purchase orders based on the user that is requesting the goods / services with ability to override default. Y N M $__________ 22. Ability to support blanket purchase orders. Y N M $__________ 23. Ability to search historical purchases by commodity code. Y N M $__________ 24. Robust reporting ability, allowing users to perform ad hoc reporting. Y N M $__________ 25. Ability to view the status of the requisition, see where the request is in the process. Y N M $__________ 26. Bid Management tools that will allow the tracking of bid documents and their evaluation. Availability of access to bid information by departmental users. Y N M $__________ 27. Ability to interact with vendors on-line. Y N M $__________ 28. Ability to interact with vendors on-line to place orders, receive invoices and make payments electronically. Y N M $__________ 29. Integration to an inventory tracking system with the ability to select items purchased and update quantities as received. Y N M $__________ 30. Use of NIGP codes within the procurement process. The system should have the ability to link these codes to vendors, requisitions and purchase orders. Y N M $__________ 31. Ability to import standard NIGP codes into the system, based on periodic updates by an outside agency. Y N M $__________ 32. The system should allow for vendor information to be integrated between the procurement and accounts payable systems. Y N M $__________ 33. The system should provide document work flow processing with electronic signature capabilities for Y N M $__________ 46 approvals. 34. Ability to identify within the requisition, the accounting period / fiscal year that the requisition is associated with. Y N M $__________ 35. Ability, when creating a requisition and/or purchase order, to search for the appropriate commodity code related to the good / service being requested on a per line item basis. Y N M $__________ 36. Ability to track purchases for multiple projects and grants. Y N M $__________ 37. Interfaces with electronic mail/calendaring system to notify buyers to take actions. Y N M $__________ 38. Approval process is integrated with the email system to notify approvals of need for approval. Y N M $__________ 39. Interfaces to word processing package(s) (MS Word). Y N M $__________ 40. Interfaces to spreadsheet package(s) (Excel). Y N M $__________ 41. Ability to automatically pre-encumber requisitioned amounts upon approval. Y N M $__________ 42. Ability to encumber for purchase ordered amounts. Y N M $__________ 43. Ability to post expenditures that are not equal to the encumbrance amount, after appropriate approval is received. Audit trail maintained of P.O./ encumbrance changes. Y N M $__________ 44. Capability to encumber more than one expenditure account per purchase order line item or requisition line item. Y N M $__________ 45. Approved invoices for payment will liquidate encumbrances when scheduled for payment. Y N M $__________ 46. System allows the liquidation of an encumbrance even when no payments are made. Such dis-encumbrances should appear on the Liquidation Register and not the Open Encumbrance Report (i.e., dis-encumbrance should purge the purchase order from the open purchase order file). Y N M $__________ 47. System allows access to change historical purchase orders and have those changes be reflected in the appropriate changes to the related encumbrances, even after a fiscal period that the PO relates to has been closed. Y N M $__________ 48. Requisition and purchase order process should include the following capabilities: a) Input and store quantity, price and description Y N M $__________ b) Calculate and extend price Y N M $__________ c) Calculate total price Y N M $__________ d) Retrieve vendor information automatically Y N M $__________ e) Hold purchase order pending issuance Y N M $__________ f) Report un-issued purchase orders Y N M $__________ g) Support cancellation of un-issued purchase orders Y N M $__________ h) Print purchase orders Y N M $__________ i) Automatically retrieve purchase information on-line Y N M $__________ 47 by referencing purchase order or requisition number or requesting department name or other user-defined criteria. j) Specify Unit of Measure (Ea, Ft, lb, C, M, etc.) Y N M $__________ k) Ability to email purchase orders Y N M $__________ l) Ability to pull up specific account code or item when editing. Y N M $__________ m) Ability to correct a distribution error without having to back out of the PO and resubmit it. Y N M $__________ n) Ability to view multiple line items / descriptions. Y N M $__________ 49. Ability to save a un-issued requisition with requisition partial details, without routing for approval. Y N M $__________ 50. Ability to save an un-issued PO with partial details, before approval and issuance. Y N M $__________ 51. Data codes, text and requisition information must transfer automatically from requisitions to PO. Y N M $__________ 52. Ability to enter default and customized comments on purchase orders and requisitions with full text editing features. Y N M $__________ 53. Assigns requisitions/purchase orders to a buyer, automatically, based on commodity code or requesting department, with override ability. Y N M $__________ 54. System automatically assigns purchase order and requisition numbers on-line but allows user, with proper authority, to choose the numbers manually. Y N M $__________ 55. Data links to identify Req. with associated Buyer, PO, Vendor, etc. Y N M $__________ 56. Capability to group requisitioned items by vendor or commodity code for volume purchase purposes. Y N M $__________ 57. Ability to validate proposed vendor on the requisition against existing on-line vendor file. Y N M $__________ 58. Provides on-line, on-screen requisition and purchase order forms for centralized and decentralized entry. Y N M $__________ 59. Ability to determine, by password or log-on, which department is requisitioning items and automatically default to information for that department. Y N M $__________ 60. Tracks requisitions/POs issued by department. Y N M $__________ 61. Ability to provide Daily Requisition Register. Y N M $__________ 62. Ability to control generation of requisitions that exceed contract limits. Y N M $__________ 63. Provides for system annual, blanket, normal PO, and confirming (verbal) purchase orders. Y N M $__________ 64. Provides for system contract purchase orders. Y N M $__________ 65. Users have the ability to inquire on historical POs and easily convert them into a new requisition. Y N M $__________ 66. Ability to automatically generate recurring payables/purchase orders for frequently ordered Y N M $__________ 48 merchandise, recurring expenditures or progress payments on contracts/lease agreements. 67. Ability to allow for default information for shipping and payment to reduce data entry efforts during ordering. Y N M $__________ 68. Ability to "duplicate" line item information during data entry to save time. Y N M $__________ 69. Maintains an open purchase order file which includes summaries of open purchase order amounts, for cash requirements planning purposes. Y N M $__________ 70. Ability to optionally close incomplete purchase orders at year end and affect the related encumbrances in the ledger. Y N M $__________ 71. Ability to allocate purchase order and requisition line items to multiple General Ledger accounts and project codes. Y N M $__________ 72. Ability to charge purchase order line items to multiple departments. Y N M $__________ 73. Prohibits duplicate purchase order numbers. Y N M $__________ 74. Upon preparation of the Purchase Order for payment, shipping charges can be allocated to the Purchase Order lines based on user-defined criteria. Y N M $__________ 75. Expanded fields to allow for detailed product descriptions. Y N M $__________ 76. Ability to allow users to specify a vendor and price. Y N M $__________ 77. Ability to allow buyers to override either user-specified or system-generated vendors and prices. Y N M $__________ 78. Ability to allow for multiple budgetary accounts to be identified on the purchase order. Y N M $__________ 79. Ability to allow for change orders to be processed against an existing purchase order. Y N M $__________ 80. Electronic/Internet transfer of POs to vendors. Y N M $__________ 81. Must be able to track payment date vs. invoice date for items with a purchase order. Y N M $__________ 82. Must have an automatic 3-way match system (PO – Receipts – Invoices). Y N M $__________ 83. Clear identification on PO amendments can be specified (What has changed, what revision number, dates, etc.). Y N M $__________ 84. Maintain on-line directory of standard purchasing contract language that will print on all purchase orders. Y N M $__________ 85. Unlimited text entry with word processing feature (word wrap around) and directory of standardized language. Y N M $__________ 86. Un-issued Purchase Orders are automatically created from approved requisitions. Y N M $__________ 87. Ability to establish predetermined authorization levels, with appropriate security measures and multiple authorization levels on-line. Y N M $__________ 88. Allows on-line approval of payment with proper user authorization. Y N M $__________ 49 89. System provides for alternate approver designation when approvers are unavailable. Y N M $__________ 90. Audit trail controls (Who approved requisition, who approved payment, etc.). Y N M $__________ 91. Ability to relate commodity codes to the approval process (i.e.- computer equipment must have IT group approval). Y N M $__________ 92. Accommodates blanket purchase orders, contracts or purchase agreement documents with a reference/resolution number. Y N M $__________ 93. Ability to designate a department for a purchase order. Y N M $__________ 94. Automatically creates vendor master file when bidder receives award, if the award was the first one the bidder received. Y N M $__________ 95. Maintains a list of all bidders who respond to bid solicitations. Y N M $__________ 96. Electronic attachment files (i.e.: xls, doc, jpg, tif, etc.) can be attached in the bidding process. Y N M $__________ 97. Maintains a list of all details related to the award (award date, award vendor, amount, other details). Y N M $__________ 98. Provides ability for automated selection of vendors for bids (i.e., rotation of bid list). Y N M $__________ 99. Provides memo record capability of verbal price quotations. Y N M $__________ 100. Bid Access on-line by vendor name and department code. Y N M $__________ 101. Provide for remote access to inquire and obtain copies of bid requests. Y N M $__________ 102. Obtain bid list application on-line. Y N M $__________ 103. Obtain bid summaries on-line. Y N M $__________ 104. Allows word processing feature to: a) Allow unlimited inputting of free-form comments Y N M $__________ b) Assist in compiling bid/specification documents Y N M $__________ 105. Provides bidder list selection by all or partial selection. Y N M $__________ 106. Same vendor file is used for Purchasing and Accounts Payable. Y N M $__________ 107. System provides functionality to purge historical and one-time vendors. Y N M $__________ 108. Vendor maintenance will not affect the vendor information on historical transactions. This can be overridden with the proper security access. Y N M $__________ 109. Automatic and/or manual assignment of status and priority codes, including: a) Requisitioned Y N M $__________ b) Bid Document In-Process Y N M $__________ c) Bid Sent Y N M $__________ d) Vendor Selected Y N M $__________ 50 e) Purchase Order Issued Y N M $__________ f) Delivery Date Available Y N M $__________ g) Invoice Paid Y N M $__________ 110. Contract and bid data information: a) Expiration dates Y N M $__________ b) Commodity codes Y N M $__________ c) Vendors Y N M $__________ d) Departments Y N M $__________ e) PO #s Y N M $__________ f) Insurance expiration dates, etc. Y N M $__________ g) Contract number Y N M $__________ h) Contract expiration date with extensions Y N M $__________ 111. Allows for remote receiving of products via terminal from multiple locations. Generates online discrepancy reports when quantity/type of products received differ from what was ordered. Y N M $__________ 112. Ability to allow for the recording of goods returned to the vendor. Y N M $__________ 113. Ability to handle multiple partial receipts against specific purchase orders. Y N M $__________ 114. Ability to track amounts paid and applied to individual line items on purchase orders. Y N M $__________ 115. Easily accommodates partial payments to vendors and tracks amounts owed. Y N M $__________ 116. Tracks early payment discounts received or forfeited. Y N M $__________ 117. Ability to direct payments to a vendor different than one on purchase order. Y N M $__________ 118. Electronic funds transfer for payments to vendors. Y N M $__________ 119. Ability to do EDI (Electronic Data Interchange). Y N M $__________ 120. Ability to automatically update vendor files as new purchase orders are issued. Y N M $__________ 121. Ability to automatically compare master files by commodity code, price, and discount factors to determine which vendor to purchase from, using pull-down screens. Y N M $__________ 122. Prepares a "purge file list" for buyers to review prior to users purging inactive bidders and/or vendors. Y N M $__________ 123. Associates vendor codes with commodity codes with automated bidder list. Y N M $__________ 124. Provides ability to bidders to apply / register online for a series of commodity categories. These bidder applications would be held as “pending” for a Purchasing department review and approval / rejection process, and if approved, entered directly into the system. Y N M $__________ 125. Ability to create and maintain comprehensive centralized active and inactive vendor master files with the following information: 51 a) Name and Address (order from/pay to) - multiple remit addresses per vendor Y N M $__________ b) Multiple (2+) Contact Names Y N M $__________ c) Phone Number(s) Y N M $__________ d) FAX Number(s) Y N M $__________ e) Email Addresses Y N M $__________ f) Multiple Payment Names and Addresses (ability to inactivate remit addresses) Y N M $__________ g) Date of Last Purchase and Codes of Products Purchased. Y N M $__________ h) Amount of Last Purchase Y N M $__________ i) Total Purchases, Year-to-Date Y N M $__________ j) Total Purchases Last Year Y N M $__________ k) Ownership Status (Minority Owned, Women Owner etc.) - with multiple designations possible Y N M $__________ l) Ownership Type (Corp, Partnership, etc.) Y N M $__________ m) Open Purchase Order Number and Amounts Y N M $__________ n) Open Purchase Order Number and Amounts Y N M $__________ o) Open Invoice Numbers and Amounts Y N M $__________ p) Tax ID Number Y N M $__________ q) Products Offered, Description and Code Y N M $__________ r) Last Quoted Price Y N M $__________ s) Last Quoted Shipping Date Y N M $__________ t) User-Determined Comments Y N M $__________ u) Vendor Number Y N M $__________ v) Terms Code Y N M $__________ w) Bid Documents(s) References(s) Y N M $__________ x) Purchase History File (dates, quantity, products, purchase order numbers) for Current and Prior year(s) Y N M $__________ y) 1099 Code Y N M $__________ z) Infractions Y N M $__________ aa) Internet Address Y N M $__________ bb) Comments (several fields) Y N M $__________ cc) Local vendor Y N M $__________ dd) At least five (5) additional user defined fields Y N M $__________ 126. Should be able to distinguish accounts payable vendors from bidders. Y N M $__________ 127. Should be able to distinguish accounts payable vendors from purchasing vendors so that users creating requisitions are limited to only viewing and using purchasing vendors. Y N M $__________ 128. Accumulate vendor and bidder performance statistics for all vendors, such as: a) Number/Amount of Price Increases Y N M $__________ b) Number of Out-of-Stocks Y N M $__________ c) Number of Late Deliveries Y N M $__________ 52 d) Number of Returns Y N M $__________ e) Number of Bids Submitted Y N M $__________ f) Number of Bids Awarded Y N M $__________ g) Dollar Amount of Bids Y N M $__________ h) Comments on Performance Y N M $__________ 129. At requisition level, notifies user of over-budget condition. User must be authorized to override before proceeding. Y N M $__________ 130. User can specify whether the fund, cost category, or account level is to be used to control over budget warning/restrictions. Y N M $__________ 131. POs are not released unless fund, cost center, and/or account is within budget. Y N M $__________ 132. Ability to hold requisitions and purchase orders which exceed authorized amounts. Requires authorized approval to override. Y N M $__________ 133. Allows for the on-line maintenance of a contractor master file, including contract dollar amount and duration. Y N M $__________ 134. Accommodates subsequent contract change orders to update dollar amounts and durations. Y N M $__________ 135. System is configurable to allow / disallow budget responsible individuals (with appropriate security levels) the ability to process Purchase Orders for accounts that have exceed a budget limit, when budget control levels have been exceeded. Y N M $__________ 136. Ability to overspend a account code as long as the cost category related to that account code has sufficient funds. Y N M $__________ 137. Principal Reports: Report, by department, of purchase order and requisition status. Y N M $__________ 138. Principal Reports: Comprehensive document listing report and online inquiries showing complete transaction information, which includes flexible sorting capabilities with detail and summary formats: Y N M $__________ 139. Principal Reports: Voucher Y N M $__________ 140. Principal Reports: Requisition Y N M $__________ 141. Principal Reports: Bid Y N M $__________ 142. Principal Reports: Purchase Order Y N M $__________ 143. Principal Reports: Amendments Y N M $__________ 144. Principal Reports: Ability to produce volume data reports. Y N M $__________ 145. Principal Reports: List all PO, B/O, and Contracts in alpha, chronological, code order. Y N M $__________ 146. Contract History Report detailing historical payments related to original contract amount, retainers, remaining balance, contract changes, etc. Y N M $__________ 147. Open Encumbrance/PO Report, listing the current Y N M $__________ 53 status of all outstanding encumbrances, listed in account number sequence, purchase order sequence, or vendor number sequence. 148. Encumbrance Liquidation Register, listing liquidating transactions by type, date, amount, and status. Y N M $__________ 149. Purchase Order/Requisition Register listing open purchase orders/ requisitions for selected departments or all departments by vendor or buyer. Y N M $__________ 150. Vendor Purchase Status Report listing requisitions, bids, and purchase orders in vendor, requisitioning department, purchase order number, or commodity code sequence. Shows elapsed time between status code changes. Y N M $__________ 151. Departmental Purchasing History Report. Tracking PO history and statistics by user defined time frame. Y N M $__________ 152. Aged Req. Report; list req.’s not resolved by PO, sorted by Purch. Agent, Dept., Dates, etc. Y N M $__________ 153. Expediting Report listing purchase orders that require follow-up based on predefined delivery date. Y N M $__________ 154. Request for Quotation/Proposal List, generated automatically based on buyer actions and status codes, showing all products requiring quotation/ bid documents. Includes purchase order/requisition number and requesting department. Y N M $__________ 155. Receiving Report, indicating: a) Date Received Y N M $__________ b) Location Received At Y N M $__________ c) Quantity Received Y N M $__________ d) Items Returned Y N M $__________ e) Notes on Damage, Timing, Etc. Y N M $__________ f) Discrepancies from Original Purchase Order Y N M $__________ g) Name of Receiver Y N M $__________ h) Name of Shipper Y N M $__________ i) Line for authorized signatures with custom defined text. Y N M $__________ 156. Aged Receiving Report, list PO’s pending receiving with balance data. Y N M $__________ 157. Vendor Activity/History Report, showing dollar purchase history of vendor activity, by product, compared with prior years over a user-specified time period. Y N M $__________ 158. Product Source Report, listing vendor name, contact person, and phone number, for suppliers of user- specified products by product code. Y N M $__________ 159. Ability to produce mailing labels for selected vendors and bidders. Y N M $__________ 160. Minority Vendor Report displaying vendor number, name and contact information, historical activity Y N M $__________ 54 (2 year minimum) with an ability to sort by vendor type, minority status, ownership status, etc. 161. Vendor Infractions Report showing vendor infractions by user defined time period. Y N M $__________ 162. Sole Source Vendor Exception Report. Y N M $__________ 163. Reports inactive vendors. Y N M $__________ 164. Reports activity for vendors for department(s) who use(s) the specified vendor(s). Y N M $__________ 165. Vendor Performance Report, presenting performance measures over a user-defined period. Y N M $__________ 166. Ability to capture procurement card information and relate it to inventory information. Y N M $__________ 167. Purchase orders by department Y N M $__________ 168. Amounts spent at minority and women owned businesses Y N M $__________ 169. Location of where money is spent Y N M $__________ 170. Purchase orders > $20K (adjustable target amount) Y N M $__________ 171. Bidder list labels Y N M $__________ 172. Purged purchase orders Y N M $__________ 173. Bidder lists Y N M $__________ 174. Vendor classification code list Y N M $__________ MODULE: Cash Receipting Specifications 1. Does the system provide centralized collections? Y N M $__________ 2. Can the system track all entered payments including voided receipts? Y N M $__________ 3. Does the system provide integration to an electronic cash drawer system? Y N M $__________ 4. Can the system provide collection of all methods of payment at one location? Y N M $__________ 5. Does the system provide cash-out procedure for balancing each operator? Y N M $__________ 6. Does the system provide the ability to define payment mode and provide a daily deposit cash, check, and debit composition? Y N M $__________ 7. Can the system print a cash receipt on demand? Y N M $__________ 8. Can you view transactions in the cash receipts inquiry? Y N M $__________ 9. Does the system provide on-line payment information? Y N M $__________ 10. Does the system allow one or more transactions per receipt? Y N M $__________ 11. Will the system allow for credit/debit card payments? Y N M $__________ 12. Will the system provide for direct debit transactions? Y N M $__________ 13. Report writer for ad hoc reporting? Y N M $__________ 14. Handle an unlimited number of accounts or transaction Y N M $__________ 55 codes? 15. Ability to put more than one item on a receipt (e.g., bus pass and token payment at Metro). Y N M $__________ 16. Ability to process payments over the Internet for the following services: a) Bus passes Y N M $__________ b) Permits Y N M $__________ c) Tax bills Y N M $__________ d) Water bills Y N M $__________ e) Inspection fees Y N M $__________ f) Business licenses Y N M $__________ g) Miscellaneous receipts Y N M $__________ 17. Be able to create a user-defined order in which bill payments are applied based on the payment amount, interest, penalties, bill code and date. Y N M $__________ 18. Ability to reverse a single entry in a multiple entry receipt transaction. Y N M $__________ 19. Ability to display an account number for each separate entry on a receipt. Y N M $__________ 20. Ability to designate whether a transaction was post- marked on-time to remove potential interest that may be applied to the bill associated with that payment. Y N M $__________ 21. Ability to see the full account description when processing a receipt. Y N M $__________ 22. Ability to create and view adjustments pending on an account. Y N M $__________ 23. Does the system provide integration to an electronic cash drawer system? Y N M $__________ 24. Ability to automatically display the GL account when receipting based on the receipt type with the ability to override with a valid GL account. Y N M $__________ 25. Ability to specify the order in which receipts are processed against outstanding receivables with the option of overriding the order. This would include outstanding receivables across all modules. Y N M $__________ 26. Ability to display the cashier on the receipt when having multiple registers open on the same cash drawer. Y N M $__________ 27. Ability to automatically process overpayments with an interface to Accounts Payable to generate a check for the difference between what was due and what was paid. Y N M $__________ 28. Ability to support lock-box processing. Y N M $__________ 29. Ability to have the credit-card reader integrated with the cash register. Y N M $__________ 30. Provide a minimum of four lines on the check validator. Y N M $__________ 31. Ability to manage deposits to multiple banks and accounts. Y N M $__________ 32. When receipting against a particular bill, automatically display the expected amount to receipt based on the Y N M $__________ 56 receipt type with the ability to override. 33. Ability to override who is making the payment versus the name on the account when processing a payment. Y N M $__________ 34. Ability to maintain comments at a receipt level. Y N M $__________ 35. When receiving payments from a customer provide the ability to display various status flags on the account (e.g., customer notes, NSF status, etc.). Y N M $__________ 36. Point of sale (POS) terminals connected to financial system within the departments where volume of transactions warrants the use. Y N M $__________ 37. Ability to prepare online remittance advices for departments without a point of sale terminal. Y N M $__________ 38. Online entry of remittance information by the department as payment is received, including account distribution. Y N M $__________ 39. Electronic workflow routing cash receipt information to the Treasurer and the Controller. Y N M $__________ 40. Online access for the Treasurer of banking information. Y N M $__________ 41. Ability for the Treasurer’s department to be able to view receipt information without having to enter or edit account distribution information. Y N M $__________ 42. System generates an electronic notification to Treasurer of when department deposits are made. Y N M $__________ 43. Ability for the Controller’s office to review and edit remittance information. Y N M $__________ 44. Account code information must be completed before a remittance advice can be forwarded to the Treasurer. Y N M $__________ 45. Workflow processing for approvals, review, and modification. Y N M $__________ 46. Security components to allow only the appropriate Controller office users to post cash receipts. Y N M $__________ 47. Ability of the system to distinguish among cash, check or credit card payment and to provide separate totals at days end to assist in balancing the drawer. Y N M $__________ 48. Ability to interface and download information from Excel and Access. Y N M $__________ 49. Have the capability of imaging checks and associated attachments. Y N M $__________ 50. Provide the ability to record receipts for each individual check received. Y N M $__________ 51. Ability to establish unique personnel identification numbers with authority to perform specific functions. Y N M $__________ 52. Provides user-friendly prompts or menus to guide cashier through transaction. Y N M $__________ 53. Capability to change prices, account numbers, fields, and operation ID’s Y N M $__________ 54. Fully integrated with the Accounts Receivable, General Ledger, and systems. Y N M $__________ 57 55. Ability to interface existing departmental manual POS systems with General Ledger. Y N M $__________ 56. Ability to accept/import C/R’s from independent third- party POS systems. Y N M $__________ 57. Ability to use Optical Character Recognition (OCR) or laser bar code readers for scanning receipted bills. Y N M $__________ 58. Ability to use Optical Character Recognition font type A & B, and bar codes. Y N M $__________ 59. Ability to balance cash drawers at any point in time. Y N M $__________ 60. Ability to accommodate numerous P.O.S. terminals and consolidates all P.O.S. terminal receipts at day's end. Y N M $__________ 61. Supports multiple depository bank accounts and creates separate bank deposit slips. Y N M $__________ 62. Accepts multiple payment types: a) Cash Y N M $__________ b) Checks Y N M $__________ c) Credit cards Y N M $__________ d) Debit Card Y N M $__________ e) e-checks Y N M $__________ f) Wire transfers (limited to certain accounts) Y N M $__________ 63. Ability to: a) Endorsing/validate multiple checks, bills, and documents within a single transaction. Y N M $__________ b) Print account number and transaction number on checks receipte Y N M $__________ c) Print magnetic inscription of amount receipted on checks Y N M $__________ 64. Ability to accept full or partial payments and payments without prior bill. Y N M $__________ 65. Allows on-line editing and correction of transaction errors with proper authorization. Y N M $__________ 66. Provides detail to support daily closing at the department/cash register level and monthly bank account reconciliation at the overall level. Y N M $__________ 67. Ability to summarize and post daily cash receipts by validated General Ledger account. Y N M $__________ 68. Must maintain a complete audit trail for all transactions. Y N M $__________ 69. Ability to customize detailed customer receipts, including but not limited to amount owed and received, type of payment, check number, account number, and transaction number. Y N M $__________ 70. Ability to automatically allocate receipts to several accounts. Y N M $__________ 71. Ability to post receipts to multiple outstanding bills. Y N M $__________ 72. Ability to track and search receipts by: a) Department Y N M $__________ b) Key Code / CR Type Y N M $__________ 58 c) Receipt Number/Document Number Y N M $__________ d) Terminal Y N M $__________ e) Terminal User Performing Receipt Y N M $__________ f) Time of Day Y N M $__________ g) Day of Week/Business Day Y N M $__________ h) Day of Month Y N M $__________ i) Account Receipted Y N M $__________ j) Type of Payment (cash, check, credit card) Y N M $__________ k) Type of Bill Y N M $__________ l) Customer/Type Y N M $__________ m) Customer (Number/Name) Y N M $__________ n) Bank Account Y N M $__________ o) Receipt Number/Document Number Y N M $__________ 73. Allows entry of comments (to be used internally) at time of receipt. Y N M $__________ 74. Ability to print customer name, customer address and operator on receipts as well as allow a official signature. Y N M $__________ 75. User configurable comments and messages are able to be printed on the receipt. Y N M $__________ 76. Calculates amount of change due back from amount tendered. Y N M $__________ 77. Ability to receive and apply an ACH / EFT payment from any customer contact - The system also assists with tracking the customer authorization. Y N M $__________ 78. Ability to define multiple payment types (i.e., EFT, money order) on the same transaction. Y N M $__________ 79. Ability to search on historical cash receipts by any field captured within the receipt. Y N M $__________ 80. Ability to reprint cash receipt. Y N M $__________ 81. Receipt number ranges or receipt number format “masks” can be associated to a department or user. Y N M $__________ 82. Provides bank reconciliation functionality. Y N M $__________ 83. Accommodates cash receipt type codes with default account distributions for each. User can override default distributions, if necessary. Y N M $__________ 84. Scanned bills automatically retrieve account information including amount owed. User only has to "key in" amount paid, if different from amount owed. Y N M $__________ 85. Ability to track and maintain customer draw down accounts / retainers (Circuit Court filing fees, Register of Deeds accounts for title companies). Y N M $__________ 86. Allows extensive on-line inquiry (via the P.O.S. terminal) and printout of customer account history and current balances. Y N M $__________ 87. Ability to bill for NSF or bad checks. Y N M $__________ 88. Daily Cash Receipt Listing, by department and by bank. Y N M $__________ 59 89. Cash Balances Report, By fund lists account number, beginning balance, debit, credit, and ending balance. Y N M $__________ 90. Daily Register Receipt Report including distribution showing account number, account description and total dollars, categorized by payment method. Y N M $__________ 91. Ability to generate a report showing all receipts associated with a customer name, parcel number, account number, address, etc. Y N M $__________ 92. Ability to inquire on a specific check. Y N M $__________ 93. Daily Close-Out Report summarizing daily receipt transactions by module (utility billing, Metro, etc.). Y N M $__________ 94. User/P.O.S. Terminal Productivity Report, showing number of transactions processed per day, by operator, by P.O.S. terminal, and by transaction type. Shows average time to process a transaction. Y N M $__________ 95. Bank Reconciliation Report, listing amounts deposited into each account, and total deposits compared with cash receipts for that date. Y N M $__________ 96. Bank Totals Report, Showing Bank Code, Bank Number, Bank Name and Address, and Deposit Amount. Y N M $__________ 97. Detailed Receipt Report, Showing Receipt number, entry date, user name, notes, receipt type, payment method. Within receipt type, the report shows the GL Note, GL number, bank code, and amount. Run by department, name, account number, receipt number, parcel number, etc. Y N M $__________ 98. Revenue Report, by source, bank, type, payment type, account, department, P.O.S. terminal, and operator for mail and counter receipts. Shows unreceipted balance by account, department, or type of bill over a user-specified time period. Shows bank deposits for each account. Y N M $__________ 99. Audit Trail of all receipts and postings for a user-specified time period. Includes transaction number of each receipt and G/L transaction. Y N M $__________ 100. Daily Station Report Y N M $__________ 101. Station/Cashier Listing Report Y N M $__________ 102. General Ledger Distribution Report Y N M $__________ 103. Transaction Listing Report Y N M $__________ 104. Daily Recap Y N M $__________ 105. Station Recap Y N M $__________ 106. Transaction/Tender Recap Y N M $__________ 107. Batch posting of cash receipts for the day Y N M $__________ 108. Credit Card Interface/ability to calculate and collect service fees Y N M $__________ 109. Duplicate Receipting Capabilities Y N M $__________ 60 MODULE: Investment/Bank Reconciliation Specifications 1. Capability for the Bank Reconciliation function to interface with: a) General Ledger (including for investment accruals) Y N M $__________ b) Accounts Payable Y N M $__________ c) Payroll Y N M $__________ d) Cash Receipting Y N M $__________ 2. Ability to replace the City's current Investment Management System Y N M $__________ 3. For each investment, maintain a separate maturity date. Y N M $__________ 4. Provide the daily update of the following data: a) Tickler file tracking expiration date for each investment Y N M $__________ b) Debit checking accounts and show date charged Y N M $__________ c) Amount of interest earned at maturity and date of maturity for each account number (interest needs to be separated to each individual account number). Y N M $__________ d) Credit principal and interest earned to depository accounts and show date of credit Y N M $__________ e) Display amount of investments by bank, by fund and account, and/or by maturity date Y N M $__________ 5. Allows tracking of: a) Money Market Y N M $__________ b) Bonds c) Certificate of Deposit Y N M $__________ d) Deposit Account Y N M $__________ e) Mutual Funds Y N M $__________ f) Line of Credit Y N M $__________ g) Notes Y N M $__________ 6. Provide detailed projected yield and maturity analysis tools: a) Based on current Y N M $__________ b) Based on "what if" Y N M $__________ 7. For each investment, maintain the following information: a) Cost Y N M $__________ b) Location (invested with) Y N M $__________ c) Market Price Y N M $__________ d) Book Value. Y N M $__________ e) Interest Rate Y N M $__________ f) Yield Y N M $__________ g) Maturity Date Y N M $__________ h) Date Sold Y N M $__________ i) Sale Amount Y N M $__________ j) Net Gain/Loss Y N M $__________ 61 8. Capability to track pooled investments. Y N M $__________ 9. Capability to generate account distributions for pooled investments based on average balances available for investment. Y N M $__________ 10. Capability to track long-term (greater than one year) investments. Y N M $__________ 11. Ability to import reconciled check file from the bank generated from positive pay activities. Y N M $__________ 12. Allows for pooling of funds (multiple funds per bank account) Y N M $__________ 13. Integration from other ERP modules - with source transaction information. Y N M $__________ 14. Ability to identify cleared transactions in the bank reconciliation function. Y N M $__________ 15. Ability to perform interest allocations (for pooled accounts) online with the ability to not allocate interest to certain funds. Y N M $__________ 16. Ability to record manual bank reconciliation transactions for bank charges, adjustments, etc. Y N M $__________ 17. Treasurer's Daily Cash Report, showing interest on investments, investment redemptions, warrant receipts, and inter-fund receipts. Y N M $__________ 18. Treasurer’s Cash Report Generate Daily Y N M $__________ 19. Treasurer’s Cash Report Generate Monthly Y N M $__________ 20. Capability to compile and print/display the following reports: a) Daily Cash Balances Y N M $__________ b) Maturity Analysis for All Dates Y N M $__________ c) Online access for the Treasurer of banking information. Y N M $__________ d) Yield Analysis Report Y N M $__________ e) Schedule of Investments by Source Y N M $__________ f) Accrued Interest Report Y N M $__________ g) Current Active Investments Report Y N M $__________ h) Aggregate List of Investments for a Time Period Y N M $__________ i) List of Investments by Banker/Broker Y N M $__________ 21. Provides ability to have actual bank account balances kept up-to-date and accessible on-line. Y N M $__________ 22. Allows interest distribution from investment(s) to specified G/L accounts. Y N M $__________ 23. Allows bank reconciliation on-line via tape or disk download from bank(s). Y N M $__________ 24. Account Activity Report with: a) Average Daily Balance Y N M $__________ b) Current Collected Balance Y N M $__________ c) Average Collected Balance Y N M $__________ 62 d) Adjustments/Penalties Y N M $__________ e) Deposits Y N M $__________ f) Withdrawals Y N M $__________ g) Wires Y N M $__________ h) Accrued/Earned Interest Y N M $__________ 25. Reconciled Check Report Y N M $__________ 26. On-line inquiry of status of issued checks. Y N M $__________ 27. Provision to void checks (Payables and Payroll) within the sub-modules. Y N M $__________ 28. Provision to replace lost checks with manually prepared check and reflect new check numbers. Y N M $__________ 29. Listing and printing of outstanding checks with check number on-line, showing: a) Date Issued Y N M $__________ b) Amount Total Y N M $__________ c) Payee Y N M $__________ d) Bank Account Number(s) Y N M $__________ 30. 30+ days aged listing of outstanding checks as above. Y N M $__________ 31. Listing of Transactions affecting GL cash accounts (payroll, AP, cash receipts, etc.) Y N M $__________ 32. Bank Reconciliation Report, listing amounts deposited into each account, and total deposits compared with cash receipts for that date. Y N M $__________ MODULE: Tax Billing Specifications 1. Ability to perform the collection and tracking of collections for delinquent real and personal property. Y N M $__________ 2. Be able to track taxes through the foreclosure process (including tax sale and foreclosure) for summer tax bills. Y N M $__________ 3. System has the ability to designate reports and account statements which designate delinquents and installment accounts, based on filters established by the user. Y N M $__________ 4. Be able to generate a one-time penalty for those not paying on the installment plan. Y N M $__________ 5. Ability to process foreclosures within the system. Y N M $__________ 6. Be able to designate whether a parcel falls within a TIF and recognize that when receiving a tax payment. Y N M $__________ 7. Parcels need to be identified with the applicable TIFs with which they are associated. Y N M $__________ 8. Ability to maintain the following types of customer records at a parcel level - all entities are tracked centrally: a) Owner Y N M $__________ b) Land contract purchaser Y N M $__________ c) Tax payer Y N M $__________ d) Mortgage/escrow service Y N M $__________ 63 9. Ability to support future dated payoffs of a tax bill Y N M $__________ 10. Ability to identify parcels in which payment is made in lieu of tax. Y N M $__________ 11. Ability to designate a parcel that should not be assessed the admin fee (paid by the State). Y N M $__________ 12. Interfaces with: a) General Ledger Y N M $__________ b) Accounts Receivable Y N M $__________ c) Appraisal/Assessments Y N M $__________ d) Special Assessments Y N M $__________ e) Misc. Receivables Y N M $__________ f) Accounts Payable Y N M $__________ g) Utility Billing Y N M $__________ 13. Ability to automatically calculate and apply interest and penalties on late tax billings and various assessments at user-defined rates, except on exempt accounts. Y N M $__________ 14. Provides the ability to record partial property tax payments and identify portion of the bill to apply payment. Y N M $__________ 15. System can identify a user defined scheme for priority of categories in regard to how payments will be received and applied. Y N M $__________ 16. Capability to do summer tax deferments. Y N M $__________ 17. Capability to do winter tax deferments. Y N M $__________ 18. Capability to roll charges from billing systems (misc. billing) within the ERP, to the tax system. Y N M $__________ 19. Capability to identify the type of type of lien including the sub-system of origin. Y N M $__________ 20. Retains unlimited current and historical information on each real and personal property, by parcel or Parcel ID number, including: Y N M $__________ a) Mailing address & parcel address Y N M $__________ b) Mailing address changes Y N M $__________ c) Mortgage code Y N M $__________ d) Base year S.E.V. Y N M $__________ e) Taxable Value Y N M $__________ f) Capped Value Y N M $__________ g) Lesser of SEV and Capped Value Y N M $__________ h) Applicable IFT information including multiple certificate numbers. Y N M $__________ i) Homestead/Non-Homestead Y N M $__________ j) Ownership Y N M $__________ k) Legal Descriptions Y N M $__________ l) Assessment Value Y N M $__________ m) Tax Rate Y N M $__________ n) Equalization Factor Y N M $__________ 64 o) Bill Number (same as Parcel ID number) Y N M $__________ p) Payments Y N M $__________ q) Balance Due Y N M $__________ r) Adjustments (refunds) Y N M $__________ s) Delinquency Y N M $__________ t) Special Assessments (SAD) Y N M $__________ u) Various Assessments Y N M $__________ v) TIFA (Tax Increment Financial Authority) Y N M $__________ w) LDFA Y N M $__________ x) Brownfield Y N M $__________ y) Renaissance Zone Y N M $__________ z) Other Future Districts Y N M $__________ aa) DDA Y N M $__________ 21. Ability to send electronic exports to mortgage companies (sent to companies in order for them to make payment with electronic files). Y N M $__________ 22. Ability to accept receipt transactions from a point-of-sale Terminal (POS) and automatically update the accounts receivable files. Y N M $__________ 23. Ability to receive electronic files for updating of mortgage company codes. Y N M $__________ 24. Capability to accept electronic imports for receipt transactions. Y N M $__________ 25. Ability to scan in tax receipts with an optical character recognition device or bar code wand interfaced with the POS. Y N M $__________ 26. Ability to view a "running balance" associated with a Parcel, which will include all transaction data from all sub- systems. Y N M $__________ 27. Provides computation of interest and refund for tax tribunal judgments and semi-annual Board of Review. Y N M $__________ 28. Provides capability of reversing or voiding tax payments at the POS, with security authorization. Y N M $__________ 29. Capability to automatically sort tax bills by zip code plus four, mortgage company, bank, or other tax servicing agent prior to printing. Y N M $__________ 30. Ability to reprint tax bills locally for taxpayers who have lost their originals for the proper tax season. Y N M $__________ 31. Comprehensive on-line inquiry into billing and payment history. Y N M $__________ 32. Capability to provide for state property parcel identification number (Parcel ID Number). Y N M $__________ 33. Capability for the user to override interest and penalties on delinquent taxes and various assessments. Y N M $__________ 34. Capability to optionally send information-only copies of tax billings to property owners where payment is made by a mortgage company, as requested by customers, Y N M $__________ 65 individually, or by a periodic system wide batch process. 35. Capability to maintain a list of current and delinquent businesses and associated personal property tax accounts for all years in the system. Y N M $__________ 36. Capability to perform the following screen inquiries: a) Mailing Address Y N M $__________ b) Name (Owner) Y N M $__________ c) Parcel Y N M $__________ d) Mortgage Code Y N M $__________ e) Property Address Y N M $__________ 37. Capability to transfer one-time special assessments to the tax roll. Y N M $__________ 38. Capability to process multiple year tax and assessment rolls with appropriate handling of parcel splits and combinations. Y N M $__________ 39. Capability to attach comments regarding collection efforts or account status to specific accounts. Y N M $__________ 40. Ability to override penalty and interest. Y N M $__________ 41. Capability to transfer to the tax roll based upon delinquent payments: Y N M $__________ a) Housing and building code enforcement fines b) Environmental fees (weeds, trash, etc.) Y N M $__________ c) False alarms Y N M $__________ d) Special Assessments Y N M $__________ e) Water and sewer bills Y N M $__________ f) Heavy Refuse Y N M $__________ g) Demolition Y N M $__________ h) Other User-defined Y N M $__________ i) Other various assessments Y N M $__________ 42. Tie payments made against delinquent balances that have been rolled to the tax bill to be reflected in these other modules (e.g., permits and inspections). Y N M $__________ 43. Capability to handle combining and splitting of parcels. Y N M $__________ 44. Various assessment rolls "roll-forward" each year for billing. Y N M $__________ 45. Capability to track parcels that are exempt from taxation. Y N M $__________ 46. Ability to track owner history on a parcel. Y N M $__________ 47. Capability to flag bankruptcy accounts to prevent issuance of delinquent or collection notices. Y N M $__________ 48. Cash Receipts Report for Taxes Captured by a TIF which breaks down the amount collected by line item. Provides YTD, MTD and period (user-defined) collection by line item and totals by taxing entity. Y N M $__________ 49. Semiannual Tax Roll including Parcel ID number, name, mailing address, property address, legal description, detail of taxes levied, date and amount paid, and any delinquent Y N M $__________ 66 amount due. Homestead/non-homestead, SEV, taxable value. 50. Report of adjustments to tax roll, BOR, MTT, etc. Y N M $__________ 51. Annual Tax Roll sorted by parcel number with subtotals by bill book number; date & amount paid; BOR/MTT adjustments; Real, personal, IFT, etc. Y N M $__________ 52. Delinquent Tax Roll listing of the code number, name, mailing address, and detail of delinquent taxes due, printable at any time, and separate by July and December tax seasons and a combined tax roll. Y N M $__________ 53. On-Demand Tax Payment Receipts Report of all amounts received against a specific billed amount, by workstation or POS. Y N M $__________ 54. Various Assessment and Misc. Receivables “Transfer-to- Taxes” Report. Y N M $__________ 55. Tax Bills and Delinquent Tax Bills with descriptive information, including specific rates used, name of taxpayer, address, bill number, account number, parcel number, exemptions/deferments, and special assessments. All taxes/assessments shown separately. Capability to print tax bills by zip code or mortgage code. Y N M $__________ 56. Tax Billing Register and Edit List Y N M $__________ 57. Special Assessment Statements. Y N M $__________ 58. Special Assessment Billing Register and Edit List sorted by assessment program and taxpayer. Y N M $__________ 59. Mortgage Company Listing in mortgage company and Parcel ID number sequence, showing mailing name and address and receivable amount. Y N M $__________ 60. Taxes Levied Report with ability to print for multiple counties. Y N M $__________ 61. Paid / Unpaid Tax Roll. Y N M $__________ 62. IFT Report to State. Y N M $__________ 63. Letters to individuals (e.g., Personal Property Filing Past Due). Y N M $__________ 64. Preliminary Tax Billing Register/Bill Calculation. Y N M $__________ 65. Tax Roll (detail and summary capabilities). Y N M $__________ 66. TIF Rolls (DDA, LDFA, Brownfield, Renaissance Zone, etc.). Y N M $__________ 67. User Designable Bill Print Y N M $__________ 68. Open Accounts Receivable reports with flexibility to report by year, property range, type, tax entity/category, lending code, etc. (detail/summary capabilities and “as of” a specified date report capabilities). Y N M $__________ 69. Lending Code Report Y N M $__________ 70. Bill listing by lending code Y N M $__________ 71. Tax distribution report w/ interest spread and TIF breakdown (detail and summary) Y N M $__________ 72. Interest/Late Fee calculation report Y N M $__________ 67 73. Tax Rate/Millage reports (billing codes) Y N M $__________ 74. Tax Sale Certificates Y N M $__________ 75. Tax Lien Discharges Y N M $__________ 76. Foreclosure Reports Y N M $__________ 77. Daily Recaps (detail & summary) Y N M $__________ 78. Monthly Recaps (detail & summary) Y N M $__________ 79. Delinquent Tax Roll w/ flexibility to meet County specifications (detail/summary and “as of” a specified date capabilities) Y N M $__________ 80. Full Tax Roll w/ flexibility to meet County specifications (detail/summary and “as of” a specified date capabilities). Y N M $__________ 81. Tax Clearance Certificates Y N M $__________ 82. Tax History reports (individual parcel basis) Y N M $__________ MODULE: Utility Billing System Specifications 1. System operates in a real time environment – not batch processing? Y N M $__________ 2. Menus have drill-down capabilities for detail? Y N M $__________ 3. ALL screens are in a native GUI format? Y N M $__________ 4. System has a complete current version online help function? Y N M $__________ 5. Report writer for ad hoc reporting? Y N M $__________ 6. Maintain record audit trail for modification history? Y N M $__________ 7. Handle an unlimited number of accounts (12 digit codes) Y N M $__________ 8. Does the system support multiple billing cycles? Y N M $__________ a. Monthly billing? Y N M $__________ b. Bi-monthly billing? Y N M $__________ c. Mixture of monthly and bi-monthly? Y N M $__________ d. Quarterly billing/mixture of quarterly and monthly? Y N M $__________ e. Semi-annual? Y N M $__________ f. Final billing? Y N M $__________ 9. Does the system integrate with: a. General Ledger? Y N M $__________ b. Cash Receipting? Y N M $__________ c. Accounts Payable? Y N M $__________ 10. Allow unlimited number of customers? Y N M $__________ 11. Unlimited number of rates per service? Y N M $__________ 12. Does the system have a meter change-out program? Y N M $__________ 13. Can the system generate work orders? Y N M $__________ a. Connection Y N M $__________ b. Disconnect Y N M $__________ c. Service Y N M $__________ 14. Does the system support hand-held meter reading device uploads? Y N M $__________ 68 a. What makes? Badger & Sensus required. Y N M $__________ b. Support unlimited number of meters? Y N M $__________ 15. Does the system have an integrated meter inventory? Y N M $__________ a. Locations? Y N M $__________ b. Type? Y N M $__________ c. Class? Y N M $__________ 16. Does the system have an integrated supplies inventory system? Y N M $__________ 17. Does the system track meter maintenance? Y N M $__________ 18. Does the system support user-defined bill calculations? Y N M $__________ 19. Does the system provide user-defined penalty options? Y N M $__________ 20. Does the system provide interest calculation on balances? Y N M $__________ 21. Can the system prorate billings? Y N M $__________ 22. Can the system accommodate leak adjustments to accounts? Y N M $__________ 23. Are grace/tolerance days user-definable? Y N M $__________ 24. Does the system produce dunning letters? Y N M $__________ 25. Does the system accommodate producing duplicate dunning letters (tenant & landlord)? Y N M $__________ 26. Does the system have ad hoc reporting capabilities? Y N M $__________ 27. Does the system include built-in utility consumption and revenue summary by rate class and/or meter size? Y N M $__________ 28. Capable of unlimited number of years of billing information? Y N M $__________ 29. Can the system automatically generate credit refunds? Y N M $__________ 30. Capable of allowing special charges/fees? Y N M $__________ 31. Capable of date sensitive user-defined code comment screen? Y N M $__________ 32. Capable of unlimited note per account? Y N M $__________ 33. A separate “Parcel Screen” listing as least: a. Service location Y N M $__________ b. Parcel ID Y N M $__________ c. Service Name Y N M $__________ d. Owner Name Y N M $__________ 34. Does the system allow for “unbundling” of charges and show them separately on the customer’s utility bill? Y N M $__________ 35. Does the system allow for custom utility bill layout? Y N M $__________ 36. Does the system accommodate average payment plans? Y N M $__________ 37. Does the system accommodate low income or other discounts? Y N M $__________ 69 38. Does the system accommodate Internet bill delivery? Y N M $__________ 39. Does the system accommodate balance transfer to taxes for delinquent accounts? Y N M $__________ 40. Does the system accommodate the generation of tax roll notices? Y N M $__________ 41. Does the system accommodate duplicate letters to owner & tenant? Y N M $__________ 42. Will the Utility Billing system post to General Ledger system? Y N M $__________ 43. Does the system print shut-off notices? Y N M $__________ 44. Will the system print bills on a laserjet printer? Y N M $__________ 45. Will the system allow for individual bill reprints? Y N M $__________ 46. A separate “Meter Screen” listing as least: a. Route number Y N M $__________ b. Sequence number Y N M $__________ c. Meter serial number Y N M $__________ d. Meter transmitter number Y N M $__________ e. Installation date Y N M $__________ f. Manufacturer code Y N M $__________ g. Meter size Y N M $__________ h. # of display digits Y N M $__________ i. Read type (Connect, Sensus, etc) Y N M $__________ j. # user defined fields? Y N M $__________ k. Service description (Permit #) Y N M $__________ 47. How many user defined fields? Y N M $__________ 48. How many name/address fields per service location? Y N M $__________ 49. Will the system generate receivables/balances reports? Y N M $__________ 50. Does your system incorporate a customer account web inquiry? (ie: payment history, water usage, balance due) Y N M $__________ 51. Does your system include an ACH interface for automatic monthly debits? Y N M $__________ 52. Does your system have the ability to export data? Y N M $__________ 53. Does your system have the ability for a payment import option? Y N M $__________ 54. Is your system capable of handling overpayments and/or refunds? Y N M $__________ 55. Does the system have the ability to integrate with ESRI GIS? Y N M $__________ 56. System provides the ability to pre establish billing cycle records with month / year; bill distribution date; bill due date and final due date. Y N M $__________ 57. System has ability to enter customer account information off of City's Water Service application and identify the related necessary service order Y N M $__________ 70 activities: a) And take a deposit. Y N M $__________ b) And take additional fees for creating a new account. Y N M $__________ c) And interface with the Work Order system for completion of work. Y N M $__________ d) And generate a New Service Installation Card that details, new account information, customer information, site information, new service order activities required. Y N M $__________ 58. System will calculate interest on customer utility bill deposits at a rate the City determines Y N M $__________ 59. System has ability to assist new account construction. Y N M $__________ a) By taking construction deposits. Y N M $__________ b) By allowing to bill for construction, over time. Y N M $__________ 60. System will print a detailed receipt for all customer deposits. Y N M $__________ 61. System will allow customer deposits to default to a City determined rate, which can be over-ridden when the deposit is taken. Y N M $__________ 62. System tracks the following for installed meters: a) Active / inactive Y N M $__________ b) Age Y N M $__________ c) Size and type Y N M $__________ 63. System interfaces with the Fixed Assets module to assist with disposal when a meter is changed out. Y N M $__________ 64. Replaces the City's current NCC: Sewer Lead application (#14) and tracks the following Sewer Lead information: a) Sewer Lead Number Y N M $__________ b) Size Y N M $__________ c) Location Y N M $__________ d) Installation Year Y N M $__________ 65. System replaces the City's current CONEN_FTP_XFER, CPUPDATE, and CPREADS_RENAMER applications (#6) to facilitate meter reads performed by an external organization (currently, Consumers Energy) by performing the following functions: Y N M $__________ a) Exports file daily indicating changes to customer account information. Y N M $__________ b) Imports file daily of meter readings performed by external organization. Y N M $__________ c) Provides tools and process to reconcile Utility account profile information (Account, Address, meter #, trigger month, etc.) with the external meter reading organization on a quarterly basis. Y N M $__________ 71 66. Ability to calculate a new charge based on prior year usage. Y N M $__________ 67. System accommodates the following payment types for utility payments: a) Cash Y N M $__________ b) Check Y N M $__________ c) EFT Y N M $__________ d) Credit Card Y N M $__________ e) Debit Card Y N M $__________ f) Credit Card Payments taken on the Internet Y N M $__________ g) File import from 3rd party payment organization Y N M $__________ 68. System provides the ability to generate a receipt with payments for multiple accounts. The printed receipt should show the detail of each account. Y N M $__________ 69. Accommodates the City's Sewer Based billing capped as a percentage water consumption of a user specified fiscal quarter. Y N M $__________ 70. System replaces the City's current Standard Register Utility Bill Printing application (#60) and can generate the following documents on the City's pre- printed forms: a) Bills Y N M $__________ b) Group bills Y N M $__________ c) Reminder Notices Y N M $__________ d) Shut off (final) Notices Y N M $__________ e) Final Bill for Previous Service Y N M $__________ f) Reminder of Final Bill for Previous Service Y N M $__________ g) Industrial / Municipality / Septic Hauler Bill Y N M $__________ 71. System generates reports that are used after a shut off occurs, that will assist with identifying accounts for Delinquent processing. Y N M $__________ a) Identifies outstanding amount Y N M $__________ 72. System integrates with Tax module to establish tax lien for delinquent accounts. Y N M $__________ 73. System integrates with the City's website to provide online functionality where customers can access information related to their account. Including: Y N M $__________ a) Consumption History Y N M $__________ b) Payment History Y N M $__________ c) Current Bill Y N M $__________ d) Ability to pay online Y N M $__________ e) General Account information Y N M $__________ 74. System automatically generates an exception edit list when reads are applied to customer accounts. Y N M $__________ 75. System has the ability calculate new bills. Y N M $__________ 76. System has the ability, when working in a billing cycle, to change a read, and then to either individually rebill or recalculate the bill. Y N M $__________ 72 77. System provides a Odd Bill list that details bills that meet the City's exception criteria. Y N M $__________ 78. System provides a Recomp List that details accounts that have an actual read for the current billing cycle and estimated read the prior billing cycle. Y N M $__________ 79. System has the ability to replace the City's current PORTAGEMIBILLS_MAILER application (#43) and generate a report "The Portage Report" detailing consumption and billing activity for a individual billing district, and electronically save to a file, to be emailed to that entity. Y N M $__________ 80. System provides the ability to update accounts with new billing information once bills are mailed. Y N M $__________ 81. System provides the ability to recreate current bills, and re-mail them. Y N M $__________ 82. System provides the ability to apply security deposits to accounts, either after meeting criteria, or when the customer is inactivated from an account. Y N M $__________ 83. System provides the ability to generate a file of service orders for specified date range that will interface with Radix software. Y N M $__________ 84. System provides the ability to import a file of service orders from Radix software that will have read information, notes and changes to customer account, shut off information, special reads, changes to meters, checks for unusual consumption, and re-final reads. Customer accounts changes are reflected. Y N M $__________ 85. System provides the ability to schedule various processes (reports, billing, etc) for after work hours. Y N M $__________ 86. Ability to create, edit and revise rate tables, tracking history of prior rate tables. Y N M $__________ 87. Rates applied for customers must be validated based on service location, billing frequency, customer class and service type. Y N M $__________ 88. Ability to "final" an account or move-in a new customer without having to go thru the Service Order process - in case of "date back". Y N M $__________ 89. Ability to change account number/address of a current account, without losing information from old account number. (i.e.: an address will change, and the account number is based on the address, so both would need to be changed). Y N M $__________ 90. Ability to transfer amounts owed from one account to another. Y N M $__________ 91. Ability to transfer deposits from one account to Y N M $__________ 73 another. 92. Ability to track owner history. Y N M $__________ 93. Ability to create / update Meter numbers. Y N M $__________ 94. Ability to support the following packet / batch based processing. Y N M $__________ a) Ability to create adjustment packets - system calculated based on account corrections (usage, estimations, incorrect read, etc.) made by the user. Y N M $__________ b) Ability to create mail payment packets. Y N M $__________ c) Ability to create or add to a packet. Y N M $__________ d) Ability to update or delete an entry within a packet. Y N M $__________ e) Ability to view a packet on PC prior to processing. Y N M $__________ f) Ability to print copy of packet prior to processing. Y N M $__________ g) Ability to make corrections prior to processing. Y N M $__________ h) Ability to delete a packet. Y N M $__________ i) Ability to reset a packet. Y N M $__________ 95. Interfaces with General Ledger, Accounts Receivable, Inventory, Cash Receipting/P.O.S and an office automation suite. Y N M $__________ 96. Interfaces with job cost/work order module to bill customers for repairs, new meters, etc. Y N M $__________ 97. Processes Service Orders for: a) New Account Y N M $__________ j) Shut offs Y N M $__________ k) Special reads Y N M $__________ l) Change meter Y N M $__________ m) Unusual Consumption check Y N M $__________ n) Re-final reads Y N M $__________ 98. Ability to generate bills capable of being read via OCR or bar code scanners. Information on barcode must include: a) Account # Y N M $__________ o) Bill Amount Y N M $__________ p) Cycle Number Y N M $__________ 99. Ability to interface with point-of-sale terminals and PC’s with OCR or bar code reading devices, including hand held scanners. Y N M $__________ 100. System replaces the City's current Utility Bill Barcode Scanner application (#25) to scan bills and automatically populate the ERP systems receipt screen with utility bill information. Y N M $__________ 101. Ability to indicate date payment was received. Y N M $__________ 102. Ability to override and/or credit penalty Y N M $__________ 74 103. Ability to override a penalty due, only if user is authorized. Y N M $__________ 104. Ability to automatically charge penalty for amounts past due. Y N M $__________ 105. Allows inquiry into account status via name, account number, address, meter number, social security number, or other user-defined criteria. Y N M $__________ 106. Transfers delinquent account balances to Property Tax module (Equalizer software), or creates input file for Property Tax roll, after applying user defined penalty to each account. Y N M $__________ 107. Delineates tenant-landlord relationship. Allows user to specify who receives the bill and who is responsible for delinquencies. Y N M $__________ 108. System provides the ability to send final notices to the landlord if a tenant is responsible for the bill, and the landlord would like to be informed of non-payment. Y N M $__________ 109. Performs electronic on demand posting to General Ledger after accounting approval step is performed. Y N M $__________ 110. Accommodates unlimited user-defined utility types/services. Establishes required services and adds new services, as necessary, without additional programming. Includes, but is not limited to, utility types/services such as: a) Water Metered Y N M $__________ b) Sewer based on water usage Y N M $__________ c) Sewer Metered - may include Deduct meters Y N M $__________ d) Sewer Flat Rate Y N M $__________ e) Hydrants Flat Rate Y N M $__________ f) Master Metered Wholesale Accounts Y N M $__________ g) Non-Master Metered Wholesale Accounts Y N M $__________ h) Septic Dumping - No Meter Y N M $__________ i) Quantity/ Quality - Amount for volume of wastewater plus separate amounts based on monitored strengths (up to 4 pollutant) Y N M $__________ j) Township surcharges on Water / Sewer amounts Y N M $__________ k) Sewer Maintenance Y N M $__________ l) True Up amounts for prior years Y N M $__________ m) Misc. Fees and Charges Y N M $__________ n) Water Turn On Fee Y N M $__________ o) After Hours Turn On fee Y N M $__________ p) NSF Fee Y N M $__________ q) Late Payment Penalty Y N M $__________ 111. Automatically splits total receipted amount to appropriate General Ledger account. Y N M $__________ 75 112. Retains and displays multiple years (seven plus current) of billing and collection history on-line in 'Live' database. Y N M $__________ 113. Maintains utility account master file information in a relational database, including: Y N M $__________ a) Account Number (10 alphanumeric characters minimum - including Street Code Letters, address, etc.). Y N M $__________ b) Customer Identifier Number Y N M $__________ c) Phone Numbers Y N M $__________ d) E-mail address Y N M $__________ e) Route Number (4 digits minimum) Y N M $__________ f) Route Sequence Number (4 digits minimum) Y N M $__________ g) Type of Service Y N M $__________ h) Number of Units (stores, apts., etc.) Y N M $__________ i) Billing/Usage/Collection History Y N M $__________ j) Name and Address (both service and billing) Y N M $__________ k) EFT Bank Account & ABA Routing Number Y N M $__________ l) EFT Start/Stop Dates Y N M $__________ m) EFT Bank Account Type Y N M $__________ n) Tax ID/Parcel Number Y N M $__________ o) Amount Due/Received Y N M $__________ p) Comments/Notes (unlimited) Y N M $__________ q) Meter Location Code Y N M $__________ r) Meter Reader Instructions (unlimited) Y N M $__________ s) Meter Number (with ability to assign multiple meters per account) Y N M $__________ t) Remote Location Description (unlimited) Y N M $__________ u) Remote ID Number Y N M $__________ v) Rate Codes Y N M $__________ w) Social Security Number Y N M $__________ x) Drivers License Number Y N M $__________ y) Penalties Types Applicable, by Frequency Y N M $__________ 114. Ability to post cash receipts to utility billing module automatically from multiple terminals without interfering with other utility transactions. Y N M $__________ 115. As a customer moves out, and a new one moves into the premises, new "trailer number" is created, and the previous customer number is retained. Y N M $__________ 116. System provides the capability to set the priority for each type of service in order to automatically pays off arrears first. Y N M $__________ 117. Allows for credit balances, but does not apply penalties to such balances. Y N M $__________ 118. Provides the ability to enter adjustments to customer accounts (dollar amounts and cubic meters used) and reprint single billing statements Y N M $__________ 76 reflecting the adjustments made. 119. Ability to bill various cycles at differing frequencies (i.e.: residential accounts quarterly and commercial/industrial accounts monthly, semi- monthly and/or quarterly). Y N M $__________ 120. Ability to calculate and print all bills due in a given month, within a single cycle or for all cycles. Y N M $__________ 121. Ability to re-calculate bills before posting to accounts. Y N M $__________ 122. Capability to include total arrearages on the bills when mailed to customers. Y N M $__________ 123. Capability to support compound water meters. Y N M $__________ 124. System must accommodate and identify the following read types: a) Capability to interface with any hand-held electronic meter reading system. Y N M $__________ b) Ability for a user to enter a manual estimate. Y N M $__________ c) Ability for system to estimate read based on usage from last billing AND the same period of the prior year - estimate is displayed on customer bill. Y N M $__________ 125. Capability to print previous period/last year's comparative period consumption and current period consumption on each bill. Y N M $__________ 126. Capability to interface with an IBM PC- based Route Management system to download routes to the PC and upload meter readings to the utility billing system. Y N M $__________ 127. Capability to prompt the meter reader by displaying customer numbers in normal field read sequence. Y N M $__________ 128. Ability to add comments to all, a group, or an individual bill. Y N M $__________ 129. Capability to accept more than one payment in a single day from a single customer. Y N M $__________ 130. Ability to reinstate an inactive account. Y N M $__________ 131. Ability to automatically create the next trailer number when someone moves out. Y N M $__________ 132. Ability to maintain inactive accounts on-line for a user-defined period of time before purging from the system. Y N M $__________ 133. Ability to retain inactive account information, including Curb Box location. Y N M $__________ 134. Ability to change account status to ‘off’ or inactive, but with past due amount. Y N M $__________ 135. Allows the addition and reassignment of cycles and routes without affecting the customer or Y N M $__________ 77 location identification numbers. 136. Generates final bill, once date and final read is entered at any point during the billing cycle (i.e.: weekly bill runs). Y N M $__________ 137. Ability to prorate service fees for partial billing due to initiation or termination of accounts. Y N M $__________ 138. Ability to select local laser printer or high- speed impact printer. Y N M $__________ 139. Provides multiple customer classes and rate schedules (residential, commercial, industrial, multi- family, seasonal, fire hydrant, industrial-monitored, municipal, de-watering, septic, etc.) for each user- defined service charge type. Y N M $__________ 140. Allows for different charge methods for each user-defined service charge type: a) Flat charge (amount based or day based) Y N M $__________ b) Deduct Meters Y N M $__________ c) Based on prior period consumption on one or more accounts Y N M $__________ d) Based on strength Y N M $__________ e) Based on consumption, measured by meter Y N M $__________ f) Surcharge (% of other services) Y N M $__________ 141. Bills can be based on multiple components (consumption + flat meter charge per meter size per billing cycle prorated for number of days). Y N M $__________ 142. Allows inquiry to meter history by meter number, remote ID number, account number or service address. Y N M $__________ 143. Reverses payment for bad checks and optionally assesses a user-defined NSF charge. Y N M $__________ 144. System provides ability for the City to either prorate mid-cycle rate increases for existing billable services, or not. Y N M $__________ 145. Provides for mass changes to accounts due to the deletion of a cycle, the merging of existing cycles, or moving a sub-segment of a cycle to another. Y N M $__________ 146. Ability to add, delete, or suspend (for a user-defined time period) and itemize service charges and/or any miscellaneous fees to utility bill. Y N M $__________ 147. Estimates a utility bill based criteria to be established by the City (i.e.: on the average consumption over a user defined number of months or cycles, or using last year’s actual for the same period) and shows "estimate" on the customer's bill. Y N M $__________ 148. Provides user-defined work order types. Y N M $__________ 149. Automatically creates work orders and manages scheduled, in-progress, and completed Y N M $__________ 78 service orders. 150. Automatically prompts service order generation based on input from meter readers. Y N M $__________ 151. Ability to generate a shut-off work order, as defined by user, based on the shut-off report. Y N M $__________ 152. Accesses and displays work order at any time regardless of status. Y N M $__________ 153. Automatically produces work orders containing information such as request date, person or department initiating request, job type, due date and comments. Y N M $__________ 154. Ability to inquire on all outstanding work orders. Provides the flexibility to list information by job type, request date or due date. Y N M $__________ 155. Ability to apply credit and debit adjustments and positive / negative consumption adjustments to accounts anytime during the billing cycle. Y N M $__________ 156. Adjustments report displays adjustment details including dollar amount, consumption volume (cubic meters) and rate code. Y N M $__________ 157. Adjustments report displays amount of adjustment based on demand (service charge) amount. Y N M $__________ 158. Ability to edit reads at any time, before, during, or after billing. Y N M $__________ 159. Ability to update G/L with journal entries made in utility billing after proper approvals. Y N M $__________ 160. Capability of automatically applying certain misc. charges of varying amounts against selected accounts based upon meter size. Y N M $__________ 161. Ability to handle meter readings with 3, 4, 5, 6 or 7 significant digits. Y N M $__________ 162. Ability to calculate a credit when previous estimate was more than the actual consumption. Y N M $__________ 163. Ability to bill accounts in excess of x,xxx,xxx dollars. Y N M $__________ 164. Accommodates the City's Group Bill process: a) Ability to have parent / child relationship for accounts for "Group Bills" whereby a single unique account number represents a account that consolidated multiple individual accounts. Y N M $__________ b) System has the ability to bill for all individual accounts on a "Group Bill" on a single bill. Y N M $__________ c) Ability to automatically distribute receipt of payments against the individual accounts on a "Group Bill" when payments are received. Y N M $__________ 165. Ability to process seasonal billings. Y N M $__________ 79 166. System accepts ACH payments from banks. Y N M $__________ 167. System integrates with an integrated voice response system to allow customers to be able to inquire on account and bill information via phone. Y N M $__________ 168. Ability to identify accounts sent to a collection agency and report on payments received. Y N M $__________ 169. Ability to identify accounts sent to other jurisdictions as a tax lien and report on payments received. Y N M $__________ 170. Ability to identify accounts sent to the City as a tax lien and report on payments received. Y N M $__________ 171. Ability for payments to link directly to the Tax Billing system and make the appropriate GL interfund enteries. Y N M $__________ 172. Ability to view accounts by Customer Identifier. Y N M $__________ 173. Ability to create surcharge services based on account location. Y N M $__________ 174. Ability to apply partial payments. Y N M $__________ 175. Ability to export a file of utility bills to an external bill printing organization. Y N M $__________ 176. Ability to process user-defined payment arrangements and flag if payments are not being met. Y N M $__________ 177. Cycle Report, details an individual cycle and displays high balances to potentially identify possible tax liens. Y N M $__________ 178. Customer Report, details information regarding customer's account, name, address, account number, meter info, reads, rate codes, transaction history. Y N M $__________ 179. Top 100 Users Report, detailing highest consumption accounts, providing account and usage information. Y N M $__________ 180. Lookback Adjustment Report - detailing account charges identifed as Lookback Charges. Y N M $__________ 181. Service Order Report - to show, by specified date, orders to be done. Y N M $__________ 182. Group Bill Report - detailing amounts owed on each individual account. Y N M $__________ 183. Consumption Report, by account, showing utility usage over a user-specified time interval. Flags abnormally high/low usage by user. Y N M $__________ 184. No Read Report, indicating time since last meter reading for those accounts not read over a user-defined cycle or date range. Y N M $__________ 185. Payment History, reporting bills and associated payments receipted by account. Shows Y N M $__________ 80 dates, amounts, arrearages, penalties, account name, consumption, and address. Can be run for one account and allow user to view-on-line. 186. Customer Statistics Report, presenting customer characteristics including number of customers, number of customers by meter size and billing category (customer type), usage and revenue by meter size, usage and revenue by billing type code, date range, district, book, and by a combination of the above. Y N M $__________ 187. Customer Receivables Aging, presenting aging of user-defined criteria and / or general accounts receivable by customer indicating total amount due and amounts aged by 30 days, 60 days, 90 days, etc. Y N M $__________ 188. Cash Receipts Listing, reporting all amounts collected against customer accounts. Can be printed on demand with user-defined criteria prior to posting. Y N M $__________ 189. Shut-Off Report, per cycle, showing accounts with one or more delinquent bills totaling over a user defined amount. Y N M $__________ 190. Tax Rollover Report, listing accounts with one bills which are past due, and the delinquent amount due is above a user defined amount. Y N M $__________ 191. Delinquent Notices to Customers, generated seven days after payment was due, including applicable penalty amounts added. Y N M $__________ 192. All master file information is accessible by the report writer. Y N M $__________ 193. Shut off Notices. Y N M $__________ 194. Journal Entry Report, showing all J/E’s over a user-defined period. Y N M $__________ 195. Billing Register, sorted on user-defined criteria, showing name, location address, current period charges by service, date billed, due date, readings, etc. Y N M $__________ 196. Monthly Customer Report. Y N M $__________ 197. Monthly Adjustment Report. Y N M $__________ 198. Outstanding Water Order Report, showing flags based on user-defined criteria. Y N M $__________ 199. Billing Statistics (Rate Codes, Consumption Amt, Dollar Amt, Consumption & Demand charges broken out). Y N M $__________ 200. Account Adjustment Detail (Rate Codes, Consumption Amt, Dollar Amt, Consumption & Demand charges broken out). Y N M $__________ 201. Payment Detail (identify fund/account Y N M $__________ 81 payment applied to). 202. Bill Calc (error report of accounts to be billed). Y N M $__________ 203. Billing Register (dollar and consumption detail of accounts to be billed). Y N M $__________ 204. Flat Rate Billing Report (for collection of flat rate sewer). Y N M $__________ 205. Account Write Off Report. Y N M $__________ 206. Aging Report. Y N M $__________ 207. Transaction Listing/Recap (for selected or all accounts for given date(s), and/or by transaction type). Y N M $__________ 208. General Ledger Entry detail (for all UB processes). Y N M $__________ 209. Detail of # of accts in Water & Wastewater by Billing District (municipality), identified as monthly or quarterly. Y N M $__________ 210. Detail of # of accts in Water & Wastewater by Billing District (municipality), identifying consumption & dollars billed for given time period. Y N M $__________ 211. Security Deposit Detail. Y N M $__________ 212. Security Deposits Refunded/Applied. Y N M $__________ 213. Security Deposit – all changes for time period. Y N M $__________ 214. Surcharge billing & collection report. Y N M $__________ 215. Table Report (detail on services, rate codes, etc) for given field. Y N M $__________ MODULE: Human Resources Specifications-General 1. Ability to track grievance and each step of the grievance process and the ability to attach .pfd files. Y N M $__________ 2. Ability to define FLSA exempt positions. Y N M $__________ 3. Ability to inactivate or disable job codes and position codes. Y N M $__________ 4. Ability to create checklists; e.g. check list for new hires (part-time, full-time, seasonal), check lists for resignations, checklists for terminations, checklists for retirements, etc. Y N M $__________ 5. Ability for detailed historical importing of personnel records. Y N M $__________ 6. Can job and position codes be inactive or disabled? Y N M $__________ 7. Does the system interface with NEO GOV Applicant Tracking and Performance Evaluation Modules? Y N M $__________ 8. Does the system allow for .csv imports for benefit changes; e.g. health insurance, life insurance, ICI changes in coverage types? Y N M $__________ 9. Allows for the identification of a grant funded position and the grant termination date. Y N M $__________ 82 10. Interface with NEOGOV online applicant tracking system and Performance Evaluation Modules. Y N M $__________ 11. Performs both payroll and personnel functions from a single database with automatic update of information in both systems from a single transaction and provides control by segregating personnel/HR from payroll. (For Payroll as well). Y N M $__________ 12. Provides ability to restrict access to Payroll/Personnel system to just the information a user or department is authorized to view. (For Payroll as well). Y N M $__________ 13. Provides ability to restrict access to Payroll/Personnel system to "inquiry only" for security reasons. (For Payroll as well). Y N M $__________ 14. Maintains information on employees for EEO reporting (race, sex, etc.) by department, job classification, occupational group, wage basis, and total work force. Y N M $__________ 15. Provides on-line employee requisition form and personnel change notices. Requisitions are categorized by type of employee or bargaining unit. Y N M $__________ 16. Maintains on-line database of an unlimited number of bargaining unit contract's details and rates. Accommodates multiple contracts and fiscal years, including different pay rates, classifications, pay calculations, etc., for each contract. (For Payroll as well). Y N M $__________ 17. Ability to place positions on pre-defined coding for specific status (hold, vacant, unavailable). Y N M $__________ 18. Maintain a history of a specific position whether filled or vacant. Y N M $__________ 19. Allows user-defined position numbers, titles, and grade/step tables. Y N M $__________ 20. Ability to provide a roster of positions by department, indicating filled, temporary filled and vacant positions, date vacated, and date filled. Y N M $__________ 21. Availability of a report that would list changes to employee master information by date range. Y N M $__________ 22. Changes to employee master file information can be entered and considered pending until authorized. Y N M $__________ 23. Ability to calculate vacation earned based on a user defined date that would default to hire date, but could be encoded otherwise. Y N M $__________ 24. Position Classification Report, detailing all positions, by position code. Y N M $__________ 25. Employee Personnel History Data. Y N M $__________ 26. Authorized positions by Department/Account Number. Y N M $__________ 27. Step Raise Report, detailing what level each employee is at, in relation to the range, flagging those at the maximum level. Y N M $__________ 28. Ability to create emails to selected employees. Y N M $__________ 83 29. System safeguards must be in place to exclude unauthorized, non-employee access to all personnel information. Y N M $__________ 30. All master files or tables must be capable of being maintained by authorized personnel. Y N M $__________ 31. Maintains the current status and chronological history of all active and retired employees and allows comprehensive searching/sorting/reporting on the following information: a) Name/Address/Phone Number/Emergency Contact Y N M $__________ b) Cost Center/Department assigned to. Y N M $__________ c) Classification & Reclassifications Y N M $__________ d) Marital / Domestic Partner Status. Y N M $__________ e) Social Security Number Y N M $__________ f) Dependents (names, ages) Y N M $__________ g) Dependents’ social security numbers Y N M $__________ h) Gender Y N M $__________ i) Hiring Dates/Termination Dates(cumulative employment history) Y N M $__________ j) Bargaining Unit Name and Number Y N M $__________ k) Department Y N M $__________ l) Jobs Held Y N M $__________ m) Promotions/Demotions, Lateral transfers and Dates Y N M $__________ n) Salary/Wage History Y N M $__________ o) Hours Worked History by Category Y N M $__________ p) Performance Evaluations and Dates Y N M $__________ q) Seniority Adjustments Y N M $__________ r) Unlimited Certifications/Licenses (license number, expiration date(s), endorsements) Y N M $__________ s) CDL status Y N M $__________ t) Tardiness/Absenteeism, and accrual usage history Y N M $__________ u) Disciplinary Actions Y N M $__________ v) Military Background Y N M $__________ w) Probation Dates Y N M $__________ x) Retirement Effective Date and Number Y N M $__________ y) Retirement Plan Y N M $__________ z) Status of retirement eligibility, with user defined eligibility calculations Y N M $__________ aa) Estimated or final checks Y N M $__________ bb) Date of death Y N M $__________ cc) History of multiple retirement plan participation (e.g. general to protected) Y N M $__________ dd) Multiplier used on retirement plans Y N M $__________ ee) Years Remaining to Earliest Possible Retirement Date Y N M $__________ ff) Leave Accrual Y N M $__________ 84 gg) Longevity Date/Seniority Date Y N M $__________ hh) Anniversary Date Y N M $__________ ii) Ethnic Background/EEOC Classification Y N M $__________ jj) Citizenship Y N M $__________ kk) Age/Date of Birth Y N M $__________ ll) Emergency Contact/Phone Y N M $__________ mm) Medical inoculations required Y N M $__________ nn) Other/User-defined Y N M $__________ 32. Search employee number and file by name. Y N M $__________ 33. Ability to have employment actions cause an immediate recalculation of budge commitments and encumbrances via budget module interface. Y N M $__________ 34. Principal reports-all spooled reports have the ability to be imported into excel. Y N M $__________ 35. Online reporting capabilities. Y N M $__________ 36. Employee address mailing labels by department. Y N M $__________ MODULE: Human Resources Specifications- Payroll 1. Ability for .csv imports to payroll. Y N M $__________ 2. Allows for the linking of position code with wage rate table and ability to override the wage rate Y N M $__________ 3. Ability to assign multiple positions to one employee, with corresponding pay codes and provide a weighted average. Y N M $__________ 4. System is able to process multiple payroll cycles simultaneously and reflect the appropriate dates. Y N M $__________ 5. Employee self service functionality that allows employees to access detailed payroll and yearly benefit balance information via information kiosk, web applet or touch tone telephony application. Employees can use a paycheck simulator. Employees can update benefit information, request time of, view their certifications, education, training plan and employees can view pay stubs, W-2, change withholdings, addresses, phone numbers, etc. Y N M $__________ 6. System includes an Electronic Time Management System or integrates with a 3rd party package which is included within the ERP solution to replace the City’s current Exception Payroll System to capture payroll time and attendance. Y N M $__________ 7. Replaces the City's Standard Register Payroll Check Printing application and provides laser printing of payroll checks-signatures and MICR functionality included. Y N M $__________ 8. All payroll vendor checks are issued from the Payroll module. Y N M $__________ 9. Allows for custom messages on pay stub. Y N M $__________ 10. The system should provide a positive pay export file during check runs. Y N M $__________ 85 11. The system supports the WRS (Wisconsin Retirement System) program requirements. Y N M $__________ a) Provide setup for percentage based on contributions Y N M $__________ b) Online filing requirements Y N M $__________ 12. Must have ability for each Group Payroll Clerk to electronically review and approve employee time (hours) entered prior to sending to Payroll department for payroll processing. Y N M $__________ 13. System allows authorized users the ability to review, reject and edit employee time. Y N M $__________ 14. System has employee leave time inquiry for defined users. Y N M $__________ 15. System has the ability to provide employee leave balance reporting for all leave categories for specific employees or groups. Y N M $__________ 16. Includes actuary system functionality for pensions. Y N M $__________ 17. System needs to support standard user-defined salary tables and the ability to modify each component of the salary tables (by flat rate, percentage or user defined) for rate changes resulting from contractual changes. Y N M $__________ 18. Allows multiple account codes per income type and validation of code upon entry. Y N M $__________ 19. Allows for control of which time codes an employee (or group of employees) can use, based by limiting their ability to use to specific codes or provide masking of time codes. These time codes may be associated with specific account codes or project codes. Y N M $__________ 20. Automate formulas and precedence rules for processing of garnishments. Y N M $__________ 21. Auto generation of payroll check numbers. Tracks check numbers. Capability of re-printing checks starting with new check number if printing problems are encountered. Y N M $__________ 22. Adheres to all state mandated reporting formats. Provides payroll data for federal and state government reports. Y N M $__________ 23. Provides convenient retrieval of fiscal and calendar year- to-date payroll data/balances via on-line inquiry. Y N M $__________ 24. Allows combination of portions of fiscal years for reporting. Y N M $__________ 25. Allows Payroll Clerk review, editing and approval prior to going to Payroll Coordinator for processing. Allows Payroll Department review, editing and approval before posting to the General Ledger. Y N M $__________ 26. Provides ability to automatically update the General Ledger accounts at the time of normal payroll and special payrolls. Y N M $__________ 27. Provides ability to process an unlimited number of types of payrolls, and print more than one paycheck, including salaried, hourly, and special payrolls, in the same cycle. Y N M $__________ 86 28. Provides ability to process an unlimited number of types of payrolls, and combine printing into a single paycheck, including salaried, hourly, and special payrolls, in the same cycle. Y N M $__________ 29. Processes multi-pay rates and distributes to multiple distribution centers/jobs in a single pay period for an individual employee. One employee can have different rates (on-call pay, vacation pay, etc). Y N M $__________ 30. Allows processing of different/special payrolls with different pay cycles. Y N M $__________ 31. Provides different timesheets for different departments for on-line entry by departments. Y N M $__________ 32. Capability to distribute and track pay to an unlimited number of accounts, with automatic default payroll distribution. Y N M $__________ 33. Handles several types of classifications for salary and benefit purposes, including: (For Benefits as well): Y N M $__________ a) Part-time Y N M $__________ b) Full-time c) Temporary d) Unlimited User Defined fields 34. Provides ability to exempt temporary employees from pension, etc., and to specify for all employees, by pay type, which withholding categories apply. (For Benefits as well). Y N M $__________ 35. Allows for blank stock checks to be used (i.e. - no pre- printed checks) with auto assigned check numbers. Y N M $__________ 36. Each component of pay can be defined with a frequency Y N M $__________ 37. Provides ability to process a variety of pays by step, range, and/or code, including: Y N M $__________ a) Overtime Rates (double, time and one half, etc.) Y N M $__________ b) Regular Earnings Y N M $__________ c) Back Pay Y N M $__________ d) Sick Pay Y N M $__________ e) Sick Leave Payout Y N M $__________ f) Vacation Payout Y N M $__________ g) Holiday Payout Y N M $__________ h) Comp Time Payout Y N M $__________ i) Other Special Pays Y N M $__________ j) Holiday Pay Y N M $__________ k) Vacation Pay Y N M $__________ l) Funeral Leave Pay Y N M $__________ m) Shift Differential Y N M $__________ n) Out of Class Y N M $__________ o) Call In Y N M $__________ p) Temporary Assignment Pay Y N M $__________ 87 q) Plus unlimited additional user-definable allowances (car, parking, certification, clothing, tools, etc) Y N M $__________ r) Plus unlimited additional user-definable pay items Y N M $__________ s) FLSA Calculations Y N M $__________ t) Shift Premium Y N M $__________ 38. The system allows each deduction to be defined as pre or post tax and calculates separate code-driven deductions (with stated amounts or specified base) including the following: Y N M $__________ a) Bonds (in any increment and accumulate up to bond purchase amount). Y N M $__________ b) Union Dues (Multiple). Y N M $__________ c) Credit Union and Bank Accounts (minimum 20). Y N M $__________ d) United Way Y N M $__________ e) Federal Tax Y N M $__________ f) State Tax Y N M $__________ g) FICA - Social Security (able to indicate cap on contribution) Y N M $__________ h) FICA – Medicare (able to indicate cap on contribution) Y N M $__________ i) Friend of the Court (amounts, addresses, and Authorities). Y N M $__________ j) Employee Pension Contribution Set Amount (pre and post tax). Y N M $__________ k) Multiple Other Insurances. Y N M $__________ l) Deferred Compensation (with maximum contribution), including flat amount or percentage. Y N M $__________ m) Roth IRA Y N M $__________ n) Direct Deposit Y N M $__________ o) 3rd party sick pay Y N M $__________ p) Plus unlimited additional user-definable deductions (car, parking, certification, clothing, tools, etc) Y N M $__________ 39. Allows reporting of wages, advancements, deductions, etc., between the first of the fiscal (or calendar year) and the current day, or for a given user-defined date range. Y N M $__________ 40. Tracks months of service, by employee, based on days worked per month, for purposes of calculating pension liability. Y N M $__________ 41. Provides for the distribution of payroll expenses by: a) Fund Y N M $__________ b) Activity Y N M $__________ c) Account Y N M $__________ d) Department Y N M $__________ e) Agency Y N M $__________ f) Other Organization Y N M $__________ g) Reporting Unit Y N M $__________ 42. Accrues, calculates, and maintains pay period, monthly, 88 quarter-to-date (QTD) and year-to-date (YTD) hours, salary, and benefit information for each employee, based on a user defined start date, including: a) Vacation Time Earned/Taken Y N M $__________ b) Sick Time Earned/Taken Y N M $__________ c) Holiday Time Earned/Taken Y N M $__________ d) Sick Time Dependent (deducted from Sick Time Earned but tracked separately) Y N M $__________ e) Leave Without Pay Y N M $__________ f) FMLA – Sick Y N M $__________ g) FMLA – Vacation Y N M $__________ h) FMLA – Holiday Y N M $__________ i) FMLA – Comp Time Y N M $__________ j) FMLA – LWOP Y N M $__________ k) Training Time Y N M $__________ l) Funeral Time Y N M $__________ m) Plus unlimited additional user-definable items Y N M $__________ 43. Leave accrual rates accumulate based upon employee group as well as seniority level from user defined rate. Y N M $__________ 44. Allows defined users override of automated accruals. Y N M $__________ 45. Documented and uncomplicated year end closing procedures (for calendar and fiscal year). Y N M $__________ 46. Ability to create and print manual payroll checks. Y N M $__________ 47. Capability for determination of dollar amount of sick, vacation, holiday and comp time liability. Y N M $__________ 48. Provides current and year-to-date information on payroll check stubs, in addition to standard salary and deduction information, including: a) Tax Status/# Withholdings Y N M $__________ b) Total Hours and Dollars Y N M $__________ c) Wages and deductions Y N M $__________ d) Regular and Overtime Hours Y N M $__________ e) Special Messages Y N M $__________ f) Holiday Pay (floating and regular) Y N M $__________ g) Plus unlimited additional user-definable items Y N M $__________ h) Codes (e.g., department code) Y N M $__________ i) Leave accruals (time) status and pay Y N M $__________ 49. Maintains salary information on system for terminated employees for unemployment compensation reporting and COBRA for a user-defined time interval. Y N M $__________ 50. Provision to schedule when deductions are taken (one time, 1st pay period, 2nd, 3rd, twice a month, every payday, etc.). (For Benefits as well). Y N M $__________ 51. Provides capability to determine sequence in which deductions are calculated and taken. Y N M $__________ 52. Calculation of dollar liability for pension, benefits, workers' Y N M $__________ 89 compensation, etc., by individual, bargaining unit, or organization-wide. Ability to project costs into future years. 53. Ability to provide direct deposit of paychecks by ACH/EFT, for deposit into an unlimited number of different accounts per employee to financial institutions. Y N M $__________ 54. Allows for export of 457 plan information each pay period to an external vendor(s) based on their defined layouts. Y N M $__________ 55. Ability to provide export of tax liabilities by ACH/EFT. Y N M $__________ 56. Ability to print a payroll journal showing all cumulative information. Y N M $__________ 57. Automatically calculates retroactive contract pay increases. Includes pay in next pay period, or issues separate check automatically. Y N M $__________ 58. Ability for the appropriate staff to update employee pay rates, vacation/sick/personal/other eligibility, based on contract dates and step/range. Y N M $__________ 59. Automatically calculates and generates employee group salary tables. Y N M $__________ 60. Provides FLSA overtime calculations and 7K exemption rules. Y N M $__________ 61. Provide Comp Time calculation at 2.0, 1.5 or 1.0 & used at 1.0 Y N M $__________ 62. Hour levels at which overtime begins to accrue can be user defined by employee, classification, or grade (e.g., Group A does not begin earning overtime until reach 48 hours within a five day period). Y N M $__________ 63. Provides mid-period earnings calculations for termination pays. Y N M $__________ 64. For reporting purposes, user can specify, by pay/deduction code: a) Which codes apply to which employees. Y N M $__________ b) Which get added to Y-T-D totals. Y N M $__________ c) Which are for retroactive pays. Y N M $__________ d) Which are deducted from check and shown on stub. Y N M $__________ e) Which deductions apply by pay period and employee/bargaining group. Y N M $__________ 65. Ability to provide a comparison of budget to actual for each position. Y N M $__________ 66. Either processes payments to insurance/benefits providers, and unlimited others, or interfaces to Accounts Payable to do the same, over a user-defined time period. Y N M $__________ 67. System does not allow Payroll to be posted more than once. Y N M $__________ 68. 941 and W-2 data should correlate. Voids and manual checks are reflected in both 941 and W-2 reports Y N M $__________ 69. Ability to void checks with complete and automatic Y N M $__________ 90 reversal with audit trail. 70. Accommodates third-party billing. Y N M $__________ 71. Allows exception based payroll processing. Y N M $__________ 72. Maintenance to employee records, regarding cost center, can be accomplished from one screen. Y N M $__________ 73. Interfaces with General Ledger for fringe benefit costs at payroll posting, broken out by account. Y N M $__________ 74. Payroll journal, with sorting options, showing gross pay, all system-calculated taxes and deductions, net pay, check #’s direct deposit ref., and department, including range ability. Y N M $__________ 75. Payroll Check and Check Stub with information about an employee's current pay, including all pay types and deductions, sick time and comp. hours, and vacation hours used/remaining. Check stubs should: a) Subtotal all pay(s) Y N M $__________ b) Subtotal Hours Y N M $__________ c) Subtotal various taxes and withholdings Y N M $__________ d) YTD for any and all categories (user-defined) Y N M $__________ 76. Payroll Job Cost Distribution by user defined options to include; fund, general ledger and department. Y N M $__________ 77. Payroll Edit List detailing current pay adjustments, including hours and dollars to be paid with control totals. Generated by department and in total. Y N M $__________ 78. Payroll History (Employee Earnings Subsidiary Ledger) (monthly, quarterly, life-to-date, fiscal and calendar year- to-date and user defined periods) by employee detailing: a) Employee Number Y N M $__________ b) Employee Classification Code Y N M $__________ c) Base Pay Y N M $__________ d) Overtime Pay Y N M $__________ e) Benefits (type and amount) Y N M $__________ f) Deductions (type and amount) Y N M $__________ g) Additional Pay (type and amount) Y N M $__________ h) Shift Differential Y N M $__________ i) Payment Dates Y N M $__________ j) Gross/Net Totals (by pay period and to date) Y N M $__________ k) Account Number Y N M $__________ 79. Governmental Report; generate all Federal and State Report requirements: including W-2s, W-3, Electronic EEO4, SSN verification, I-9’s, 9441s, State Income Tax and status filing. Y N M $__________ 80. Accruals report including beginning balance, amounts taken, amount accrued and remaining balance by user defined periods. Y N M $__________ 81. Payroll Projection Report, forecasting payroll amounts by Y N M $__________ 91 department, fund, etc., through year-end. Compares to budgeted amounts. 82. Overtime Report. In total by time period. Y N M $__________ 83. Monthly Transmittal for Employee/Employee Pension Withholdings (per WRS Requirements) Including fields for: a) Employee Name Y N M $__________ b) Social Security Number Y N M $__________ c) Employer Amount Y N M $__________ d) Employee Amount Y N M $__________ e) Voluntary Amount Y N M $__________ 84. Historical Paycheck Report, showing paycheck data as voided. Y N M $__________ 85. Average Salary by Position Type / Employee Group Y N M $__________ 86. Time entry balancing report Y N M $__________ 87. Deduction reports (For Benefits as well) Y N M $__________ 88. Check Register Y N M $__________ 89. Distribution by department Y N M $__________ 90. Direct Deposit report Y N M $__________ 91. Leave balance reports Y N M $__________ 92. Employee YTD hours (accessible in future years) Y N M $__________ 93. Employee YTD earnings (accessible in future years) Y N M $__________ 94. W-2 reports Y N M $__________ 95. Bank Transfer reports Y N M $__________ 96. Check Stubs (NOD)– e-mailed to employees Y N M $__________ MODULE: Human Resources Specifications- Benefits 1. Ability for .csv imports for benefit changes; e.g. health insurance, life insurance, ICI changes in coverage types. Y N M $__________ 2. On-line open enrollment for benefits. Y N M $__________ 3. Allows for FMLA Tracking. Y N M $__________ 4. Interfaces with the Accounts Receivable module for billing employee, retiree and Cobra premiums. Y N M $__________ 5. Capability to apply deductions until a dollar amount is reached (e.g., Deferred Compensation). Y N M $__________ 6. Tracks information on each employee premium paid of health benefits, by type, including: a) Rates for each insurance plan and plan elected Y N M $__________ b) Dental Y N M $__________ c) Vision Y N M $__________ d) Other user-defined Y N M $__________ e) Coverage dates Y N M $__________ f) Member ID numbers of plans and employees Y N M $__________ g) Status codes Y N M $__________ h) Life insurance; short-term disability; long-term disability; accidental death; and dismemberment Y N M $__________ 92 i) Dependents: name(s), date(s) of birth, relationship(s), social security number(s), sex(es), date of death. Y N M $__________ j) Eligibility dates Y N M $__________ k) Handles multiple providers Y N M $__________ l) Handles different coverage options(single, family, etc.) under each plan Y N M $__________ m) Allows pre-enrollment posting Y N M $__________ n) Tracks benefit change history Y N M $__________ o) Ability to enter a benefit effective date and a payroll effective date Y N M $__________ 7. Updates to certain insurance master file data automatically updates all other employee master files new check number if printing problems are encountered. Y N M $__________ 8. Premium can be a flat rate, plus additional amounts for various options and supplemental insurances. Y N M $__________ 9. Tracks retiree medical eligibility within a plan. Y N M $__________ 10. Provision for recording and summarizing benefits at an employee group level. Y N M $__________ 11. Allows Payroll Clerk review, editing and approval prior to going to Payroll Coordinator for processing. Allows Payroll Department review, editing and approval before posting to the General Ledger. Y N M $__________ 12. Automatically calculates deferred compensation based on user-defined criteria. Y N M $__________ 13. Benefits report-ability to query by any field and join multiple modules (e.g. employee master, deductions, master, position master). Y N M $__________ 14. Provides ability to process an unlimited number of types of payrolls, and combine printing into a single paycheck, including salaried, hourly, and special payrolls, in the same cycle. Y N M $__________ 15. Health Insurance report-ability to report on retirees, active employee, independent contractors, cobra continuation categories. Y N M $__________ MODULE: Human Resources Specifications- Safety 1. System tracks and reports payroll by worker’s compensation classification category, for risk management purposes. Y N M $__________ 2. Accumulates Workers’ Compensation contribution based on job classification, base pay, and overtime with QTD and YTD totals. Y N M $__________ 3. Quarter can be defined by the user at time of report creation. Y N M $__________ 4. Uses Workers’ Compensation codes, which are user- definable. Y N M $__________ 93 5. Accrue by G/L acct., by dept., by fund. Y N M $__________ 6. Tracks Job-related accidents and injuries by employee and accident. Ability to add attachments in .pdf, word, excel, or image. Y N M $__________ 7. Maintains health/safety information, including: a) Physical Exams Y N M $__________ b) Environmental Exposure Data Y N M $__________ c) OSHA Reporting Y N M $__________ d) Handicap Work Restrictions Y N M $__________ e) Lost Work Days Y N M $__________ f) Programs instituted Y N M $__________ 8. Workers’ Compensation database includes: a) Workers compensation gross up (supplement) Y N M $__________ b) Long-term comp. provider data/master file Y N M $__________ c) Coverage parameters/limits/levels Y N M $__________ d) Claim history Y N M $__________ e) Supplement amounts claimed (interfaces with payroll) Y N M $__________ 9. Workers' Compensation Report listing claims and costs for each classification employee. Y N M $__________ 10. OSHA report, showing injuries, etc. Y N M $__________ MODULE: Human Resources Specifications- Training 1. Tuition reimbursement tracking (classes taken and amount paid). Y N M $__________ 2. Allows for tracking training including mandated training classes taken, test scores, and certifications for employees by name. Y N M $__________ 3. Generates training history reports. Y N M $__________ 4. Generates history of class attendees. Y N M $__________ 5. Generates class roster. Y N M $__________ 6. Generates class sign in sheets. Y N M $__________ 7. Differentiates between classes and courses. Y N M $__________ 8. Generates reminders (written and Outlook integration). Y N M $__________ 9. Generates course completion certificates. Y N M $__________ 10. Long-term comp. provider data/master file Y N M $__________ 11. Tracks authorized instructors. Y N M $__________ 12. Claim history Y N M $__________ 13. Generates reminders for repeat training needs and certification expiration. Y N M $__________ MODULE: Fixed Assets Specifications 1. System can be used to track “non-capitalized" asset / equipment items (i.e.: computer equipment, non-licensed vehicles) per department / division for risk management Y N M $__________ 94 purposes. 2. System has the ability to track non-depreciable technology inventory items (desktops, laptops, etc) including detailed information such as component detail, serial numbers, technical specifications, etc. Y N M $__________ 3. Systems has the ability to identify grant funded assets: Y N M $__________ a. by identifying more than one grant associated with an asset Y N M $__________ b. by identifying the percentage spit, or capitalization breakout (to each grant) for each asset Y N M $__________ 4. All fixed asset reporting should be able to be run with an "as of' date, to recreate a summary and detail level information 'as of' a point in time that may be in a prior accounting period Y N M $__________ 5. Fixed Asset system has robust query ability with wildcards. Y N M $__________ 6. Fixed asset module has the ability to export / import information to/from common spreadsheet applications. Y N M $__________ 7. Fixed assets system complies with FTA guidelines for capitalization, valuation, depreciation, tagging, disposal, retirements, etc. Y N M $__________ 8. System replaces the City's current Governmental Fixed Asset Management System application (#65) and performs fixed asset capitalization, tracking, depreciation, disposal and reporting features. Y N M $__________ 9. Ability to have multiple user defined capitalization thresholds; one for overall purchases, and other user defined specific departmental capitalization levels. Y N M $__________ 10. The system should support bar coded asset tags and portable bar code readers for performing physical inventories. Y N M $__________ 11. Asset numbers do not necessarily need to correlate to asset tag numbers - Allow the system to generate tag numbers, have external tag numbers assigned, or not have tag numbers. Y N M $__________ a. The system allows the City to configure if they want the system to optionally provide GASB 34 reporting and related transactions. Y N M $__________ b. System lists and values infrastructure capital assets (streets, piping, water mains, etc.). Y N M $__________ c. System identifies capital outlay by program the assets support. Y N M $__________ d. System depreciates capital assets and allocates depreciation to those programs that use the assets. Y N M $__________ 12. The Fixed Asset module interfaces with the Accounts Payable modules. Information on newly obtained fixed assets is reported for verification, then automatically transferred from the A/P module into the Fixed Assets master file system. Users are able to adjust and or remove Y N M $__________ 95 assets that are misclassified. 13. Can track multiple "user defined' fields on the asset master record. Y N M $__________ 14. Provides a classification scheme to code fixed assets according to type (i.e., desks, cars, etc.). Y N M $__________ 15. Accommodates free-form descriptive text to further describe any asset. The text is electronically associated with the master file. Y N M $__________ 16. Ability to accommodate alpha numeric asset numbers. Y N M $__________ 17. Ability to accommodate parent/child relationships between related assets, such as a master unit with one or more accessories. Y N M $__________ 18. Ability to reassign parent/child relationships. Y N M $__________ 19. Ability to capitalized items in aggregate (as a group) Y N M $__________ a. Ability to perform partial disposals / retirements Y N M $__________ b. Can track "Quantity" in the asset master record - minimum of 6 digits. Y N M $__________ c. Project Based Assets: Interfaces with the Project Accounting system to capture project costs for aggregate / project assets Y N M $__________ d. Project Based Assets: Allows a project to be associated with multiple assets Y N M $__________ e. Project Based Assets: Allows an asset to be associated with multiple projects Y N M $__________ 20. Ability to associate multiple capital accounts and multiple related depreciation expense accounts with an asset, and assign a percentage split between each Y N M $__________ 21. Allows for transfer of assets between departments, locations and funds, accommodating interfund and inter- dept. transfers, duplicating all identifying data from original record. Y N M $__________ 22. Maintains on-line history of asset transactions, including: a. ID Number Changes Y N M $__________ b. Location Changes Y N M $__________ c. Account Number Changes Y N M $__________ d. Status change e. Change to key field in auxiliary system f. Partial disposals g. Valuation change Y N M $__________ h. Date of Last Depreciation Adjustment Y N M $__________ 23. Ability to calculate asset values to replacement costs for insurance purposes. Y N M $__________ 24. Provides reports to assure that adequate insurance has been secured for property, and expedites the insurance reporting process. Y N M $__________ 96 25. Supports asset value appreciation for real property and provides a detailed audit trail. Any appreciation does not affect cost basis. Y N M $__________ 26. Ability to record and report on asset replacement information, such as: Y N M $__________ a. Expected Useful Life (years, mileage, cycles, etc.) Y N M $__________ b. Date of Expected Replacement Y N M $__________ c. Current Asset Value Y N M $__________ d. Anticipated Asset Value at Time of Replacement Y N M $__________ 27. System has the ability to support multiple depreciation schedules / per asset. Y N M $__________ 28. Retention of fully depreciated assets in fixed asset master file for inventory control purposes prior to disposition. Y N M $__________ 29. Maintains on-line master file information on each asset, including fields that can be identified as optional or required: Y N M $__________ a. Fund/Account Group Y N M $__________ b. Fund Type Y N M $__________ c. Property Type Y N M $__________ d. Building Y N M $__________ e. Location Y N M $__________ f. Responsibility Y N M $__________ g. Department Y N M $__________ h. Program Y N M $__________ i. Acquisition Date Y N M $__________ j. Original Cost Y N M $__________ k. Current Value Y N M $__________ l. Status (active, disposed, idle, etc.) Y N M $__________ m. Previous asset number Y N M $__________ n. Document Reference Number Y N M $__________ o. Acquisition method (purchased, donated, etc.) Y N M $__________ p. Depreciation, Life-to-Date Y N M $__________ q. Depreciation, Year-to-Date Y N M $__________ r. Parent/Child Descriptions and Asset Numbers Y N M $__________ s. Purchase Order Number Y N M $__________ t. ID or Tag Number Y N M $__________ u. Vendor Name and ID Number Y N M $__________ v. Multiple Description lines(brand, model, and manufacturer of asset) Y N M $__________ w. Check Number and Date Y N M $__________ x. Serial Number Y N M $__________ y. License Number Y N M $__________ z. Replacement Cost Y N M $__________ aa. Group / Assets Classification Number Y N M $__________ bb. Fund and Department Numbers Y N M $__________ 97 cc. Quantity Y N M $__________ dd. Unit Cost Y N M $__________ ee. Grant Number ff. Grant Percent Y N M $__________ gg. Grant Type Y N M $__________ hh. Asset Life Y N M $__________ ii. Square Footage Y N M $__________ jj. Insurance Value Y N M $__________ kk. Disposal Value Y N M $__________ ll. Disposal Date Y N M $__________ mm. Transfer Date nn. Previous Location Y N M $__________ oo. Responsibility Code Y N M $__________ pp. Funding Source Y N M $__________ qq. Sale Price Y N M $__________ rr. Warranty information Y N M $__________ ss. Donation Y N M $__________ tt. Condition Y N M $__________ uu. Contractor Y N M $__________ vv. General Fund Category Y N M $__________ ww. Document Reference # Y N M $__________ xx. Location Roll Up Y N M $__________ yy. Minimum of 10 User-Defined Data Fields Y N M $__________ 30. Security access to edit assets is assigned to each asset Y N M $__________ 31. Ability to idle assets (suspend depreciation) Y N M $__________ 32. Ability to link to all related ERP modules (fleet, etc.) Y N M $__________ 33. Ability to access a master file by entering any asset field Y N M $__________ 34. Reporting on assets by building, including all building contents Y N M $__________ 35. Ability to print bar-coded tags or labels for fixed asset identification. Y N M $__________ 36. Schedule of Assets, grouped by GAAFR function and/or departments. The report can also be produced down to the division and/or cost center level. 37. Transaction Register audit trail of all acquisitions, transfers, changes, and retirements during a user-defined time period by asset type, department, or purchase amount. Y N M $__________ 38. New Acquisition Report showing all newly acquired fixed assets which have not been entered into the Fixed Assets master file system. (Requires Purchasing, A/P module interface). Y N M $__________ 39. Fixed Assets Detail and Summary maintained by department, fund/ account, responsible person, property type, location, and their associated cost or replacement value, and accumulated depreciation. Y N M $__________ 98 40. Physical Inventory Worksheet, sorted by department, location, and/or person responsible to assist in conducting physical inventory. Report provides the maximum amount of asset details that would assist in identifying asset locations. Y N M $__________ 41. Vehicle/Equipment Listing of master file information, including property tax number, item name, description, location, class number, charge account number, equipment ID number, motor number, model and manufacturer. Acquisition and disposition information are also included. Y N M $__________ 42. Land, Building, and Vehicle/Equipment Report showing land, building, and right-of-way items on file for information purposes. Y N M $__________ 43. Schedule of Current Year's Depreciation associated with each asset. Y N M $__________ 44. Replacement Report listing all assets which should be considered for replacement during a user-defined period. Y N M $__________ 45. Valuation (orig. cost, acc. depr., book value) Y N M $__________ 46. Net changes (additions, deletions, financial adjustments) Y N M $__________ 47. Schedule of assets (original cost or book value) Y N M $__________ 48. Asset Listing – Short Form Y N M $__________ 49. Asset Listing – Detail Y N M $__________ 50. Asset Transaction History Y N M $__________ 51. Gain or Loss on disposal of assets Y N M $__________ 52. Depreciation Register (YTD & Total Accumulated) Y N M $__________ 53. Depreciation Estimator (annual depreciation on existing assets for future years) Y N M $__________ 54. Schedule of Additions Y N M $__________ 55. Schedule of Disposals Y N M $__________ 56. Assets Transferred Y N M $__________ 57. Assets Idled Y N M $__________ 58. Financial Adjustments Y N M $__________ 59. Grant Funding Y N M $__________ 60. Grant Associated Valuation (orig. cost, acc. depr., book value) Y N M $__________ 61. Grant Associated Depreciation (YTD & Total Accumulated) 62. Related Assets (Parent/Child or Split Funded) Y N M $__________ 63. Table Listings Y N M $__________ 64. Pre-Inventory Worksheet Y N M $__________ 65. Insurance Valuation Report Y N M $__________ 66. Risk Management Report Y N M $__________ 67. Non-Capital Items Y N M $__________ 99 City of Oshkosh RFP- Enterprise Resource Planning (ERP) Software System & Implementation Attachment E: Price Proposal Form Page 1 of 2 Cost Proposal: Modules We, the undersigned, propose to furnish the following costs for the eleven (11) modules listed within this RFP (in addition to general and system environment requirements) if not purchased as a complete package. The cost of each module subtotal below includes all module specifications checked “Y”. Any modification costs checked “M” are included within the respective subtotals below. Financial System/General Ledger Module $______________________ Budgeting Preparation Module $______________________ Accounts Payable Module $______________________ Accounts Receivable Module $______________________ Purchasing Module $______________________ Cash Receipting Module $______________________ Investment/Bank Reconciliation Module $______________________ Tax Billing Module $______________________ Utility Billing Module $______________________ Human Resources Module $______________________ • General • Payroll • Benefits • Safety • Training Fixed Assets Module $______________________ 100 City of Oshkosh RFP- Enterprise Resource Planning (ERP) Software System & Implementation Attachment E: Price Proposal Form Page 2 of 2 Cost Proposal: Complete Solution We the undersigned, propose to furnish the following cost for a complete ERP solution integrating all eleven (11) modules listed within this RFP to include: Financial System/General Ledger Module, Budgeting Preparation Module, Accounts Payable Module , Accounts Receivable Module , Purchasing Module, Cash Receipting Module, Investment/Bank Reconciliation Module, Tax Billing Module , Utility Billing Module , Human Resources Module and Fixed Assets Module. The complete solution cost includes all software, services and additional costs to acquire all services referenced in each of the modules, in addition to general and system environment requirements, and including third party prices. This cost includes all module specifications checked “Y” and any modification costs checked “M”. Complete Solution Cost Total $______________________ Addenda: Receipt of Addenda numbered ______ of ______ are hereby understood, acknowledged and included in this cost proposal form. If no addenda were issued for this RFP please write “N/A” above. Date: _____________ Company Name: _________________________________________________________ Name of Person Submitting Proposal: ________________________________________ Title: __________________________________________________________________ Email: _________________________________________________________________ Company Address: _______________________________________________________ City/State/Zip: ___________________________________________________________ Telephone: _____________________________________________________________ CITY OF OSHKOSH PROPOSAL FOR ENTERPRISE RESOURCE PLANNING (ERP) SOFTWARE SYSTEM & IMPLEMENTATION 11/11/2014 Subject to restrictions on disclosure identified on following page RESTRICTIONS ON DISCLOSURE This proposal from Tyler Technologies, Inc. (“Tyler”) contains proprietary and confidential information, including trade secrets, belonging to Tyler or Tyler’s partners. Tyler is submitting this proposal on the express condition that the following portions, if included, will not be duplicated, disclosed, or otherwise made available, except for internal evaluation purposes: Response to the Functional Requirements, or “Checklist” Line-item pricing (total proposed contract amount may be disclosed) Screen shots Customized Statement of Work/Implementation Plan Each of these sections, if included, has separately been labeled “Proprietary and Confidential – Subject to Restrictions on Disclosure.” To the extent disclosure of those portions is requested or ordered, Tyler requires written notice of the request or order. If disclosure is subject to Tyler’s permission, Tyler will grant that permission in writing, in Tyler’s sole discretion. If disclosure is subject to a court or other legal order, Tyler will take whatever action Tyler deems necessary to protect its proprietary and confidential information, and will assume all responsibility and liability associated with that action. Tyler agrees that any portions not listed above and marked accordingly are to be made available for public disclosure, as required under applicable public records laws and procurement processes. TRADEMARKS DISCLAIMER Because of the nature of this proposal, third-party hardware and software products may be mentioned by name. These names may be trademarked by the companies that manufacture the products. It is not Tyler’s intent to claim these names or trademarks as our own. 3 Table of Contents 1.0 Background Material .................................................................................................................. 9 Letter of Transmittal .......................................................................................................................... 9 2.0 Executive Summary .................................................................................................................. 11 3.0 Scope of Services...................................................................................................................... 13 Overall Understanding of Project and Scope of Work ..................................................................... 13 Proposed Modules ........................................................................................................................... 14 Solution Overview ........................................................................................................................ 14 Munis Financial overview ................................................................................................................ 19 Munis General Ledger .................................................................................................................. 20 Tyler CAFR Statement Builder ...................................................................................................... 21 Munis Fixed Assets ....................................................................................................................... 22 Munis Budgeting .......................................................................................................................... 23 Munis Performance Based Budgeting .......................................................................................... 24 Munis Project and Grant Accounting ........................................................................................... 24 Munis Cash Management ............................................................................................................ 26 Munis Student Activity ................................................................................................................. 26 Munis Work Order, Fleet and Facilities ....................................................................................... 26 Munis Purchasing ......................................................................................................................... 27 Munis Inventory ........................................................................................................................... 28 Munis Bid Management ............................................................................................................... 29 Munis Contract Management ...................................................................................................... 30 Munis Accounts Payable .............................................................................................................. 30 Munis Procurement ..................................................................................................................... 31 Munis Human Capital Management ................................................................................................ 32 Munis Payroll ............................................................................................................................... 33 Munis Applicant Tracking ............................................................................................................. 35 Munis Human Resources Management ....................................................................................... 35 Munis Employee Professional Development ............................................................................... 36 Munis Employee Expense Reimbursement ................................................................................. 37 4 Munis Risk Management ............................................................................................................. 37 Munis Employee Self Service ....................................................................................................... 37 Tyler Incident Management ......................................................................................................... 38 Munis Accounts Receivable ......................................................................................................... 40 Munis Business Licenses .............................................................................................................. 40 Munis Central Property ................................................................................................................ 41 Munis Citizen Self Service ............................................................................................................ 42 Munis General Billing ................................................................................................................... 43 Munis MapLink ............................................................................................................................. 43 Munis Parking Tickets .................................................................................................................. 43 Munis Animal Licenses ................................................................................................................. 45 Munis Slip Reservations ............................................................................................................... 45 Munis IVR Gateway ...................................................................................................................... 46 Munis Permits and Code Enforcement ........................................................................................ 46 Tyler Cashiering ............................................................................................................................ 47 Munis Utility Billing CIS .................................................................................................................... 48 Munis Utility Billing CIS ................................................................................................................ 49 Proposed Third-Party Applications .................................................................................................. 49 Modifications / Customizations / Enhancements ............................................................................ 49 4.0 Company Background .............................................................................................................. 53 Company Overview .......................................................................................................................... 53 Public Sector Focus .......................................................................................................................... 54 Financial Stability ............................................................................................................................. 54 Industry Leadership ......................................................................................................................... 55 Company Recognition ...................................................................................................................... 55 Proposer’s Resources ....................................................................................................................... 56 Previous Work History ..................................................................................................................... 57 Financial Information ....................................................................................................................... 58 Audited Financial Statements .......................................................................................................... 58 Litigation .......................................................................................................................................... 58 Investigations ................................................................................................................................... 58 5 Professional Liability Insurance........................................................................................................ 58 Certificate of Insurance .................................................................................................................... 58 Resumes of Key Personnel ............................................................................................................... 59 Subcontractor Information .............................................................................................................. 67 5.0 Implementation Plan ............................................................................................................... 68 Implementation Methodology and Approach ................................................................................. 68 Implementation Work Plan & Deliverables ..................................................................................... 72 Detailed Work Plan ...................................................................................................................... 72 Testing Methodology ................................................................................................................... 79 Sample Munis Implementation Plan ............................................................................................ 82 Gantt Chart................................................................................................................................... 82 Project Resource Roles ................................................................................................................ 83 Project Plan Sample Deliverables ................................................................................................ 84 6.0 Training Plan ............................................................................................................................ 85 7.0 Maintenance and Support Program ........................................................................................ 95 Munis Technical Support ................................................................................................................. 95 Focused by Application ................................................................................................................ 96 Call Tracking and Priorities ........................................................................................................... 96 Call Escalation Process ................................................................................................................. 96 Remote Diagnostic Tool ............................................................................................................... 96 Online Support ............................................................................................................................. 97 Support Account Management .................................................................................................... 97 Software Development and Updates ............................................................................................... 97 Major Releases ............................................................................................................................. 97 Software Fixes .............................................................................................................................. 98 Operating System/Database Administration (OS/DBA) ................................................................... 98 Cloud-Based Application Hosting ..................................................................................................... 98 Tyler Data Center ......................................................................................................................... 98 Disaster Recovery............................................................................................................................. 98 Consulting Solutions ........................................................................................................................ 99 Customer Portal and Website .......................................................................................................... 99 6 Tyler Community .......................................................................................................................... 99 Tyler University .......................................................................................................................... 100 Online Help ................................................................................................................................ 100 Release Notes............................................................................................................................. 100 Munis KnowledgeBase ............................................................................................................... 100 Local User Groups and Annual Users Conference ......................................................................... 101 Local User Groups ...................................................................................................................... 101 Annual User Conference ............................................................................................................ 101 8.0 Client References ................................................................................................................... 106 Attachment A / Reference Form .................................................................................................... 106 Wisconsin Clients ........................................................................................................................... 107 Recent Tyler / Munis New Clients .................................................................................................. 108 9.0 Exceptions to the RFP ............................................................................................................ 109 10.0 Sample Documents ................................................................................................................ 111 Sample Software licensing agreement .......................................................................................... 111 Sample maintenance agreement ................................................................................................... 112 Sample implementation services agreement ................................................................................ 112 Sample standard reports ............................................................................................................... 112 Sample documentation (user guides, training materials, etc.) ...................................................... 112 Sample implementation project plan ............................................................................................ 112 Master Escrow Agreement ............................................................................................................ 112 Corporate Resolution ..................................................................................................................... 113 11.0 RFP Submittal Checklist ...................................................................................................... 114 Attachment D / RFP Submittal Checklist ........................................................................................ 114 12.0 Responses to Functional/Technical Requirements: Price Proposal Form ............................ 115 Attachment E / Price Proposal Form.............................................................................................. 115 Investment Summary ..................................................................................................................... 116 Attachment E / Functional / Technical Requirements ................................................................... 117 Attachment E / Functional / Technical Requirements Checklist ............................................... 117 Attachment E / Functional / Technical Requirements Checklist Comments ............................. 118 13.0 Implementation .................................................................................................................... 119 7 Methodology .................................................................................................................................. 119 Implementation Methodology Overview .................................................................................. 120 Work Breakdown Structure ....................................................................................................... 121 Tyler Data Conversion .................................................................................................................... 128 Data Conversion Costs ............................................................................................................... 128 Timing and Reports ........................................................................................................................ 129 Tyler Testing Plan ........................................................................................................................... 131 Purpose ...................................................................................................................................... 131 Process ....................................................................................................................................... 131 Testing Conclusion ..................................................................................................................... 134 Training Approach .......................................................................................................................... 134 Training Methodology ................................................................................................................ 135 Project Team Training ................................................................................................................ 137 Technical Training ...................................................................................................................... 137 End User Training ....................................................................................................................... 137 Decentralized (Departmental) User Training ............................................................................. 137 Other Knowledge Transfer ......................................................................................................... 138 Training Courses ......................................................................................................................... 138 Training Responsibilities ............................................................................................................ 139 14.0 Technology ............................................................................................................................ 140 Fully Integrated ERP Solution ......................................................................................................... 140 Focused for the Public Sector ........................................................................................................ 140 Evergreen Philosophy .................................................................................................................... 141 Fully Scalable Solution ................................................................................................................... 141 Decentralized Access and Processing ............................................................................................ 141 System Architecture and Requirements ........................................................................................ 142 System Architecture Overview .................................................................................................. 142 Technology Framework Diagram – Munis ................................................................................. 143 Application Environments .......................................................................................................... 143 Server Requirements – Munis ERP (100 Users) ......................................................................... 144 End User Requirements ................................................................................................................. 146 8 Microsoft Windows Workstations ............................................................................................. 146 Apple Mac OS Workstations ...................................................................................................... 147 Munis Reporting Options ............................................................................................................... 148 Munis Reporting Overview ........................................................................................................ 148 Integrated Query Wizard ........................................................................................................... 148 Business Intelligence .................................................................................................................. 149 Administration Tools ...................................................................................................................... 149 Munis Administration Tools Overview ....................................................................................... 149 Security Administration ............................................................................................................. 150 Auditing ...................................................................................................................................... 151 Munis Scheduler ........................................................................................................................ 151 Munis Workflow ......................................................................................................................... 151 Tyler Disaster Recovery .................................................................................................................. 153 OSDBA Support Services ................................................................................................................ 154 9 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation 1.0 BACKGROUND MATERIAL The Title Page must show the RFP title, name of the Proposer, address, telephone number, email address and the date. LETTER OF TRANSMITTAL Letter of Transmittal, executed by an authorized representative, and Table of Contents must also be included. Dear City Clerk: Tyler Technologies, Inc. (Tyler Technologies) is pleased to respond to City of Oshkosh’s Request for Proposal dated Monday, September 15, 2014, for Enterprise Resource Planning (ERP) Software System & Implementation. The attached proposal will detail our complete offering, including: Munis software applications Necessary consultation to define scope of services Implementation of software and services Training on, and support of, provided software and services In presenting the enclosed proposal, Tyler Technologies warrants that it is unaware of any known conflict of interest in responding to, or submitting, said proposal in response to City of Oshkosh’s RFP. Tyler Technologies also warrants that it complies, and acts in accordance, with: Federal Executive Orders relating to the enforcement of civil rights Federal Codes regarding Anti-discrimination in Employment Title 6, Civil Rights Act of 1964 Requirements of the Americans with Disabilities Act of 1990 for work performed due to this RFP This proposal and cost schedule shall be valid and binding for 180 days following the RFP due date. Except as set forth in this proposal, this proposal may be released in part or in total as public information in accordance with the requirements of the laws covering same. One or more individuals in the Tyler Technologies Contracts Department have read and accepted the terms and conditions of the RFP and any amendments, except as modified by, taken exception to, or otherwise set forth in Tyler Technologies’ proposal. If you have any questions related to this proposal, please feel free to contact: Christopher Vose, Account Representative 800-772-2260 x4262 christopher.vose@tylertech.com Tyler Technologies, Inc. is a publicly traded corporation (NYSE: TYL) EIN: 75-2303920 Respectfully submitted, Abby Diaz Associate General Counsel, Tyler Technologies, ERP and School Division 10 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation 1) Indicate whether the bidder intends to adhere to the provisions described in the RFP without modification, or that the bidder has provided detailed written exceptions (the City strongly recommends that any bidder discuss with the City any proposed exceptions before submitting a proposal). – Please reference Exceptions in Section 9 of this response. 2) Identify the submitting organization. – Tyler Technologies, Inc. 3) Identify the person, by name and title, authorized to contractually obligate the organization. James J. Hurley, Senior Vice President, Sales, ERP and School Division 4) Identify the contact person responsible for this response, specifying name, title, mailing address, phone, fax and email address. – Christopher Vose, Account Representative, One Tyler Drive, Yarmouth, ME 04096. Phone: 800.772.2260 ext: 4262. Email: Christopher.vose@tylertech.com. 5) Acknowledge the proposal is considered firm for one hundred and eight (180) days after the due date for receipt of proposals or receipt of the last best and final offer submitted. - Acknowledged 6) Acknowledge that provided cost estimates include all proposed services (except those that were not required in the RFP or Contract, but might be proposed as optional by the bidder). Please reference Cost Proposal and Investment Summary. 7) Provide the original signature of the person authorized to contractually obligate the organization. - Acknowledged 11 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation 2.0 EXECUTIVE SUMMARY The Executive Summary should be limited to a brief narrative summarizing the proposal. The summary should contain as little technical jargon as possible and should be oriented toward non- technical personnel. Tyler Technologies is proud to propose its Munis Enterprise Resource and Planning (ERP) software solution in response to the Oshkosh, WI request for proposal of an Enterprise Resource and Planning (ERP) software solution. Tyler is in a unique situation to provide Oshkosh with a highly functional ERP software solution, while creating extensive efficiencies within the organizations. Tyler is the only vendor who is able to provide a truly integrated solution, while leveraging existing hardware, existing MUNIS modules, and existing product knowledge that transfers into cost savings. Tyler Technologies has and continues to experience unparalleled success in the public sector industry. Tyler provides software to over 10,000 clients nationwide; locally over 20 clients in Wisconsin have selected the Munis ERP solution based on our highly functional product. City of Eau Claire, City of Racine, City of Green Bay, City of Madison, City of Waukesha, Winnebago County, Dane County, Sauk County, and Walworth County are a few local sites that have also selected the Munis ERP solution. Software for the public sector is our sole focus and we support this with strong corporate stability and a wide array of service offerings. Implementing the Munis ERP solution to your existing Munis Payroll and Human Resource solution will allow you to leverage your existing investment, providing your organization with an industry leading, consolidated, and fully integrated ERP solution. The Tyler proposal allows Oshkosh to utilize existing hardware, eliminating up-front costs as well as on-going expenditures of maintaining disparate systems. The addition of these modules will allow for access to end users and citizens while providing the city with a centralized fully integrated ERP solution. Proposed Products: Tyler is proposing the Munis Financials, General Ledger, Accounts Payable, Budgeting, Purchase Orders, Requisitions, Project and Grant, Work Orders, Fleet and Facilities Management, Fixed Assets, Inventory, Performance Based Budgeting, Contract Management, Cash Management, Bid Management, Utility Billing, WI Tax Billing, Tyler Cashiering, GIS Integration, Accounts Receivable, General Billing, TCM SE, Citizen Self Service, eProcurement, Munis Office, and CAFR Statement Builder, to be implemented and integrated with your current Munis Payroll, Human Resource, Employee Self Service, Dashboard, and Tyler Forms solutions. The acquisition of these modules will not only provide the City with the features and functionality that they are requesting, but will also provide the City with added functionality, efficiencies, as well as cost savings. Proposed Services: As briefly mentioned above, Tyler has successfully implemented numerous public sector organizations not only in the State of Wisconsin but across the country. Our implementation staff will perform their implementation duties based on extensive best practices knowledge gained in similar projects. Tyler’s Munis implementation personnel utilize a proven methodology to ensure an on-time and on-budget implementation. Tyler is proposing all services requested by the City. The services included in our proposal are the following: Project Management (PMI Certified), Data Conversion, Implementation & Training Services, Knowledge Transfer, System Documentation, Operational Redesign, and Ongoing Support and Maintenance. 12 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Tyler will assume the role of prime contractor and will assume project management responsibilities. Our Project Managers are Project Management Institute (PMI) Certified and have implemented Munis in projects similar to the requested services. Our implementations are on-time and on-budget. Our implementations do not require significant programming and ‘configuration’ services that do not have deadlines or fixed prices. Tyler has not only evaluated your requirements and objectives but has already been providing you the Munis Payroll and Human Resource software solution. We firmly believe that we have the best team assembled to meet your needs. As the City of Oshkosh is aware Tyler offers you state-of-the-art technology, products, and services upon which you can build a solution that will service you and grow with you well into the future. Our team is ready to meet your objectives and the loyalty and satisfaction of our growing customer base is reflective of our commitment to your success. We are excited to be a part of your process and look forward to the opportunity to continue working with you on this project. 13 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation 3.0 SCOPE OF SERVICES OVERALL UNDERSTANDING OF PROJECT AND SCOPE OF WORK This section should include a general discussion of the Proposer's overall understanding of the project and the scope of work proposed. The City of Oshkosh has issued a Request for Proposal seeking an integrated ERP solution that will provide an increase in efficiency, built in best business practices, easier reporting options, better access to critical data for all users and a user friendly system. The City currently uses a variety of software systems and does not have easy access or extraction of critical data, is not fully integrated and does not meet the changing needs of the organization. These issues have lead Oshkosh to seek a modern upgraded ERP solution that is comprised of a fully integrated suite of modules that offer diverse base of functionality to meet the City’s needs now and in the future. The City also wishes to partner with a software vendor whose product does not require a great deal of customization and will continue to add additional functionality moving forward without the need for consultants and programmers. With more than 25 years of experience providing Software Solutions exclusively for the Public Sector, Tyler is focused on meeting Oshkosh’s needs and providing a superior product and services to ensure that the Implementation of Munis is successful. Tyler believes that a successful project is one where the City’s goals and needs are met; the City’s users are empowered in their daily operations by Munis electronic workflow, easy access to critical data, and the ability for users to make changes based on business decisions. Our goal is a client who is happy with their software and the services we provide, and is willing to recommend our product and service to others. Tyler believes that our customers should be customers for life, and our Evergreen Software Development philosophy was designed with this goal in mind. Tyler will provide incremental upgrades to Munis that will not require retraining and are free to customers who are current on their maintenance agreement. Munis is a highly configurable ERP system, which minimizes the need to customizations for our customers. In the event that additional functionality is needed, all modification to Munis are rolled into the next version of software for all clients to utilize. For no additional cost beyond the City’s annual support, Huntington Beach will be provided all future versions of Munis in addition to unlimited use of our in-house support department. As technology changes and additional functionality is developed, Tyler will provide these features to Huntington Beach through regular updates and upgrades so that never again will the City be using an outdated solution. This means never having to procure and implement a City wide ERP again. The Evergreen approach to software development is a big reason why Munis has over 1400 clients across the country and Tyler has over a 98% customer retention rate. Tyler believes it is the right company and that Munis is the right software to meet the City’s goals. We are focused exclusively on the Public Sector, we offer a suite of modules that will meet the City’s needs now and in the future, we have a proven track record of successful projects, and we support the product now and into the future through our Evergreen approach. Tyler products, services, methodology, and approach are uniquely suited to assist the City of Oshkosh meet its project goals through the Implementation of Munis. 14 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation PROPOSED MODULES • Within this section Proposer's shall list and describe all proposed modules. Proposer must explicitly state the software module name and versions that are proposed as part of this ERP solution. All modules should also be listed on the Responses to Functional/Technical Requirements: Price Proposal Form (Attachment E). • All functional requirements that are responded to with a positive response (indicated with a "Y" on the ERP Requirements & Price Proposal Form) will be considered to be in the scope. SOLUTION OVERVIEW MUNIS OVERVIEW Munis is an Enterprise Resource Planning (ERP) solution designed specifically for governments and schools. Simply put, Munis enables and empowers users to become more efficient, productive and responsive to the needs of their constituents. Munis clients get industry leading technology that is continually enhanced through a perpetual upgrade process we refer to as evergreen. It is a steady stream of significant yet manageable changes deployed with minimal disruption to our clients’ operations — with no re-licensing fees. We add the newest technologies while maintaining the integrity of our core business logic. This incremental introduction of new technologies results in a product that always has functional innovation with the practical application of technology that is in line with client needs. Munis may be installed through a traditional site purchase or as a cloud-based solution operating through Tyler’s data centers. SOFTWARE THAT DELIVERS CLIENT SUCCESS Our commitment to the total client experience means that we invest heavily in a user-centric design process. We continually maximize end-user productivity by listening to our clients and assessing what is important to their business. We involve them in usability testing conducted by analysts certified by Human Factors International to ensure that Munis works the way they do. COMMAND CENTERS AND CENTRAL PROGRAMS Throughout Munis you will find Command Centers and Central Screens that are tailored to specific functional areas such as purchasing or budgeting. These tools are designed to provide one-click access to relevant data from multiple applications and screens. They provide efficient access to information – everything you need is easily available from a single screen. Central Screens are for the user who needs inquiry and operational access, while Command Centers provide additional access to the user responsible for administrative actions such as code and table set up. 15 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Example of a Munis HR Command Center Example of a Munis General Ledger Account Central Program 16 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation WIZARDS Built-in wizards—including those for employee on-boarding, budget projections, and W-2 creation— make infrequently performed tasks a breeze. Easy-to follow directions walk users through each step, from verifying information to final submission, and a progress bar at the top of the screen shows where you are in the process. What’s more, integrated, context-sensitive online Help for everything from local screen assistance to important definitions and government links is available on every screen. Example of a Munis Employee Change Wizard WORKFLOW Munis Workflow helps you automate the flow of approvals, notifications and tasks throughout your organization, ensuring the right tasks are carried out by the right people at the right time. You may tailor business rule templates to work the way your organization does, and set up dynamic alerts to notify appropriate staff when a deadline is approaching or a process has run. Example of a Requisition Approval chain in Munis Workflow INTEGRATION WITH MICROSOFT 17 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation You use Microsoft products every day--from Word to Excel to Outlook®--so we designed Munis to easily integrate with these familiar programs. In fact, Munis was one of the first ERP applications to provide “single-click” integration with Microsoft Office. Calendars in Munis don’t just work like Microsoft Outlook—they are Microsoft Outlook. Full integration with Microsoft Exchange means calendar appointments and meetings, vacation requests, and workflow are fully synced with users’ daily schedules. Users can email records and reports using their Outlook email right from the Munis ribbon. Munis integrates fully with Microsoft Lync to enable easy communication with other application users. Need to know if an employee is available? Lync’s advanced “presence” functionality indicates an employee status, such as available, busy or out of office. Users can initiate an email, IM, or phone or video chat directly from the Munis screen, saving time. CONTENT MANAGEMENT Tyler Content Manager includes all the critical components of an enterprise content management suite — back file scanning, indexing and redaction, optical character recognition, web interface, micrographics conversion, disaster recovery, and highly secure off-site document storage. It also works with third-party applications, using Batch Print Capture to print multiple documents directly into Tyler Content Manager. Additionally, the Application Connector provides seamless integration between applications and Tyler Content Manager. You’ll improve accuracy and have quick access to related documents without leaving an application — saving valuable time navigating throughout multiple applications to find vital, related files. More than “document management”, Tyler Content Manager supports multiple file types ranging across multiple departments in distributed locations. Electronic files include scanned images (TIFF, PDF, etc.), photos (JPEG), office documents (Microsoft® Word, Excel®, PowerPoint®, etc.), drawings (DWF, DWG, etc.), or any other file you want to store and manage. MUNIS ANALYTICS AND REPORTING Public sector entities need multiple ways to get information out of their ERP software. That’s why Munis provides more than just traditional paper-based reports for accessing and using critical information. It is designed to provide you with the information you need in the format you want— instantly. Based on Microsoft SharePoint, the Tyler Role-Tailored Dashboard provides an easy-to-use, simplified way of finding, accessing and sharing information by aggregating the data you deem important into one or more customizable views. Web parts display information from different parts of Munis and other Web-based tools. Each user can personalize his or her dashboard views, tailoring it to the information that’s critical for their role. Munis also offers full bi-directional integration between your Munis database and Microsoft Excel, providing a user-friendly, multi-dimensional view of your data across many platforms allowing you to analyze and report on trends, track key performance indicators, create charts and graphs, generate reports and more. Embedded hyperlinks point to the originating record stored in Munis for fast access to detailed information. For paper reports, users may choose from our library of report templates or use Tyler Reporting Services for more customized reporting using powerful wizards and built-in tools such as Microsoft Business Intelligence Development Studio and Visual Studio. 18 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation BUSINESS INTELLIGENCE The right business intelligence solution is crucial for effective data analysis and strategic decision- making. That’s why we created the Munis Business Intelligence Toolkit specifically for our clients’ needs, leveraging the decades of experience we have serving only the public sector. With Microsoft SharePoint, SQL Server Analysis Services and OLAP cubes provided with the Munis system, this advanced toolkit provides administrators with tools for “what if” scenario analysis, monitoring of key performance indicators based on business rules, and reporting, charting and publishing. MUNIS TYLERFORMS Tylerforms provides flexible form delivery across your organization with output options such as print, fax, e-mail and archive. Utilize its template form designs to create and print purchase orders, invoices, checks, work orders, tax documents and much more. The advanced processor eliminates the need for preprinted forms, and incorporates bar codes, OCR and postal fonts, logos and other date driven elements using standard blank paper. Eliminate form printing costs and deliver documents that meet your organization’s branding, service and regulatory requirements. TylerForms also: Supports electronic delivery of payroll, invoices and purchase orders Provides seamless integration with Tyler Content Manager for an end-to-end paperless solution Reduces print material inventory, saving money and supporting green practices Streamlines document creation, control and storage MOBILE APPLICATIONS Tablets and smart phones are quickly replacing desktops and laptops as the devices of choice to access information and conduct business. Munis runs on tablets and smartphones – actually recognizing the device and displaying a user interface designed for touch. Apps designed for tablets and smartphones include functions that require use of the device’s camera, GPS or voice recognition functionality. They may also be designed for employees who require limited access to functions or for parent and student use. Our current apps include Munis My Work for workflow, Munis Field Inspector for permitting and licensing, Tyler eTimekeeper for remote time and attendance entry, and Munis Citizen Self Service and Munis Employee Self Service for 24/7 access to information and password protected data. Tyler continues to develop new apps to meet evolving needs. 19 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Example of Munis My Work Mobile App for Windows 8® GIS MAP INTEGRATION Munis Maplink seamlessly integrates your transactional and spatial data by integrating Munis with the Esri® ArcGIS® Server. Users can view assets and properties on a map, spatially analyze data, perform spatial functions such as buffer searches and even assist with worker or inspector routing by placing locations on a map. MUNIS FINANCIAL OVERVIEW Munis Fund Accounting and Budgeting applications are the core of our Munis ERP solution, designed to streamline the management of critical financial processes organization-wide. A Web-based multi- fund accounting system, Munis provides the tools to easily comply with regulatory requirements and highly structured accounting and budgeting processes, while integrating fully with the human capital management, procurement, revenue, and citizen services processes and software. Finance employees have access to detailed fund and budget information in a seamless, real-time and intuitive manner, and state and local governments increase transparency. BENEFITS OF MUNIS FUND ACCOUNTING AND BUDGETING State & Local Government & Schools Reduces overall financial costs through a strategic management of Finance Administrators Increases organization-wide visibility into budget compliance & financial Finance Employees Reduces redundant data entry & creates a “single version of the truth” Citizens Improves understanding of state & local government mission and goals 20 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation resources Increases organization flexibility to address business & legislative changes Ensures accountability, transparency, & compliance with local, state, & federal requirements Enables collaboration across organization boundaries status Provides real- time insight into business processes for strategic decision making Reduces planning and budgeting cycle times Optimizes cash flow through performance measurement, analysis & forecasting Improves productivity, efficiency & responsiveness to citizens Decreases process time & enhances workflow for day-to-day tasks Increases satisfaction in state & local government programs & services Provides transparency into state & local government operations & processes MUNIS GENERAL LEDGER Munis General Ledger is a true multi-fund budgeting and accounting module designed to meet all GAAFR and GAAP standards. Munis General Ledger maintains account balances for both Balance Sheet and Subsidiary Ledgers, and offers a flexible chart of account structure (45 alpha numeric code with 10 segments available) to fit your specific reporting needs. Role-based permissions and workflow can be configured by chart of account segments and accounts allowing processes to be decentralized to improve productivity without sacrificing security. It offers a comprehensive journal processing system that automates journal reversal, retrieves unlimited years of journal history, and adds as much descriptive text to each journal entry as needed. The true beauty of the module is its tight integration with all other modules Munis has to offer. It provides quick, online access to account information, including the ability to “drill down and around” to transaction detail such as purchase orders, invoices, payroll data, and cash receipts. Quick data access and efficient reporting improves responsiveness and decision making. If corrections are necessary, accountants can easily go to the source (i.e. Payroll check, AP invoice, Purchase order) to enter what the account or amount should have been and the system will correct the journal entry for them without additional manual journal entries. If third party systems are used the system is very flexible and allows user to build their own formats for import or export of journals. Reporting is a critical piece in the area of General Ledger. Munis GL includes these reporting features and tools: Dozens of ready-to-use reports which allow the user to sort and summarize by their chart of account segments with hyperlinks which allow the user to drill down to the data Customizable report templates with user definable columns and saved find and sort options A built-in Scheduler tool which automates the processing and distribution of standard reports Users can schedule reports to be generated as they wish on a daily, weekly, or monthly basis Flexible reporting for multi-year funds and grants, as well as staggered fiscal years Excel data cubes allow the average user (with not a lot of IT experience) to start in Excel and create ad-hoc reports to retrieve and analyze any segment level across multiple years 21 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Optional customizable report generation through Tyler Reporting Services where IT or a MUNIS TRS representative builds the report to the exact specifications required by the end user Example of GL Account Central TYLER CAFR STATEMENT BUILDER The CAFR Statement Builder simplifies development of the financial statements presented in the Comprehensive Annual Financial Report (CAFR). This easy-to-use tool allows you to upload your financial data, prepare adjusting entries, equity classifications, and generate statements and schedules. The Governmental Accounting Standards Board (GASB) defines the reporting model which is embedded in the CAFR Statement Builder. When GASB requirements change, the CAFR Statement Builder is updated, so you can rest assured that your statements will be in compliance. The CAFR Statement Builder increases efficiency, minimizes errors, and simplifies reporting. Highlights include: Intuitive user-interface to get you quickly into building your statements Customized account coding, templates and reconciliation notes carry forward year after year Statement drill downs provide a complete audit trail Microsoft Excel reporting engine increases flexibility Optional cloud-based data hosting service available to reduce hardware investments and IT maintenance burden 22 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation MUNIS FIXED ASSETS Munis Fixed Assets manages record-keeping of all fixed assets such as land, buildings, machinery and equipment, construction in progress, and infrastructure. Asset information can automatically flow from purchasing. Simplify record maintenance and reporting by tying an unlimited number of individual assets to master assets, and track items transferred, missing, not in use, or due for maintenance or replacement. Also calculates depreciation by selective methods such as straight line, composite rate, 6 month convention and reports on the depreciation schedule. For a complete 360- degree process, Munis Fixed Assets provides a complete set of financial statements that fully reflects your organization’s investments. Integration with other Munis programs provides additional benefits: Direct posting of Fixed Assets to the General Ledger facilitates data export to the Tyler CAFR Statement Builder to create GASB reports With Payroll integration, Munis Fixed Assets not only records true capitalized assets but also property signed out to individual employees With Purchasing, data flows seamlessly from Purchase Orders into Fixed Assets Direct integration to and from the Work Order system allows you to see maintenance history on a fixed asset Records true capitalized assets and who has what fixed asset via integration with Munis Payroll Fixed Assets Central: Summarizes all key data for each asset. 23 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation MUNIS BUDGETING The Munis Budgeting module manages existing budgets and offers users an efficient tool to develop and forecast budgets for future year(s). Managing existing budget with real-time lookup is made easy in MUNIS. If a user enters a requisition, purchase order, or AP invoice the system displays the available budget for that account, group of accounts or department total based on user setup. Workflow rules can be configured to handle over-budget requests. Budget transfer and amendment requests can be easily decentralized due to the fact that instead of selecting “debit” or “credit” the user is choosing “decrease” or “increase”. For Budget Development, budget directors can generate, compare and analyze an unlimited number of projections or “what if” scenarios. For ease of use, budget amount requests and changes can be entered using a familiar tool, Excel. Simply click an icon on the Excel ribbon to download the accounts to be budgeted, crunch the numbers, and then with a single click upload the new numbers into MUNIS Budgeting. Salary and Benefit planning can be done through direct integration with the MUNIS Payroll/HR module reducing the need for complex Excel spreadsheets to be created outside of the system. The integration provides accurate forecasting for all employee-related costs including step raises, vacancies, and benefits. Direct integration into the MUNIS Fixed Assets can auto-create records for assets due to be replaced. Budgeting for projects can be done in Project Accounting module and pushed to the GL budget via another direct integration. Specifics benefits include: Budget amounts can be entered at the account or detail level which roll up to the account level and details can be moved forward from year to year Workflow allows projections to be shared between departments, reviewed and then merged into a single final budget Ability to project budgets up to 10 years in the future using user-defined inflation rates Unlimited text per line or detail can be entered for justification and printed on reports Budget process has five levels so original department “wish list” amounts can be compared to final approved numbers Biannual budgets can be implemented 24 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Munis: Budget Preparation using Excel MUNIS PERFORMANCE BASED BUDGETING Munis Performance Based Budgeting allows one to manage results, accountability, key performance indicators and alignment with citizen-driven goals. It supports strategic and comprehensive planning, establishing program objectives, measuring results against those objectives, matching resources to action plans such as Budgeting and reporting results. Full integration with Munis General Ledger balances and Payroll hourly rates updates the costs and time spent on specific activities. It provides the means for linking dollars to results and improves public visibility into operations, demonstrating the value of improving overall efficiency. Other benefits include: Ability to measure project success by comparing project costs with output Option to view statistical data by month or year to measure incremental progress, budget status, and efficiency Allows direct import of third party statistical data Integration with Project Ledger accesses Project Balances MUNIS PROJECT AND GRANT ACCOUNTING Munis Project and Grant Accounting tracks multi-year budgets, expenditures and revenues for user- defined projects such as capital improvements and special programs. It provides the option to manage projects as part of the General Ledger or in a separate project ledger with additional segments to track the project phase, tasks and subtasks. Grants can be tracked from application through conversion to a project. With full integration any detailed Purchasing, Payables, Payroll or Cash Receipts transactions can be posted to projects as well as to General Ledger accounts. Project and Grant Accounting also provides: Control of revenue allocation by defining the rules and priorities of sources that will fund each project Real-time tracking of funding received for grants Project cubes for a multi-dimensional look at data sets 25 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Milestone tracking with familiar Gantt Charts Automatic creation of a project from a grant Workflow to streamline approvals and notifications, monitor efficiency and provide audit history Grant Manager tool to show available budget, funding received, yearly, quarterly, and monthly expenditures, along with drill down capabilities to individual transactions Project Central: Dashboard divides projects according to phase. Project Central: Key data is summarized on the project dashboard. 26 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation MUNIS CASH MANAGEMENT Munis Cash Management automates all treasurer office functions from bank reconciliation to interest allocation and cash flow utilization. Other benefits include: Automatic processing of AP and PR checks via a file from the bank as they clear simplifies reconciliation of cash accounts (book balance) with corresponding bank accounts (bank balance) Allocates interest to cash accounts based on average daily balance by month or quarter Provides easy access to cash flow and project cash flow fluctuations Projected cash flow records can be used for actual vs. budget analysis Use forecast feature to anticipate cash flow for any date range Standard reports include: Cash Fund Position, Daily Treasurer’s Total, Cash Flow (Summary and Detail), Investment, and Debt Service MUNIS STUDENT ACTIVITY The MUNIS Student Activity Module is used to track checking account balances for student activity groups, such as school clubs, sports boosters and a graduating class. Student Activity will receive money in the form of a cash receipt and pay for expenses in the form of a check. The primary purpose of the Student Activity Module is to provide an audit trail of receipts and expenses as well as ensure any particular activity isn’t exceeding its portion of the school’s student activity checkbook. The Student Activity Module is a cash-based system used to track and balance a school’s student activity checkbook. Other benefits include: Ability to create purchase orders directly Integration with the vendor file for one consolidated 1099 MUNIS WORK ORDER, FLEET AND FACILITIES Munis Work Orders, Fleet and Facilities is an enterprise-wide system designed to address the needs of public works departments, school districts and facilities maintenance departments, garage and fleet management services, utility districts and other service departments. This module is unique in its depth of integration with Munis General Ledger, Purchasing, Accounts Payable, Fixed Assets, Inventory, Payroll and Revenue modules and is designed to improve efficiency and streamline service issues across the organization. It also effectively tracks Management Information Systems (MIS) maintenance for existing technology assets or equipment, captures internal service costs and issues invoices, and logs citizen service requests and much more. This module provides a broad range of efficiencies: Service calls convert automatically to Work Orders Assignment/Scheduling function helps with estimating costs, materials, labor and scheduling Equipment and facilities populate as Fixed Assets Eliminates duplicate data entry of labor time, inventory usage, journal entries and billing— saving time, and reducing errors Automates fleet and facilities maintenance and chargebacks to requesting departments Preventative Maintenance feature schedules and automatically generates work orders 27 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Integration with Tyler Citizen Self Service allows citizens to report and log issues, such as potholes, that automatically become work orders MUNIS PURCHASING Munis Purchasing includes Requisitions and Purchase Orders to automate and decentralize the procurement processes across your organization. Departments can enter their own requests, and site-specific business rules route the request for approval. Real-time General Ledger budget checks ensure availability of funds. Munis Procurement enables a direct conversion of an approved requisition to a purchase order. Through the use of Tyler Content Manager, the purchase order can be automatically imaged and archived, allowing for optional e-mail delivery. And the PO image can be accessed by the vendor at any time through the e-Procurement module. The Purchasing process ensures employee compliance with business rules and eliminates purchasing fraud and abuse. Other benefits include: Customizable Requisition Screens provide only essential information, enabling other non- finance staff to enter requisitions with ease Requisitions can be created directly from a vendor’s online shopping cart using the e- Procurement solution Workflow rules -- based on dollar amount, commodity code and/or chart of account segments --route requisitions for approval and then to a buyer to be sourced Preset procurement rules are referenced to determine whether phone quotes or formal bids required—the latter can be auto-created from the requisition Supports blanket purchase orders Once awarded, the requisition is updated with the chosen vendor information, converted to a purchase order, printed and sent to a vendor via mail, fax or email; an image of the purchase order is auto-archived to Tyler Content Manager Changes can be submitted via a PO change order, and then routed through Workflow for approvals Updates to general ledger are automatically performed with no interaction from end users 28 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Interface with e-Procurement, P-Cards and Tyler Content Management offers significant savings by streamlining approval process, reducing paperwork, storage and costs Purchasing is integrated with Munis Inventory, Work Orders, Payroll, Fixed Assets, General Ledger, e-Procurements, Contract Management and Budgeting MUNIS INVENTORY Munis Inventory tracks inventory such as office supplies and public works equipment across an organization and in multiple locations, eliminating unnecessary purchases and wasteful spending. When used with Munis Purchasing one can choose the item cost method, select by average (over all lots received), or FIFO (first in, first out) or buy items in bulk and issue them to departmental users as needed. Munis Inventory automates all inventory accounting including on-hand balances, month-to- date (MTD) and year-to-date (YTD) values. Other benefits include: Auto notifications indicate when inventory levels are low in multiple locations, and prompts reordering Schedules pick tickets and routes to maximize delivery efficiency Integrates with hand-held devices (BMI) to conveniently scan products and track inventory movement (Hand-held devices, purchased separately) Integrates with Work Orders, Purchasing and Human Resources (to track asset assignment by employee) Users can request inventory items through decentralized requisition process 29 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation MUNIS BID MANAGEMENT Munis Bid Management provides structure and framework to effectively manage the bid process and to analyze and compare vendor responses to bids. Create an unlimited number of bids for items routinely purchased and route to specific departments or individuals for review. Track an unlimited number of vendor responses and response deadlines. Vendors can mail their bids to the requested site or enter their bid information using Munis e-Procurement which facilitates sealed bid processing. From the responses, Munis determines the best vendor based on each site’s unique criteria. Once a bid is awarded it is converted to a purchase order or can be turned into a vendor contract. Munis Bid Management also allows you to: Track an unlimited number of addenda to bids Fully supports NIGP and custom commodity code formats Decentralize requests, allowing departments to enter requested quantities Supports addenda tracking and vendor notifications Post questions to vendors and score the responses to assess a weighted vendor ranking Easily generate reports by departments, vendor response and ranking, budget versus award amounts, and more 30 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation MUNIS CONTRACT MANAGEMENT Munis Contract Management supports the entire lifecycle of a contract from inception to expiration. Create and approve contracts, including multi-year contracts, for purchases—and encumber the appropriate funds in advance. Allocate contracts by account or account segment and define milestones and key dates that trigger optional Munis Dashboard alerts to notify appropriate staff. Track and withhold contract sliding scale retainage based off percentage complete. Also provides ability to track other activity such as pending payments, open purchase orders and requisitions and contract change orders. Contract Management is fully integrated with General Ledger, Purchasing and Accounts Payable. Other benefits include: Defining contractors by size, performance, minority or women ownership, or other criteria Documenting vendor performance including past due deliveries, fill percentage and returns Maintain insurance information and policies Sliding scale retainage tracking Tracking multiple subcontractors for a given contract Routing contract change orders for approval through Workflow Maintaining history of contact changes with complete audit trail Interface with optional Tyler Content Manager for document management and attachments MUNIS ACCOUNTS PAYABLE Munis Accounts Payable manages and maintains all aspects of vendor invoices, payments, delivery performance and history. It provides a comprehensive view of all activity related to a vendor through Munis Vendor Central. Additionally, Munis Accounts Payable offers the ability to extend select vendor information for on-line vendor access using e-Procurement, including vendor check images, invoices, and bid information. Accounts Payable also incorporates a Web-based card management program that imports transaction details incurred on purchasing cards (P-Cards). It can split individual transactions to multiple accounting codes and create accounts payable invoices. Purchase card administrators can monitor card transactions in real time, and create and analyze custom reports to improve spend tracking and anticipate problems with a transaction before they occur. Other benefits include: Flexibility to liquidate purchase orders in full or in part, and view detailed information online Decentralized workflow saves central AP employee time by allowing individual departments to enter invoices Automated 3-way PO matching function expedites processing in distributed arrangements Flexible scheduling of invoices for payment helps maximizes cash flow P-Card reconciliation processing such as coding and attachment of receipts, tracks against actual vendor for complete year-end transactional reporting Integrated workflow allows users to route and approve invoices online without logging into Munis Configurable checking printing Provides positive pay processing security 31 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Utilize Tyler Content Manager to upload, organize and easily retrieve document images for improved efficiency Assets to the General Ledger facilitates data export to CAFR to create GASB reports MUNIS PROCUREMENT Munis Procurement is a fully integrated Web-based purchasing system for automating the entire procurement process life cycle -- from bid to requisition to purchase. Munis provides the tools to efficiently and effectively comply with regulatory requirements or highly structured procurement processes, while integrating fully with your financial processes and software. Purchasing employees have access to detailed supply chain information in a seamless, real-time and intuitive manner. Proven strategic sourcing techniques such as spend analysis, competitive sourcing and contract negotiation mean your organization gets the right value for its purchases and can provide full accountability for its purchasing decisions. BENEFITS OF MUNIS PROCUREMENT State & Local Government & Schools Reduces financial costs— paper, administrative, warehouse, supply & third-party Allows organizations to utilize budgets more effectively Ensures accountability, auditability, & compliance with local, state & federal requirements Increases the public’s confidence in state and local government Procurement Administrators Increases organization-wide visibility into procurement expenditures, minimizing risk Provides real-time insight into business processes for strategic decision- making Simplifies the management of & eliminates redundant supplier relationships Improves communication with employees & vendors Procurement Employees Eliminates unnecessary paperwork & reduces data entry time & errors Decreases “req to check” process time & Procurement Administrative Lead Time (PALT), reducing time & costs Improves customer service by ensuring the right product is procured at the right time at the best value Employees - Requestors Provides easy access to products or services when needed Improves understanding and ability to conform to internal business rules, policies & contracts Increases access to answers regarding product availability & reimbursement 32 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Dashboard above provides quick vendor stats as well as access to details. MUNIS HUMAN CAPITAL MANAGEMENT By integrating all of the tools and processes associated with people and performance in a strategic and organized manner, Munis Human Capital Management provides a complete view of your organization. When you employ a “hire to retire” strategy that integrates all of the information, tools and processes associated with people and performance, you align your employees’ goals with the goals of your organization in order to meet specific, measurable and realistic objectives. BENEFITS OF MUNIS HUMAN CAPITAL MANAGEMENT Local Government & Schools Reduce costs & do more with existing resources Achieve organizational goals & objectives Enhance workforce performance & increase agency adaptability Human Resources Strategic rather than administrative role Mange workforce from a single source Lower HR costs & deliver better services Address workforce demands Managers Better-informed decision making Actively plan for business change Find & retain the right talent Reduce paperwork & overhead costs Employees Online enrollment in benefits & instant access to pay and paid time off history Greater control over personal information and career paths Instant answers to HR questions 33 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation HR Central MUNIS PAYROLL Munis Payroll allows you to implement paperless payroll processes, streamline timesheet entry and ensure all local, state and federal requirements are met. With Tyler Content Manager integration, Munis Payroll provides an image-based history of all payroll documentation, allowing staff and employees to access old paystubs, W-2 forms, benefit elections and more. Standard payroll functions include, but are not limited to, reconciliation of employee insurance reports to monthly premium statements; manual or automatic check reconciliation; support of electronic timesheet entry; and verification and tracking of employee performance data, earning and withholding information, training and more. Munis Payroll also integrates fully with Munis Employee Self Service, providing W- 2, tax, benefit and accrual information to employees when they sign in to your Employee Self Service Website. Changes made by the employee, such as accrual requests and benefit selections, are transmitted directly to the payroll system for approval and will then reflect in employee pay. Other benefits include: Generates retro pay for scenarios such as extended contract negotiations or delayed promotion or salary increase decisions Enables direct deposits and positive pay validation Supports mass pay changes, “pay bands”, step increases, and retro-pay calculations Supports a wide range of calculation and accrual types Supports daily time and attendance entry, including entry from Employee Self Service, once approved the information is automatically moved into Payroll without re-keying information Integrates with Munis General Ledger for increased efficiency and time savings Integrates with Munis Budgeting for salary and benefits projections Integrates with General Billing for extra duty pay and COBRA/insurance billing Integrates with Munis Accounts Payable for vendor payments Integrates with any third party time-tracking systems for streamlined payroll processing 34 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Integrates with Employee Expense reimbursement Integrates with GoDocs, Tyler Forms and Tyler Content Manager for seamless document management, output options (i.e., emailing direct deposit advices) and data storage 35 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation MUNIS APPLICANT TRACKING Munis Applicant Tracking streamlines the entire application review and hiring process. Users can create custom job application forms to post online with unlimited customized conditions for each position. Candidates and recruiters can easily manage attachments such as resumes, references, certifications, writing samples and more. Reports can be generated for the top scoring candidates to compare skills and qualifications. Interview results, certifications, skills, training, education and work history references can all be tracked to identify the best candidate. With the role-tailored dashboard staff can monitor all job openings and hires in process. Once a candidate is chosen to be hired, the applicant data automatically populates the Human Resources Management and Payroll module so no rekeying of information is required. Other benefits include: Ability to post job openings on website, sort by job type or location, and limit access to internal applicants only, if so desired. Allows candidates to create one online profile for streamlining the application process for multiple positions Workflow helps manage all requests for new job openings as they travel through the approval process Once the applicant is hired, other candidates can be notified via mail merge and mass- deactivated Provides the option of reviewing applications individually or as a group MUNIS HUMAN RESOURCES MANAGEMENT Munis Human Resources Management centralizes all employment data for an organization -- from an organized hierarchy of jobs with position controls, pay and benefits scales to a confidential repository for employee information such as education, wages, promotions, benefit elections and performance evaluations. It provides all the tools needed by a HR department. Munis HR Management also helps streamline workflow and processes. Confidential employee information is centralized and accessible only to those with designated access. Munis Workflow allows you to set up business rules for personnel actions including inquiries, leave, termination, civil service, attendance, reinstatement, and so forth. Full integration with Munis Applicant Tracking, Payroll and Budget eliminates duplicate data entry. Other advantages include: Advanced position and budget control: Forecast future salary and benefit costs, including step and contract increases, and simulate changes to positions during a specified time period Identify valid and authorized positions, both filled and vacant Restrict the addition of new employees to a valid and authorized position Provide a history of employees who have held a certain position, for turnover and analysis Identify and allow updates to budget and FTE allocations Provide current year budget/actual/projected figures, by position Automatically create job postings in Applicant Tracking module from position control information 36 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Integration with Employee Self Service allows employees to use their password protected account to access updated sick and vacation accruals Track an employee’s full employment history including certifications, training, promotions and raises Integrates Tyler Content Manager for document management of all HR related documents (i.e. resume, grievance letters, certifications) Supports a paperless online benefits enrollment process using Employee Self Service Supports a paperless onboarding process using the On-Boarding Codes program and Personnel Actions. You can create different On-Boarding Code Steps, Subject Text, and Body Header. Emails can be sent to employees, to a group of new employees or they can be sent based on the On-Boarding Code chosen when hiring a new employee in the Personnel Actions program. MUNIS EMPLOYEE PROFESSIONAL DEVELOPMENT Munis Employee Professional Development empowers your human resources representatives to map out career paths for your employees. It helps define options for career advancement, minimize costs, retain talent, and align employees with strategic organization goals. Assign an employee to a specific path, add or create a progression plan to schedule employee advancement, and establish valid, reliable, results-oriented measures. Measure individual and group performances, analyze your talent and decide who to target for leadership positions. Rank existing employees based on eligibility and how well they meet job requirements. Munis Employee Professional Development provides the basis to make an informed decision regarding filling an open position, and ultimately introduces transparency and repeatability to the succession planning process. It enables an organization to: Identify organizational training needs Motivate employees to expand their capacity Ensure that top performing employees are offered path to leadership and growth Retain employees and institutional knowledge 37 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation MUNIS EMPLOYEE EXPENSE REIMBURSEMENT Munis Employee Expense Reimbursement is an easy-to-use application that fully integrates with Munis General Ledger, Payroll and Accounts Payable for complete electronic expense report filing— thereby increasing office efficiency, saving employees’ time, and reducing paper trails. Once expense types are defined, Munis Employee Expense Reimbursement offers many time saving system defaults such as: quick expense report creation, system-generated travel requests, invoice reimbursement numbers and general ledger account codes. For ease of use, your office can create an unlimited number of expense claim form templates; determine whether employees submit reports before or after expenses are incurred; and decide whether to reimburse through payroll or by cutting an AP check. When submitting expense reports, employees simply log into the application—anytime and from anywhere over the Internet—and enter his or her employee number. The system automatically populates the expense report fields with data pulled from Munis Payroll, and the employee simply fills out the remaining required fields and submits. The claim is automatically entered into the workflow process, where it can be preset to direct expense reports to different approvers based on user-defined account codes, amount and department codes. Other benefits include: Minimizes time-consuming documentation process Eliminates messy paper receipt storage Reduces service issues by letting employees file reports and check on pending or past requests using Employee Self Service Allows management to quickly review expenses by type, employee, time frame or other category using a range of reporting options MUNIS RISK MANAGEMENT Munis Risk Management allows an organization to manage risks such as job-related injuries and property damage with the tools necessary to effectively track, manage and pay property and causality claims. Risk Management enables you to handle these claims quickly and easily, from initial claim to related expenditures. Other benefits include: Easily maintain data, track claim activity and record expenses with recoveries and estimated costs via integration with Munis Procurement and Accounts Payables Links claims to employee records via integration with Munis Human Resources Management Evaluate injury-related compensation via integration with Munis Payroll Powerful analysis via interface with Microsoft Excel MUNIS EMPLOYEE SELF SERVICE Munis Employee Self Service improves employee access to key information and services, and reduces staff time spent responding to routine requests. Employees are able to update personal information, request leave, or check compensation quickly, confidentially, and securely over the Web from any computer, and at any time that's convenient for them. Employees log in using a unique username to view and update information. Accurate is assured because Employee Self Service extracts information from the Munis database and is reflected in real-time. Employee Self Service reduces Human Resources workload by allowing employees to: Use the calendar interface to request vacation time, enter sick time and view up-to-date accruals Log work hours against projects and activities 38 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Use the Net Pay Simulator to see how deductions, withholdings and pay rates would affect paychecks Receive HR messages and benefits updates Register for training classes (Separate log in available for non-employee registration, as well) Review their performance evaluations See overview of compensation and benefits, W-2, W-4, direct deposit changes Sign up for benefits during open enrollment Access paperless images of W-2 forms, payroll stubs and other employment documentation stored by Tyler Content Manager TYLER INCIDENT MANAGEMENT Tyler Incident Management is Web-based application to handle non-emergency inquiries, complaints and service requests from the public, and free up local 911 lines for real emergencies. Tyler Incident Management allows citizens to report a range of issues such as: loss of water service, stray animals, roadway potholes, and questionable activity in their neighborhood. Once an issue is logged, assigned a priority level, service category, and department responsibility, the information automatically flows into the appropriate Munis program such as Munis Work Orders and Munis Permits - Complaints/Violations. Any subsequent change relayed to Munis regarding the incident's status is automatically reflected in Tyler Incident Management. What's more, this module is compatible and seamlessly integrated with Tyler’s Citizen Self Service for online incident reporting. Other benefits include: Provides single point of contact for all citizen requests Manages unlimited photos, contacts and notes, and links them by incident, location, or person(s Seamlessly integrated with MUNIS Utility Billing, Work Orders & Complaints/violations Provides customizable call scripts for improved and consistent service handling. One or more call scripts can be in place for a given call type; call scripts can be marked as effective thru a certain period of time. 39 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Is accessible via a mobile device for improved responsiveness Supports and reports on Service Level Agreements Provide a knowledge-base of documents and references particular to the specific call type. Automatically retrieves and presents related calls (by type, person, or location) Provides complex task creation for multiple steps and assignments to be tracked relative to an incident SSRS reporting provides quick access to incidents sorted by category, type, department, frequency, status, and much more Configurable dashboard gadgets for focused listings, charting and tracking of groups of incidents. Integrates with Tyler Versatrans to document issues on school buses such as bullying or accidents Interfaces with School Information Systems to link incidents to the student records Incident Management documents and routes all complaints for prompt handling. 40 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation MUNIS ACCOUNTS RECEIVABLE Munis Accounts Receivable provides two major functions: collections of miscellaneous cash and the collection of billed receivables. Processing over-the-counter or mailed payments for non-billed items such as licenses, permits, and registrations is easy using Munis AR, and you have the option to print a receipt if necessary. You can set charge codes to facilitate data entry and provide detailed or summary analysis (daily, weekly, monthly) by type, and pre-set General Ledger revenue accounts to these codes so data entry personnel do not need to enter account numbers—creating efficiencies, and saving your organization critical time and resources. Notable highlights include: Single Customer Identification Number (CID) provides a complete view of all outstanding balances across revenues which improves collections Cross department utilization improves efficiency and reduces training burden Supports validation, check endorsement, OCR scanning and receipt printing Utilize workflow approval processes to better regulate payment, reversal and refund processes Supports various hardware devices; see Tyler’s recommended hardware listing MUNIS BUSINESS LICENSES Munis Business Licenses allows you to create and maintain business and occupational licenses for a variety of license and permit procedures. Staff can print separate documents for licenses and application forms, and can define an extensive number of business category, business type, and statistic codes. Business master records track single or multiple license charges/fees; charges can be flat fees or calculated by varying rates; and license fees can be based on annual, quarterly, or monthly sales receipts. Late fees and penalties can be assessed as necessary. History and activity reports can be generated for billing, payments, inspections and permits. What's more, you can define your own templates for labels, renewal notices and other licensing documents to seamlessly merge with Microsoft Office. Integration with Munis Scheduler also provides automated reporting and processing. Other benefits include: Businesses can enter filings, pay for renewals and apply for new business licenses online via Citizen Self Service If using Munis Permits, all prerequisites and approvals can be initiated by Business Licenses Ability to link multiple business accounts to one online profile Automatically assesses late fees and penalties for any unpaid bill System customizable to your billing, reporting and collection policies Fully integrated with Munis General Ledger, Accounts Receivable, Real Estate Tax, Business Licenses and Personal Property Tax 41 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Business License bill detail in Citizen Self Service MUNIS CENTRAL PROPERTY Munis Central Property makes it easy to streamline the storage and management of property-related data. Staff can easily track property use and zoning, setbacks and lot dimensions, legal use, septic, wells and building and construction data. When used in conjunction with other MUNIS property based modules such as permits, business license, or Utility Billing it provides a central address naming scheme and a central repository to access all data related to the property. Other benefits include: GIS interface provides address verifications for revenue products including Permits, Utility Billing, and Work Orders Supports several data sources to import the best parcel data either via Web or flat file Allows primary key to be either GIS coordinates or parcel Provides access to Maplink for abutters listings and integration to Microsoft office to create mail merges Uses GIS coordinates to track assets like manhole covers, street poles, and the like Has the capacity to track multiple street names and aliases for single location 42 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation MUNIS CITIZEN SELF SERVICE Munis Citizen Self Service provides secure online access to account information anytime and from anywhere. Citizens can inquire and pay outstanding balances for Munis generated bills, including animal licenses, business licenses, general/miscellaneous bills, permits and code fees, taxes and utility bills. Citizen Self Service also allows the users to submit information, such as business license applications or renewals and requests for service. Accuracy is assured because information is accessed from the Munis database in real-time. When used in conjunction with Tyler Content Manager, citizens are able to view actual images of past invoices and statements. Other benefits include: A secure log in for access to real-time account information for a full range of bills and services Ability to pay invoices online as individual bills or combined using the shopping cart feature Opportunity to request services such as filling potholes, and Utility Billing Service Requests Efficient 24/7 self service without leaving home or the office Reduction of customer service workload 43 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Citizen Central provides 24/7 citizen access to all account information MUNIS GENERAL BILLING Munis General Billing creates invoices and bills for miscellaneous charges, such as facility rentals, hangar fees, tuition, vandalism and false alarm billing. It eliminates handwritten bills and manual calculations, totals invoice lines and provides accurate payment information. General Billing works with Munis Payment Entry (Accounts Receivable), Work Orders, General Ledger, and provides accurate and up-to-the-minute accountability. Other benefits include: Can aggregate services provided such as multiple days billed monthly Supports automatic interdepartmental billing Manages escalating fees associated with multiple incidents Provides loan tracking and amortization for HUD housing Integrates with Grant Management for reimbursement requests Integrates with Payroll for extra duty pay and COBRA billing Integrates with Work Orders for billing repairs and other services MUNIS MAPLINK MapLink, a Munis extension, provides general mapping and spatial analysis tools for your entity. It serves as an interface between applicable Munis modules and your existing Geographic Information System (GIS), and is based on Esri’s ArcGIS™ Server. MapLink offers dynamic maps and GIS data and services via the Web, allowing city and local government to publish, discover, and share this information. For ease of use, MapLink is accessible from the Munis Property Master File, or any other property-oriented Munis file such as Business Licenses or Utility Billing account files— making it easy for you to map your fixed assets and infrastructure such as water lines, sewer lines, telephone poles, and so on. MapLink is easy-to-use. Simply click the MapLink icon on the Munis toolbar to begin— thereby allowing them to manipulate the active set in a number of useful ways: Functionality includes both manual selection and automatic spatial queries, including finding a parcel’s abutters or determining in what district a business is located Active sets can be saved back to Munis, and any maps generated can be saved as image files Additionally MapLink can perform map-based queries that can be merged with standard Munis queries MUNIS PARKING TICKETS Munis Parking Tickets allows you to track and invoice parking violations. Violations may be entered directly into the system or uploaded from your third party mobile parking ticket device. Parking Tickets can obtain accurate information and communicate with other agencies through an export request for owner names, an ASCII file used by State and Service Bureau agencies to supply you with owner names and addresses. It also has the ability to import the same type of ASCII file to update name and address and create account numbers, saving time if the account number does not already exist. Additional benefits include: Automatic retrieval of the motor vehicle record as license plate is entered Citizens to pay parking tickets through Munis Citizen Self Service 44 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Printing of notifications letters, updates, and late fee billing Export of “Tag and Tow” status to handheld devices for improved enforcement Ability to assess and apply late charges Munis Parking tickets integrates with the Munis General Ledger and Accounts Receivable 45 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation MUNIS ANIMAL LICENSES Munis Animal Licenses allows you to issue dog tags and maintain licenses, track veterinarian data such as rabies records, process payments, and perform historical incident reporting for domestic animals. The Animal Licenses module is fully integrated with other Munis applications, including General Ledger and Payment Entry (Accounts Receivable). Other benefits include: Flexible configuration for tracking of variable licenses Ability to enter incidents such as bites Auto–renewal process for increased efficiency Integration with Citizen Self Service allows pet owners to register online, upload attachments like vaccination certifications and other required documentation, and process payments MUNIS SLIP RESERVATIONS Munis Slip Reservations is designed to keep track of boat slip reservations and usage. It simplifies the task of maintaining specific data relating to watercraft, operators, marinas, and individual slips and makes it possible to book reservations and calculate charges either through the Accounts Receivable cash receipts program or link to the invoicing process via General Billing. It also allows you to simply export data to both Microsoft Word and Excel via Munis Office. Other advantages include: Run queries regarding slip availability Identify slip specifications from length and draft to optional services such as electricity, sewer, water and other services Create customer/boat records with searchable fields Process payments and/or invoices Handle both advanced reservations and those made on the spot Manages multiple locations with single program 46 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation MUNIS IVR GATEWAY Munis IVR Gateway module facilitates the integration and ongoing support for IVR (interactive voice response) systems. IVR technology allows for automated interaction with a caller via keypad or voice for off-hour availability, thereby reducing the need for direct staff involvement. Munis supports this integration through a Web service-based approach, providing the Web service API to the approved Tyler IVR vendor (Tyler supports Selectron, Teleworks, Presidio). The IVR Gateway provides the ability to inquire into the Munis system to obtain real-time information such as balances, customer information, current status, and more. Integration with Utility Billing provides convenient access to consumption details, billing and payment history, and online payment option. Other benefits include: Integration with Utility Billing provides citizens with 24/7 access to account information and payment history. Utility specific features include submitting and obtaining meter readings and consumption history. Payments via IVR are supported. Integration with Permits and Licensing allows citizens to easily schedule, cancel or review inspection results Integration with Taxes and General Invoices provides citizens with 24/7 access to all business and personal taxes and to process payments MUNIS PERMITS AND CODE ENFORCEMENT Munis Permits and Code Enforcement is designed to manage daily activity related to building department permits, planning and zoning, tank removal, fire departments, signs and miscellaneous user-defined permit types. It handles all inspection types, including permit, violation, and periodic business/building. Additionally, inspection scheduling allows automatic assignment of inspectors based on area of town and type of inspection. The system also tracks all complaints and violations related to a permit, business, or property. And Munis Scheduler automates certain reports, periodic inspections, and violation notices. Other benefits include: Supports a wide array of calculation and fee structures to fit any permitting need Configurable event notifications in key programs/processes in the module Interrogates other revenue applications to find outstanding bills and display any special conditions that exist Interfaces with GIS to display any special conditions Citizens access to simple permits applications through Citizen Self Service Access existing applications and accept and process payments for fees “Field Inspector”, a mobile-device enabled software application, utilizes cutting edge technology to simplifies on-site inspection process and documentation 47 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation TYLER CASHIERING Tyler Cashiering streamlines cash management by creating a single point of entry for data from multiple applications. Cashiering features a versatile, easy-to-navigate interface developed in the Microsoft® .NET platform. This scalable application has a familiar Microsoft Windows® look and feel, and was designed with user experience in mind. Tyler Cashiering allows for a wide range of customization based on payment type—and it integrates with local resources such as OCR and handheld bar code scanners, printers, validators and MICR devices, making it an essential addition to any agency’s collection process. Other benefits include: On-screen running batch and transaction totals displays Unlimited, user-defined tender types. 48 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Various user permission and controls over POS actions – such as voids, cash drawer opening, and more. Robust reporting on batch totals, user activity, and overall collection totals/trends Compliant with PCI/PA-DSS security standards Same as above Full Check-21 compliance which allows for creation of an electronic cash letter containing images of checks to be submitted to a bank in lieu of a traditional deposit with paper checks Standard interface to other Tyler products and may be configured to connect to third party modules as well MUNIS UTILITY BILLING CIS Munis Utility Billing Customer Information System (CIS) streamlines the complex procedures associated with billing, scheduling and reporting utilities, and puts the focus on the customers. Munis provides the tools to easily maintain customer accounts, track service orders, generate utility bills, and collect fees. Billing clerks, service managers and utility directors have access to detailed information in a seamless, real-time and intuitive manner. And local governments increase transparency and improve customer service. BENEFITS OF MUNIS UTILITY BILLING CIS Local Governments Enables a paperless organization Simplifies the utility billing process Accelerates revenue collection Puts the focus on the citizen to improve customer service Employees Improves productivity, efficiency & responsiveness to citizens Reduces redundant data entry and creates a “single version of the truth” Automates repetitive tasks & enhances workflow Enables fast, informed decision- making Citizens Improves access to utility, account & payment information Enables easy bill payment Increases confidence & support in utility services 49 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation MUNIS UTILITY BILLING CIS Utility Billing CIS processes all billing functions easily, quickly and accurately. With it your staff can perform expected tasks such as billing water, sewer, electric and gas; and maintain multiple billing cycles active at the same time. Robust functionality enables users to manage all aspects of utility billing with features including easy account setup to view past, current and pending customers, easy access to all service deposits, assessments, and installments; as well as unlimited user defined fields for account location master, account customer, and services in a variety of areas. With centralized accounts Utility Billing CIS simplifies property management. Integration with other Munis programs provides additional benefits: Access usage and billing details, enter service requests, and pay online via Citizen Self Service View billing history with images of past invoices through Tyler Content Manager (TCM) Online payments flow directly into general ledger through integration with Tyler Cashiering and Accounts Receivable Track site access and repairs through built in Service Order tool Verify address through MapLink integration Set rules for bill adjustments and service requests using Workflow Option to deliver bills via e-billing Manage cut off selections, lien collections, and all notifications out of the account management screen Interface with Tyler Notify provides reliable customer notification regarding late notices, service interruptions and other account notifications Schedule service visits and inspection through Scheduler Central PROPOSED THIRD-PARTY APPLICATIONS • What are the proposed third-party applications? • The proposers should provide written proof that it provides full technical support for third- party software. • Proposers must include the price for any third-party products specified. Not applicable. Tyler does not plan to utilize a third-party. MODIFICATIONS / CUSTOMIZATIONS / ENHANCEMENTS • Please list all modifications/customizations/enhancements to the software that have been proposed as part of scope. Modifications listed here should accommodate all functional requirements on the Responses to Functional/Technical Requirements: Price Proposal Form (Attachment E) listed as "M". MODULE: Special Assessments Specifications 4. System utilizes the Parcel ID number and ties this number Analysis needed to quote through parcel splits. 6. Accommodates multiple rolls per parcel number. Analysis needed to quote 7. Integrates with the Assessing, Tax Billing, and Cash Analysis needed to quote Receipts modules. 50 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation 12. Integrated with Tax Billing so as to include special Analysis needed to quote assessments on tax bill; Special Assessment payments are automatically updated through payment of tax bill. 17. Outstanding Balance by Customer report by individual Analysis needed to quote special assessments. 18. Special Assessment Roll (projected and approved). Analysis needed to quote 21. Special Assessment District Listing Analysis needed to quote MODULE: Accounts Payable Specifications 48. Provide the ability to enter and track basic contract information including: o) Number of months completed Analysis needed to quote MODULE: Purchasing Specifications 3. System supports automation in the RFQ (Request for Analysis needed to quote Qualifications) process by managing solicitation, responses, criteria, rankings, decisions and communications. 18. Ability to develop bidders lists and track: a) Last bid Analysis needed to quote b) Last award Analysis needed to quote 28. Ability to interact with vendors on-line to place orders, Can’t receive invoices on-line. receive invoices and make payments electronically. Analysis needed to quote 37. Interfaces with electronic mail / calendaring system to Analysis needed to quote notify buyers to take actions. account per purchase order line item or requisition line item. 102. Obtain bid list application on-line. Analysis needed to quote 104. Allows word processing feature to: b) Assist in compiling bid / specification documents Analysis needed to quote 105. Provides bidder list selection by all or partial Analysis needed to quote selection. 109. Automatic and/or manual assignment of status and priority codes, including: r) Last Quoted Price Analysis needed to quote s) Last Quoted Shipping Date Analysis needed to quote 128. Accumulate vendor and bidder performance 51 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation statistics for all vendors, such as: a) Number/Amount of Price Increases Analysis needed to quote b) Number of Out-of-Stocks Analysis needed to quote c) Number of Late Deliveries Analysis needed to quote 155. Receiving Report, indicating: h) Name of Shipper Analysis needed to quote 171. Bidder list labels Analysis needed to quote MODULE: Tax Billing Specifications 12. Interfaces with: c) Appraisal / Assessments analysis needed to quote 49. Semiannual Tax Roll including Parcel ID number, name, Analysis needed to quote mailing address, property address, legal description, detail of taxes levied, date and amount paid, and any delinquent amount due. Homestead/non-homestead, SEV, taxable value. 50. Report of adjustments to tax roll, BOR, MIT, etc. Analysis needed to quote 51. Annual Tax Roll sorted by parcel number with subtotals by Analysis needed to quote bill book number; date & amount paid; BOR/MTI adjustments; Real, personal, IFT, etc. 52. Delinquent Tax Roll listing of the code number, name, Analysis needed to quote mailing address, and detail of delinquent taxes due, printable at any time, and separate by July and December tax seasons and a combined tax roll. 54. Various Assessment and Misc. Receivables "Transfer-to- Analysis needed to quote Taxes" Report. 58. Special Assessment Billing Register and Edit List sorted by Analysis needed to quote assessment program and taxpayer. 59. Mortgage Company Listing in mortgage company and Analysis needed to quote Parcel ID number sequence, showing mailing name and address and receivable amount. 62. 1FT Report to State. Analysis needed to quote 66. TIF Rolls (DDA, LDFA, Brownfield, Renaissance Zone, etc.). Analysis needed to quote 79. Delinquent Tax Roll w/ flexibility to meet County Analysis needed to quote specifications (detail/summary and "as of' a specified date capabilities) 52 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation 80. Full Tax Roll w/ flexibility to meet County specifications Analysis needed to quote (detail/summary and "as of' a specified date capabilities). 81. Tax Clearance Certificates Analysis needed to quote 82. Tax History reports (individual parcel basis) Analysis needed to quote MODULE: Utility Billing System Specifications 63. System interfaces with the Fixed Assets module to Analysis needed to quote assist with disposal whim a meter is changed out. 65. System replaces the City's current CONEN_FTP_XFER, CPUPDATE, and CPREADS_RENAMER applications (#6) to facilitate meter reads performed by an external organization (currently, Consumers Energy) by performing the following functions: a) Exports file daily indicating changes to customer Analysis needed to quote account information 79. System has the ability to replace the City's current Analysis needed to quote PORTAGEMIBILLS_MAILER application (1143) and generate a report "The Portage Report" detailing consumption and billing activity for a individual billing district, and electronically save to a file, to be emailed to that entity. 83. System provides the ability to generate a file of Analysis needed to quote service orders for specified date range that will interface with Radix software. 181. Service Order Report- to show, by specified Analysis needed to quote date, orders to be done. 184. No Read Report, indicating time since last Analysis needed to quote meter reading for those accounts not read over a user-defined cycle or date range. 198. Outstanding Water Order Report, showing Analysis needed to quote flags based on user-defined criteria. 60. Provides FLSA overtime calculations and 7K exemption rules. *Munis handles many OT calc scenarios but custom calcs will be billable Quoted amount represents common quote for new OT calc but this may vary based on analysis. - $6,600 53 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation 4.0 COMPANY BACKGROUND In this section Proposers must provide a general overview of the company responding to the RFP, including any subcontractors and/or third parties. Please provide the following information within this Section: COMPANY OVERVIEW • Prime Software Firm and Implementation Firm Overview: Please provide an overview of the Company(s) (including sub-contractors) represented in this response. In the case of teamed responses please reply to all questions for each company involved. Tyler Technologies, headquartered in Plano, Texas, is a leading provider of information management solutions and services to local governments. The company provides software and services to more than 11,000 local government offices throughout all fifty United States, the U.S. Virgin Islands, Canada, Puerto Rico, and the United Kingdom. These mission-critical applications provide the public sector with the ability to streamline and automate operations resulting in improved productivity and reduced costs. With decades of exclusive public sector experience, Tyler Technologies is the market leader that provides integrated software and services; our singular focus, subject matter experts and in-depth products result in a sustainable client partnership that delivers the industry’s most comprehensive solution. We provide the industry’s broadest line of software products, and offer clients a single source for all their information technology needs, in several major areas: Financial & Human Resources, K-12 School Solutions, Public Safety, Courts & Justice, Property Appraisal & Tax, Pension Management, Citizen Services, Land & Vital Records, and Document Management. We are known for long-standing client relationships, functional and feature-rich products, and the latest technology. In addition to software products, Tyler provides related professional services including installation, data conversion, consulting, training, customization, support, disaster recovery, and application and data hosting. Tyler always puts its clients first. We succeed because we take our client’s success seriously, and we have a proven record of delivering superior software solutions and services. The overwhelming majority of clients are up and running on time, and within budget. Whether it’s developing, 54 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation enhancing, and implementing our software, or providing excellent service and client supportwe succeed because our clients succeed. We want clients for life. In fact, many of Tyler’s first clients, across every solution, are still clients today – some with relationships that span decades. PUBLIC SECTOR FOCUS Tyler Technologies’ business units have provided software and services to customers for more than forty years and have long-standing reputations in the local government market for quality products and customer service. Tyler is the largest company in the United States focused solely on providing software solutions to the public sector. While many of our competitors compete in multiple vertical markets, Tyler is singularly focused on the public sector. It’s 100 percent of our business. Tyler recognizes that the public sector is generally stable, risk averse, and craves community accessibility, security, and transparency. That is why local government and school entities seek reliable and efficient software and services from Tyler—a vendor who is professional, reputable, dedicated, and achieves results. Tyler has the experience to understand the unique requirements of the public sector, the necessary resources to invest in its products, and the ability to deliver quality services. Tyler’s expansive offering of professional services is designed to complement its software offerings and produce the optimum working environment for local government customers. Consulting Conversion Customization Training Live ongoing support Network management FINANCIAL STABILITY Tyler consistently maintains a solid balance sheet and strong cash flow and low debt, experiencing consistent revenue growth with 52 consecutive quarters of profitability. Total revenue for 2013 was $416.6 million and year-end backlog was $531.8 million. Experiencing significant growth opportunities from an increase in staff and expanding territories, we anticipate additional product offerings and new technology will accelerate this growth substantially in the future. We believe a debt-free balance sheet, substantial cash reserves, and a committed customer base put Tyler in a great position in our industry to weather any unexpected turbulence in the economy. For additional revenue information please visit www.tylertech.com 55 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation INDUSTRY LEADERSHIP Tyler strives to provide the best client services in the industry. Our products undergo testing by trained quality assurance and certified usability analysts, therefore our clients benefit from products that work logically based upon user experience and input. We also focus our implementation and support professionals on specific groups of applications so they are able to offer more specialized services. Our commitment at Tyler is to ensure the highest level of client satisfaction through the efforts of Tyler’s most valued resource: its people. We challenge our employees to pursue new initiatives aggressively and become industry leaders in their respective fields. Tyler employs over 2,500 individuals, many of whom are seasoned professionals with unique and proprietary skills and years of industry experience. In fact, our employee turnover rate is very low—in recent years, about half of the industry average. COMPANY RECOGNITION Tyler has again been included on Software Magazine’s Software 500 ranking of the world’s largest software and service providers for 2012. “We are honored to be recognized for the fourth straight year by Software Magazine as one of the 500 largest software companies in the world,” said John S. Marr Jr., president and chief executive officer of Tyler Technologies. “Our consistently strong performance proves that even in these challenging economic times, Tyler Technologies continues to create significant value and provide the best and broadest scope of software and services available to the public sector.” The ranking is based on total worldwide software and services revenue for 2010. This includes revenues from software licenses, maintenance and support, training, and software-related services and consulting. Suppliers are not ranked on their total corporate revenue, since many have other lines of business, such as hardware. The financial information was gathered by a survey prepared by King Content Co. and posted at www.softwaremag.com, as well as from public documents. Tyler Technologies, Inc. has been named to Forbes 2012 list of Best Small Companies in America. Company rankings are based on return on equity, sales, and profit growth over the previous twelve months, and a comparison of a company’s stock performance with that of its peers. Tyler has been recognized by Forbes.com as one of the top 100 Most Trustworthy U.S. Companies. Based on ranking compiled by Audit Integrity, an independent firm specializing in research on corporate governance best practices, the nomination identifies companies that “showed the highest degree of accounting transparency and fair dealing to stake-holders.” Tyler ranked among the top 25 companies honored. Tyler Technologies also made the Fortune FSB 100 listing of America’s 100 Fastest-Growing Small Public Companies. Companies were ranked on the previous three years’ earnings growth, revenue growth, and stock performance. 56 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation In addition to your overview please address the following items: Describe the proposing companies' structure (corporation, partnership, or privately held). Tyler is a publicly traded corporation on the NYSE (TYL). Describe the number of years the companies in this proposal have been in software and professional services for each module. Tyler Technologies made the decision to focus exclusively on the public sector in 1998. Tyler Technologies' Munis Solution has been providing products, service, and support exclusively to the government market place since 1982. State the location of the primary office(s) from which this engagement will be serviced and the range of activities performed at that office. The primary office that this engagement will be serviced will be Falmouth and Yarmouth, Maine. In addition to our software, the following professional services are serviced out of our Maine offices: Consulting, Network Design and Management, Installation, Conversion, Customization, Training and Ongoing Support. PROPOSER’S RESOURCES • Prime Software Firm and Implementation Firm Resources: The Proposer should include information with regard to the organization's resources that it deems advantageous to the successful provision of the requested products and services. This might include management capabilities and experience, technical resources, and operational resources not directly assigned to this project, but available if needed. Tyler has over 25 years of successfully implementing ERP solutions to the public sector. Trained personnel perform and guide all aspects of an implementation for our clients. Our staff consists of seasoned professionals with unique and proprietary skills and years of experience, focused into dedicated departments. Our project managers are trained to maintain the professional standards of PMI. Through the institute, our project managers earn Project Management Professional (PMP) certification, a qualification program that signifies a professional has met very stringent guidelines. Our implementation staff is experienced in analyzing policies, procedures, and organizational needs. They carefully review and test to ensure policies and procedures are well defined and effective. For Tyler clients, the proof of our approach is in the outcome—a successful implementation. Tyler’s ERP division has over 200 expert project managers and consultants across the country. Tyler managed employees manage and implement all aspects of our projects rather than the need of a third party implementer or integrator. The resumes presented in this proposal reflect the caliber and experience that Tyler will assign to this project. Our implementation process is effective—it’s based on three important areas: experience, people, and the inclusion of the Project Management Institute methodology. Experience—more than 25 years of experience, and over 1,600 successful implementations ensure an outcome that exceeds expectations. 57 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation People—all Tyler implementations are planned, managed, and executed by our greatest resource, our in-house experts, backed by Tyler’s comprehensive resources. Project Management Institute—PMI is a globally-recognized leader in the science of project management, with developed common principles that target your project’s success. PREVIOUS WORK HISTORY • Shared History: Please provide a history of the previous work conducted individually and as a team by the software and implementation firms included in this proposal, including third party software providers and sub-contractors. Tyler Technologies develops and implements our own software. No 3rd Party software providers are being used. Fixed Assets and Inventory Functionality BMI Systems group has been a leader in barcode based Asset Tracking and Inventory systems since 1986. BMI software interfaces with the MUNIS Fixed Asset and Inventory modules to allow for barcode scanning, reconciliation and automated postings. Tyler Technologies and BMI Systems have integrated in over 180 similar implementations. BMI integration and hardware is included in the Tyler Technologies response and cost proposal. Investment/ Bank Reconciliation Management Functionality SymPro has been providing treasury solutions to public entities for over 25 years. With this depth of experience and knowledge, SymPro has become the industry leader in providing comprehensive software solutions to the Treasury market. Organizations of all shapes and sizes depend on SymPro to comprehensively manage their investment, debt, and cash portfolios with increased accuracy and efficiency--leading to data integrity, standardization and better decision making. Over 450 customers, across multiple industries, are relying on SymPro for their treasury management and reporting needs. These customers include, Counties, Cities, Power Agencies, Utilities, Transportation Agencies, School Districts, Money Managers and other various public sector entities. The solution includes integration to the Advantage General Ledger system to automate the journal entry posting process for treasury transactions. Tyler Technologies has partnered with Sympro Software to provide sophisticated investment and debt management software systems since 2000. Tyler's Munis division and Sympro worked together to provide an integrated solution to the City of Tuscaloosa, AL in 2004 and have developed an interface program to allow for journal entries to be imported into Munis. Other notable joint implementations include: St. Louis County, MO, Delaware River Joint Toll Bridge Commission, PA, and the City of Richmond, CA. Tyler Technologies recommends SymPro for some of the requested functionality within the Investment Management requirements. Tyler Technologies has not included SymPro functionality or pricing in this response. Please see References in Section 8 of this proposal response. 58 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation FINANCIAL INFORMATION • Financial Information: For all companies proposed in this proposal (including sub- contractors), provide an overview of the company's Financial Stability in terms of the past year, 3 years, 5 years and finally 10 years. Tyler consistently maintains a solid balance sheet and strong cash flow and low debt, experiencing consistent revenue growth with 52 consecutive quarters of profitability. Total revenue for 2013 was $416.6 million and year-end backlog was $531.8 million. Experiencing significant growth opportunities from an increase in staff and expanding territories, we anticipate additional product offerings and new technology will accelerate this growth substantially in the future. We believe a debt-free balance sheet, substantial cash reserves, and a committed customer base put Tyler in a great position in our industry to weather any unexpected turbulence in the economy. For additional revenue information please visit www.tylertech.com. Please reference the Annual Report Booklets provided with this proposal response. AUDITED FINANCIAL STATEMENTS In addition to your overview please address the following items: Please provide audited Financial Statements for the last fiscal year available. Please reference the Annual Report Booklets provided with this proposal response. LITIGATION Please describe any litigation or pending litigation arising from any of the firms' performance in the last 5 years. There is no litigation or pending litigation arising from Tyler’s performance in the last five years. INVESTIGATIONS Please describe any investigations or any of the proposing firms by state or federal regulatory or law enforcement agencies in the last 10 years. There have not been any investigations of Tyler by state or federal regulatory or law enforcement agencies in the last ten years. PROFESSIONAL LIABILITY INSURANCE Please describe the amounts and types of professional liability insurance and the name of the carrier. See the enclosed Certificate of Liability Insurance. CERTIFICATE OF INSURANCE Please provide a copy of the certificates of insurance. Please reference Certificate of Insurance on the following pages. 59 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation RESUMES OF KEY PERSONNEL Prime/Sub Relationship Structure and Project Resources Resumes: Please provide a detailed description of the prime/sub relationship structure being proposed for this project. Please provide a resume for each proposed team member for all implementation firms and subcontractors in this proposal. The City expects that key individuals will provide services on this project from start to finish to ensure continuity and success. Elaborate on your willingness and ability to maintain key personnel dedicated to the project, both in terms of reassignment within your organization and retaining them generally as employees. Additionally, if there is a change in key personnel on the project, the City requires approval of these changes. Further, any ramp up time and costs incurred due to transitioning personnel will not affect the project timeline nor the overall cost to the City. Prime/Sub Relationship Tyler resources will perform all aspects of the proposed Munis implementation project. No 3rd party resources will be used. Tyler Staffing Tyler will provide information on Tyler personnel likely to be assigned to the City’s project. The resumes presented in Tyler’s proposal reflect the caliber and experience that Tyler will assign to this project. Resources are assigned at the point of contract signing, and Tyler warrants that our staff will perform services in a professional, workman-like manner, consistent with industry standards. We are unable to assign personnel to a project until Tyler is selected and a contract is signed, in an effort to most effectively use resources. Tyler will make every effort to ensure that the project resources assigned to the City’s Project will meet the expectations of the City. In the event Tyler personnel provide services deemed unsatisfactory by the City, Tyler will be given an opportunity to correct the deficiency. Tyler makes staffing our projects with consistent resources a priority and will make every effort possible to keep project resources assigned to the City’s project available throughout the project. Representative Resumes Tyler Technologies Employee Resume Project Role Implementation Manager – Installed Accounts Name Kathryn Years of Tyler Experience 17+ years Department & Home Office Iowa City, IA Previous Projects & Roles Schaumburg, IL – Regional Manager Las Cruces, NM – Project Manager Tulsa City BOCC, OK – Project Manager Anderson, IN – Regional Manager Education- Institution Degree Husson University – Orono, ME BA – Business Administration Southern New Hampshire University – NH MBA in Progress Professional Designations & Memberships Project Management Professional, PMP 60 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Previous Job History/Experience Office Manager – Business Development – 2 years Customer Service Manager – Manufacturing – 5 years Customer Service – Manufacturing – 1 year Qualifications & Technical Skills Project Manager for more than 500 Munis Projects Implementer for more than 100 Munis Products MS SharePoint MS Office MS Project Tyler Technologies Employee Resume Project Role Implementation Manager – Revenue Name Shawn Years of Tyler Experience 15+ years Department & Home Office Yarmouth, ME Previous Projects & Roles Asheville, NC – Regional Manager Columbia City, GA – Regional Manager Roanoke City, VA – Regional Manager Baltimore, MD – Regional Manager Education- Institution Degree University of Southern Maine – Portland, ME BS – Biology Professional Designations & Memberships Project Management Professional, PMP Previous Job History/Experience Product Manager – Software – 5 years Support Analyst – Software – 2 years Support Representative – Software – 2 years Qualifications & Technical Skills Management Sponsor for more than 100 Munis Projects MS SharePoint MS Office MS Project Tyler Technologies Employee Resume Project Role Project Manager Name Diana Years of Tyler Experience 15+ years Department & Home Office Waynesville, NC Previous Projects & Roles Roanoke, VA – Project Manager Richmond, VA – Project Manager Baltimore, MD – Project Manager 61 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Watauga City, NC – Project Manager Education- Institution Degree Western Carolina University – Cullowhee, NC Haywood Community College – Clyde, NC Professional Designations & Memberships Project Management Professional, PMP Certified Change Management Facilitator Previous Job History/Experience Deputy Tax Collector – City Government– 14 years Store Manager – Retail – 5 years Office Manager – Property Management – 2 years Qualifications & Technical Skills Project Manager for more than 30 Munis Projects MS Office MS Project MS SharePoint Tyler Technologies Employee Resume Project Role Project Manager Name JJ Years of Tyler Experience 6+ years Department & Home Office Yarmouth, ME Previous Projects & Roles Tulsa City, OK – Implementation Consultant Woburn, MA – Implementation Consultant Birdville ISD, TX– Implementation Consultant Wallingford, CT – Implementation Consultant Brookline, MA – Project Manager Lewisville ISD, TX – Project Manager Education- Institution Degree University of Massachusetts – Amherst, MA BS – Sports Management Professional Designations & Memberships Project Management Professional, PMP Previous Job History/Experience Director of Operations – Professional Sports – 5 years Qualifications & Technical Skills Project Manager for more than 10 Munis Projects Implementer for more than 25 Munis Projects Investment Assessment Experience MS Office MS SharePoint Crystal Reports SSRS 62 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Tyler Technologies Employee Resume Project Role Project Manager Name Patrick Years of Tyler Experience 7+ years Department & Home Office Yarmouth, ME Previous Projects & Roles Woodinville Water District, WA – Project Manager Delaware River Authority – Implementation Consultant Kenner, LA – Project Manager Florence, SC – Project Manager Greenwood, SC – Project Manager Education- Institution Degree University of Southern Maine – Portland, ME BA – Business Administration Berklee College of Music – Boston, MA AA – Performance Studies Professional Designations & Memberships Previous Job History/Experience Sales & Marketing Coordinator – Retail – 5 years Sales & Customer Service Manager – Retail – 3 years Qualifications & Technical Skills Project Manager for more than 15 Munis Projects Implementer for more than 30 Munis Projects Maplink SharePoint MS Office Tyler Technologies Employee Resume Project Role Implementation Consultant Name Catherine Years of Tyler Experience 6+ years Department & Home Office Yarmouth, ME Previous Projects & Roles Roanoke, VA – Implementation Consultant Hagerstown, MD – Implementation Consultant Rochester, NY – Implementation Consultant Davenport, IA – Implementation Consultant Education- Institution Degree University of Maine – Orono, ME BA – Mathematics – Summa Cum Laude Professional Designations & Memberships Previous Job History/Experience Instructor – Education – 2 years 63 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Tutor – Education – 6 years Qualifications & Technical Skills Implementer for more than 25 Munis Projects Business Process Consulting Experience MS Office MS Access SQL daces C++ ArcGIS Tyler Technologies Employee Resume Project Role Implementation Consultant Name Hellen Years of Tyler Experience 5+ years Department & Home Office Yarmouth, ME Previous Projects & Roles Baltimore, MD – Implementation Consultant Somerville, MA – Implementation Consultant Annapolis, MD – Implementation Consultant Boston, MA – Implementation Consultant Education- Institution Degree Northeastern University – Boston, MA BS – Business Administration – Magna Cum Laude Professional Designations & Memberships HDI-CSSR USSF National C License Previous Job History/Experience Finance Analyst – Healthcare – 1 year Systems Analyst – Financial Management – 1 year Support Representative – Software – 3 years Qualifications & Technical Skills Implemented more than 10 Munis Projects Business Process Consulting Experience MS Office Vizio SQL Adobe CSS Tyler Technologies Employee Resume Project Role Implementation consultant Name Eric Years of Tyler Experience 2+ years Department & Home Office Nashville, TN 64 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Previous Projects & Roles Gillette, WY – Implementation Consultant New Orleans, LA – Implementation Consultant Beverly Hills, CA – Implementation Consultant Greenup, KY – Implementation Consultant Education- Institution Degree Army Special Operations Combat Medicine – Ft. Bragg, NC Special Forces Medical Sergeant Army School of Development – Ft. Campbell, KY Advanced Special Operations Professional Designations & Memberships Previous Job History/Experience Advisor – Army Special Forces – 2 years Team Leader – Army Special Forces – 4 years Trainer – Non Profit – 1 Year Qualifications & Technical Skills Implementer for over 20 Munis Projects MS Office SharePoint Tyler Technologies Employee Resume Project Role Implementation Consultant Name Jay Years of Tyler Experience 1+ years Department & Home Office Dunnellon, FL Previous Projects & Roles Knox City, TN – Implementation Consultant Annapolis, MD – Implementation Consultant Pasadena, CA – Implementation Consultant Lawrence City, PA – Implementation Consultant Irving ISD, TX – Implementation Consultant Education- Institution Degree St. Leo University – St. Leo, FL MBA – Business Administration University of Central Florida - Orlando, FL MS – Accounting State University of New York – Fredonia, NY BS - Accounting Professional Designations & Memberships Certified Public Accountant Certified Government Finance Officer Notary Public Firefighter I Previous Job History/Experience Finance Manager – City Government – 3 years Chief Accountant – City Government – 4 years Senior Accountant – Travel Services – 2 years 65 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Qualifications & Technical Skills Implemented over 30 Munis Projects Business Process Consulting Experience MS Office Yardi Crystal Eden Taxcut MS Accesss Tyler Technologies Employee Resume Project Role Implementation Consultant Name Andrew Years of Tyler Experience 1+ years Department & Home Office Yarmouth, ME Previous Projects & Roles Branford, CT – Implementation Consultant Clermont City, OH – Implementation Consultant Douglas City, GA – Implementation Consultant Rome, GA – Implementation Consultant Education- Institution Degree University of South Carolina – Columbia, SC BS – Business Management Professional Designations & Memberships Previous Job History/Experience Implementer – Software – 7 years Manager – Food Service – 4 years Qualifications & Technical Skills Implemented over 10 Munis Projects MS Office MS SharePoint Tyler Technologies Employee Resume Project Role Implementation Consultant Name Amber Years of Tyler Experience 7+ years Department & Home Office East Chicago, IN Previous Projects & Roles Las Cruces, NM – Implementation Consultant North Olmsted, OH – Implementation Consultant Sandy Springs, GA – Implementation Consultant Hartford, CT – Implementation Consultant Columbus City Schools, GA – Implementation Consultant 66 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Education- Institution Degree Keller Graduate School – Downers Grove, IL MBA – Information Systems Management Purdue University Calumet – Hammond, IN BA – Political Science Professional Designations & Memberships Previous Job History/Experience Account Representative – City Government – 1 year Clerk – City Government – 2 years Sales Representative – Retail – 1 year Qualifications & Technical Skills Implemented over 80 Munis Projects Investment Assessment Experience MS Office MS SharePoint Tyler Technologies Employee Resume Project Role Implementation Consultant Name Peter Years of Tyler Experience 6+ years Department & Home Office Yarmouth, ME Previous Projects & Roles Westerly Schools, RI – Implementation Consultant Glen Cove, NY – Implementation Consultant Sheboygan, WI – Implementation Consultant Plymouth, MA – Implementation Consultant Prince George City, VA – Implementation Consultant Education- Institution Degree Misericordia University – Dallas, PA BS – Business Management Professional Designations & Memberships Previous Job History/Experience Assistant Finance Director – Construction – 5 years Income Tax Preparer – Accounting – 2 years Qualifications & Technical Skills Implemented over 100 Munis Projects Investment Assessment Experience MS Office MS SharePoint Crystal Reporting SSRS Reporting MDS Explorer ADP ReportSmith 67 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation SUBCONTRACTOR INFORMATION Subcontractor Information: The Proposer should list any subcontractor's name, address and state of incorporation that are proposed to be used in providing the required products and services. The subcontractor's responsibilities under the proposal, anticipated dollar amount for subcontract, the subcontractor's form of organization, and an indication from the subcontractor of a willingness to carry out these responsibilities are to be included for each subcontractor. This assurance is no way relives the proposer of any responsibilities in responding to this RFP or in completing the commitments documented in the proposal. Not applicable. Tyler does not plan to utilize a subcontractor on this project. 68 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation 5.0 IMPLEMENTATION PLAN IMPLEMENTATION METHODOLOGY AND APPROACH Please provide an overview of your implementation methodology, including a description of your approach including project initiation/planning, design, configuration, development, testing, training, conversion, and post go-live support. Implementation is the set of activities that takes the client from software installation up to the daily, normal use of the Tyler system. Tyler’s goal is to provide the best software, services, and support to our clients. Tyler clients benefit from the fact that we perform our own implementations—we know our software better than anyone. Our clients receive guidance throughout implementation by experienced Tyler professionals. This results in clients that are not only satisfied, but willing to recommend our products and services. Methodology Tyler’s methodology is straightforward. We’ve taken the successful approach to implementation we’ve used or over 25 years and integrated it with the principles of the Project Management Institute (PMI), a globally recognized organization dedicated to the project management profession. As a result, our clients receive an implementation method tailored to meet their specific needs. PMI’s PMBOK® (Project Management Body of Knowledge) Guide proposes that there are five process groups to every project: Initiating, Planning, Executing, Controlling, and Closing. As part of Tyler’s commitment to incorporating the PMI principles into our implementation process, we have integrated these proven technologies of the PMI process with Tyler’s implementation experience, to yield a proven approach that is tailored to the public sector. Trained personnel perform and/or guide all aspects of an implementation for a client. Our staff consists of seasoned professionals with unique and proprietary skills and years of experience, focused into dedicated departments. Our project managers are trained to maintain the professional standards of PMI. Through the institute, our project managers earn Project Management Professional (PMP) certification, a qualification program that signifies a professional has met very stringent guidelines. Our implementation process emphasizes the importance of cultural change management. This is how we guide our clients through the changes that accompany implementation of a new software system and help to ensure a smooth transition. Our implementation staff is experienced in analyzing policies, procedures, and organizational needs. They carefully review and test to ensure policies and procedures are well defined and effective. For Tyler clients, the proof of our approach is in the outcome—a successful implementation. Throughout a project, we establish control points (critical review points) to ensure an organization fully understands and accepts the project. It is at these check points that organizational stakeholders monitoring the overall project must formally accept the project to date. Once there is formal acceptance, the project will proceed to the next phase. Tyler takes its contractual obligations seriously. We have a proven record of delivering software solutions on time and on budget. We take pride in our ability to partner to deliver successful projects that stay in scope, and are deployed, and up and running when promised. This is precisely what differentiates our implementation process. 69 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation In addition to your overview please address the following items: Describe how the implementation plan has been designed in such a way to minimize any negative impacts on existing City operations and responsibilities. Tyler’s approach to the Implementation of Munis software utilizes our custom methodology based on the Project Management Institute’s approach to project management. This methodology places a strong emphasis on project planning and analysis of current business practices. By understanding your current process flow and work responsibilities, the Project Management teams can schedule training and other project responsibilities around your unique needs, resources, and experience. Tyler takes a customer approach to all aspects of the project to ensure that all activities are designed to meet the City’s goals and requirements for the project. This helps to minimize project risks by ensuring Tyler’s project team has an accurate understanding prior to beginning any project work. Project activities can be scheduled around current operations to minimize the impact to on-going processes related to the City’s Legacy software. Please refer to the attached Munis Sample Implementation Plan and Oshkosh – Gantt Chart for more details on the proposed project activities that make up the implementation plan. Describe how the implementation plan has been designed to provide for the deployment and use of management, supervisory or other key personnel during the project. (The detailed plan below should show all management, supervisory and key personnel that will be assigned to manage, supervise and monitor the project). Tyler welcomes the involvement of the City’s Project Sponsors and Management Team in the project as Management Involvement is a critical success factor. It is expected that department managers and supervisors are participating in the majority of project activities while Senior City Management is involved in project communications, planning, and direction. The City’s project sponsor is a key part of project success, and their involvement in the project’s communication plan is important. Tyler’s Implementation Management team will be involved in the project as well to ensure the project is a success. Please refer to the Project Team Organization Chart at the end of this section which outlines the Tyler and City resources that are expected to be involved in the proposed project. Describe how the implementation plan has been designed in such a way to minimize the start-up time of the project. Tyler’s Implementation Methodology has been designed to provide the most accurate and detailed level of service to our Clients through an extensive Analysis, Design Test, and comprehensive training on all aspects of the Munis system. Over our more than 25 years’ experience, we have instituted many steps and process that are designed to minimize the amount of time that these activities take to perform, without compromising the quality of the services delivered. Ultimately, it is not the project plan but the progress of the City’s project team that will impact the time it takes to implement Munis successfully. Please review the attached Munis Sample Implementation Plan and the Oshkosh – Gantt Chart for information on the project activities that are part of the project start- up process. Describe specific actions the City could take to support an accelerated start-up. To ensure an accelerated project start up, the City can take some steps to ensure that knowledge transfer and analysis can be conducted quickly and easily. This entails reviewing business policies, ordinance, and internal procedures ahead of the project officially kicking off. All forms, outputs, reports, and metrics that the City currently uses will need to be identified and examples should be provided to the project team. Putting together all these items including supporting materials ahead of time, will allow for a quicker and more accurate knowledge transfer to the Tyler Project team. The 70 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation quicker this information can be transferred to Tyler, the sooner the project can move to the next stage. Describe how the implementation plan makes use of subcontractor(s), if any, on this project. Not applicable. Tyler has no plan to utilize a subcontractor on this project. Describe how the implementation work plan will be maintained and updated throughout the course of the project. During the Planning Stage of the project, a Custom Project Plan will be created by the Tyler and City Project teams that will serve as a working document throughout the entire project. These teams will meet regularly throughout the project to foster communication and ensure that all tasks are on schedule. In addition, Periodic reviews and Project Meetings will be scheduled regularly where changes in scope, project length, or cost will be discussed. Any change to the overall plan, and specifically the Project Plan, will be agreed to by the two project teams and any required project stakeholders. The original Project Plan, as well as any subsequent versions of the document will be posted on the Project’s SharePoint Site and available to all project participants at the City. This open access to project documents helps to ensure good communication among all project stakeholders. Describe your experiences with organizations that have successfully prepared for, implemented and supported your solution. Additional for each experience describe what items/actions led to the organization being prepared. One of the key factors for success in this type of project is management commitment. Change of this type of magnitude is never easy. It will be met with objection from many within the organization due to no other reason than the fact that the new financial system is different. It is management’s job to build enthusiasm for the project, to show the benefits of the system to all users. It is also critical to have management enforce the new business policies that will inevitably be adopted as part of the implementation. Another key factor for success is the proper setting of expectations by both Tyler and Oshkosh. Both parties need to be in complete agreement as to the responsibilities of each party throughout the project. In Tyler’s experience, if the expectations are not completely understood by both parties, the chance for difficulty is greater. Yet another factor for success in this type of project is keeping the project on scope. Tyler will work with the City to verify project scope at the onset and will co-manage it throughout the project. If any deliverables are needed in addition to the preliminary scope, change management procedures will be followed to ensure agreement based on the known impact to the project. Tyler’s project manager will provide a high degree of oversight in this area. The City Project Manager will be involved in all levels of the Implementation Project, and their ability to ensure that City side of the project is running on track plays a big part in the overall project success. If at all possible it is advised to dedicate an internal employee with knowledge of the subject area to this role for the City. Describe your experiences with organizations that have not been successful or have struggled in preparing for, implementing and supporting your solution. 71 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Tyler has over 25 years of experience implementing our Software, and over that time we have learned many lessons on what it takes to run a successful project. We designed our custom implementation methodology utilizing PMI’s Project Management approach and staff the project with internal resources who have project and industry experience to guide the project from start to finish. This approach helps to minimize project delays and often can overcome significant issues while still ensuring a successful outcome. Below are common project pitfalls that we have encountered over the last 25 years. We would be happy to outline our approach to mitigating the impact of these factors with you during the planning stage of your project. A Moving Target – Undefined Scope at Project Inception Lack of Management Commitment – Without Management behind the project, City Resources tend to have limited adoption of the changes involved in the project Lack of Communication – on the City side, internal communication is a key factor Resource Availability – it is important that key personnel be available at critical phases of the project Project Manager – this role is the key to project success, this role needs to have access to the resources they need for the project Additional for each experience describe what items/actions cause the failure of struggle, and how you would recommend the City prepare to ensure success. Tyler’s emphasis on project communication and documenting all project decisions and procedures counteract the common pitfalls listed above. Tyler’s project team and approach is to make sure that decisions are made, documented, and that project activities follow the plan. Any deviations from the plan, or changes in scope will be addressed immediately, with a thorough discussion on the impact to schedule and cost before agreeing to the change. Tyler’s experience working on public sector implementations is invaluable in assisting the City to avoid these potential issues. 72 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation IMPLEMENTATION WORK PLAN & DELIVERABLES DETAILED WORK PLAN Please provide a detailed work plan for each phase of the implementation. The work plan section should include the following: PHASES AND MAJOR ACTIVITIES • Phases and major activities o Description of each phase (e.g. system design, modification, installation, implementation, technical training, user training and acceptance). o Description of major activities within each phase showing all significant tasks required for successful completion of the Phase objectives. • Detailed timeline (by Gantt, Pert or other chart) o Timeline details for all phases indicating the start dates and end dates and milestones. o Timeline details for all major activities indicating the start dates and end dates and milestones. o Timeline details for all deliverables indicating the start dates and end dates and milestones. Project Planning During the Planning Stage of the project, a Project Plan will be created by the Tyler and City Project teams that will serve as a working document throughout the entire project. These teams will meet regularly throughout the project to foster communication and ensure that all tasks are on schedule. In addition, Periodic reviews and Project Meetings will be scheduled where changes in scope, project length, or cost will be discussed. Any change to the overall plan, and specifically the Project Plan, will be agreed to by the two project teams. The original Project Plan, as well as any subsequent versions of the document will be posted on the Project SharePoint Site and available to all project participants at the City. This open access to project documents helps to ensure good communication among all project stakeholders. Attached, please reference the Munis Sample Implementation Plan provided electronically, which will give an example of the documents that will be created during the planning stage of the project, and Oshkosh – Gantt Chart which outlines the tasks, milestones, and resources involved in the software implementation. An important part of the Custom Project Plan is the project timeline and schedule which is developed using MS Project and will be displayed through the Project SharePoint site in a number of different formats. A custom version will be created during the planning stage of the project by the Tyler and City Project Teams. Control Points which are detailed in the Oshkosh – Gantt Chart are required before the City’s project can continue on to the next project activity. Project Schedule Development The project schedule will be developed by the Tyler and City Project Managers in coordination with the Project Teams in order to meet the needs of the City while keeping in mind the guidelines for implementation. Tyler recommends a phased implementation approach, staggering start and live dates for each phase of the project. Tyler also recommends starting the implementation with the 73 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Financials phase as the Chart of Accounts is the core to the entire system and usually requires less intense conversions than Payroll modules. Live dates will be targets, but should not place unnecessary constraints on the project. The timeline provided assumes that the product will be used as-is, without any required go-live customizations. It is recommended that no more than two phases are significantly in process at a time. Phasing guidelines Financials – can go live at the start of any month. Takes between nine and twelve months to implement, assuming there are no required go-live modifications. Work Orders – can go live at any time. Takes between six and nine months to implement, assuming there are no required go-live modifications. Tax Billing – can go live at any time but is typically scheduled for just after a major bill run. Takes between ten and twelve months to implement, assuming there are no required go-live modifications. Utility Billing – can go live at any time. Takes between ten and twelve months to implement, assuming there are no required go-live modifications. Proposed Project Schedule Taking into account Tyler’s Preferred Project Phasing, our current understanding of the City’s needs, and the included investment summary a project schedule may look as follows. Further discussion between the Tyler and City Project Managers is necessary to determine resource availability, limits and constraints prior to developing the actual project schedule. Tyler is open to discussing the project schedule with the City in more detail, and working out a mutually agreed upon plan that takes into account all project risks and requests. Project Phases 74 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation RESOURCE ALLOCATIONS • Resource allocations o Identification of hours by resource (City, proposer and any sub-contractors) for all phases. o Identification of hours by resource (City, proposer and any sub-contractors) for all major activities. Tyler Implementation Methodology groups City and Tyler resources based on their functional role within the project. This allows for easier staffing and communication both within the City and between the City and Tyler’s Project Team. Please reference the attached Project Resource Roles for more information about the typical roles and responsibilities of both the City and Tyler Project Teams. We have included project resource allocations for the City’s review. The format of this information is in % FTE by project role. We find that this information is easier to assess at the project level than hours. In addition, the Oshkosh – Gantt Chart contains information about the timing of specific project activities, such as parallel processing or the Static Environment Test, where the hours and work effort will be concentrated. DELIVERABLES • Deliverables o Comprehensive inventory of project deliverables by phase. o Detailed description of all deliverables (e.g. process documentation, etc.) o Identification of major dependencies for each deliverable. o Detail the deliverable acceptance period for each deliverable. o Provide samples of all major deliverables proposed. For a better understanding of the activities, tasks, deliverables, and project areas please refer to the attached documents such as the Oshkosh – Gantt Chart, Project Plan – Sample Deliverables, and Munis Sample Implementation Plan. These attachments describe in detail the proposed project and the activities related to all aspects of the project including project deliverables. IMPLEMENTATION PROJECT TEAM Implementation Project Team Please provide a detailed description of the project organization strategy for the proposed work plan. As part of your description, please address the following items: • Detailed description of the team structure and roles for all firms involved (including sub-contractors) and the City. • Detailed description of the responsibilities for each role defined in the team structure for all firms involved (including sub-contractors) and the City. Tyler resources will perform all aspects of the City’s Implementation of Munis. The below diagram shows the typical roles expected in the overall project team for the proposed project. 75 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation 76 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation The below diagram shows the typical project team structure for the City. For more information on the responsibility of each of the roles shown in the organizational diagrams, please refer to the attached Project Resource Roles document. 77 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation • Detailed description of the number of personnel and the estimated hours for all firms involved (including sub-contractors) and the City. Project Staffing Levels The amount of time each resource will actually spend working on the project will vary greatly, but the below chart shows the estimated hours associated with each role and the amount of time that will be spent during each of the project phases. Within each Phase time will vary from one stage of the project to another (e.g. CFL’s are more involved in the early analysis and planning while as Core Users are more involved later in the project). City Hours Oshkosh, WI % Full Time Employment Phase 1 Phase 2 Phase 3 Phase 4 Project Manager 0.50 0.50 0.50 0.50 System Administrator 0.31 0.31 0.31 0.31 Functional Leaders 0.29 0.20 0.16 0.15 Core Users 0.33 0.23 0.18 0.17 Conversion Specialist 0.23 0.20 0.15 0.18 Internal Trainers 0.03 0.03 0.01 0.01 Tyler Hours Tyler Project Team % Full Time Employment Phase 1 Phase 2 Phase 3 Phase 4 Project Manager 0.21 0.21 0.21 0.21 Installer/OSDBA 0.04 0.00 0.00 0.00 Implementation Consultant 0.40 0.28 0.22 0.20 Conversion Programmer 0.12 0.10 0.07 0.09 Forms Designer 0.01 0.01 0.01 0.01 For information on the hours associated with each activity within the project, please refer to the attached Munis Sample Implementation Plan and the Oshkosh – Gantt Chart. 78 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation PROJECT MANAGEMENT Project Management Describe in detail your proposed project management approach for this proposal. Include the following items: • Describe what status reporting and frequency of communication will be proposed for the City. Project Management Major projects, such as installing a new information system, are generally one-time operations. Many organizations cannot justify hiring a full-time expert or training someone to manage the overall task. Fortunately, Tyler’s staff has managed thousands of these projects and has the expertise to organize the effort and implement it properly. No one knows the Munis system better than Tyler staff. That’s exactly why we don’t contract third parties to do our implementation for us. We do it best. The customer’s primary point of contact is the Tyler Project Manager. The Project Manager guides the implementation through its steps with a specific methodology tailored for our system. Tyler project managers are trained according to the principles set forth by PMI, the globally acknowledged leader in the field of project management. Many of our project managers have already earned their PMP credentials through PMI, while others are in the process of acquiring their certification. Our commitment to providing superior, focused management during the implementation process is evident in our dedication to having all of our project managers achieve the PMP status. Project Communication Communication Management is another component of the overall Tyler Implementation Plan. It is critical to identify the methods of communication to be used throughout the project and to identify all stakeholders with whom communication will occur. Tyler will provide a Project SharePoint site, hosted by Tyler, on which the project schedule, tasks, contact lists, shared documents, etc will be available to the project team members. It is Tyler’s responsibility to maintain the site with current project information. The City project team will be provided with logins for read-only and edit permissions which the City Project Manager will assign to applicable users. Communication outside the project team to other stakeholders such as Department Heads, End Users, Board or Council members, and citizens are also a key component in the perceived success of the project. During the Project Planning Phase, a complete Communication Management Plan will be completed to ensure that appropriate and timely communication occurs throughout the organization. Bi-weekly status reports and meetings between the Tyler and Client Project Teams are held with the frequency increasing to weekly based on the stage of the project that is underway. • Describe the project coordination, documentation, and communication tools you will provide for the project (e.g. Sharepoint). Tyler utilizes MS Project for administration of the project schedule and tasks. The Project SharePoint site which was described in another section will be used to manage all project communication and documentation throughout the project. Tyler U (a Learning Management System) will be used to manage electronic courses and prerequisites. A number of additional tools, such as our Munis 79 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation KnowledgeBase (based on Tyler Content Manager) the Support Portal, Community, and other tracking systems will assist in managing aspects of the City’s project. • Describe the approach that will be used to manage scope and changes during the course of the project. The City and Tyler Project Team’s will work together in the event that there is a need for a change in project scope. Outlined in the custom Oshkosh Project plan will be Project Change and Communication plans that will outline the steps that will be taken to enact a change of scope. By following the previously agreed upon steps the project teams will ensure that all stakeholders are aware of the change, the impact to other project factors, and the reason for the change. Once a change to project scope has been approved by both Tyler and the City, the new scope will be fully documented in the project plan, and a revised copy of the plan will be posted to the Project SharePoint site for reference. Clear communication and documentation of all changes is the most important part of managing project scope. • Describe the approach that will be used to assess go-live readiness. Go-Live Planning – Tyler and City project teams will meet to develop a go-live checklist and timeline to define cut-off dates for processing in the legacy system, final conversion dates, final training dates and topics, and live processing dates. Input from the Oshkosh team is critical to the success of this plan. Final Conversion – Oshkosh to provide timely, accurate conversion data based on prior, tested, conversion passes. The City is responsible for proofing the final conversion data prior to going live. Final Training – The City is responsible for delivering decentralized training to its users prior to, or just after, go-live. Tyler will the City’s internal trainers. Stress Testing – The City is responsible for developing the stress testing plan and performing the tests due to the number of users required to perform this form of testing. Live Preparation sign-offs – Tyler will provide sign-off documents for Oshkosh to sign indicating readiness for go-live. All of these steps involved in Go Live readiness are project Control Points which require City and Tyler acceptance prior to moving forward. This is meant to ensure that both parties are in agreement before further work can be performed in Munis production. TESTING APPROACH Testing Approach Describe in detail your proposed testing approach for this proposal. Include the following items: • Describe the different aspects of testing included within your approach (e.g. unit, integration, security, parallel, stress, performance, regression, etc.). TESTING METHODOLOGY Testing occurs throughout the project, typically in repeated patterns that align closely with other major project activities. This is a shared responsibility between the City and Tyler and will be coordinated, conducted and monitored by both parties. 80 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Verification Script Testing Performed after software installation to demonstrate to the City that core product functionality is in place and use of the software can begin. Static Environment Testing This is performed once the City has made preliminary Best Practice decisions. The purpose of the test is to provide an early opportunity to the City for validation of business process decisions in the actual application, without the complication of converted data. This pristine testing environment allows decision-makers to focus on process flow without the potential impact of converted data. A key part of the test is to conduct a “five-day” transaction test, during which all activities that take place in a standard week are duplicated and tested. This testing is a key milestone that dictates whether Core User Documents can be written and data population can begin. Conversion Validation & Testing This is performed after each pass of converted data is loaded into a testing database. Use of control reports, filtering techniques, comparison reports and visual inspection are all part of this process. The purpose is to identify all issues with data, whether due to mapping inconsistencies, source data issues, data submission content or conversion programming errors. Acceptance of conversion programming must be completed long before the pre-live period so that final conversion submissions have little or no risk of data or conversion programming issues. Final acceptance is necessary prior to live processing as the last step before data is loaded in the live database and live processing begins. This testing is part of pre-live assessment. Customizations Testing This is performed in an isolated environment once customizations are delivered. The customization is unit tested first to ensure compliance with specifications and to validate the performance of the coding. Once unit testing is completed successfully, the customization is tested for integration performance as part of an overall process, paying special attention to any impact on touch points throughout the product. After successful integration testing, customizations are exposed to setup data and converted data by replicating the fully populated databases in the test environment. After successful testing, authorization is requested to load the customization into the production environment. Testing continues throughout the balance of the project to ensure the integrity of the customization. This testing is part of pre-live assessment. Forms Testing This is first performed in a test environment at Tyler, prior to delivery of forms to the City, using sample data extracted during the Static Environment Test. Once Form design has been accepted and forms are loaded on the City’s server, testing continues throughout the balance of the implementation. The goal, at a minimum, is to print forms as part of training (Core and End User) so that both the content and process are validated repeatedly. Submission of forms to banks must be 81 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation completed and acceptance received a minimum of thirty days before live processing. This testing is part of pre-live assessment. Integration Testing Beginning with the testing that occurs during the Static Environment Test and continuing with Customizations testing, process training (Project Team/Functional Lead, Core User and End User), parallel or trial run processing and Stress Testing, special attention is paid to the integration integrity of the system. Whether between Munis applications and the General Ledger, or 3rd party import/exports and interfaces, all aspects of functional integrity is tested repeatedly throughout the implementation. This testing is part of pre-live assessment. User Acceptance Testing User Acceptance testing is conducted both leading up to and following end-user training. While some recommend that UAT is all performed post end-user training, Tyler supports incremental UAT through trial run processing in Financials and parallel processing in Payroll and Human Resources. Early trial runs and parallels will most likely not involve end-users, once again isolating them from any issues that may be discovered through the process. Once processes are stabilized and can be completed without significant error, the UA testing will expand to include End Users. Stress Testing Stress Testing is completed in the pre-live timeframe and involves a large subset of City users. The City and Tyler will extract written test scripts from the Desktop Documents. The City will coordinate this activity and the scheduling of the execution, monitoring and evaluation of the tests. • Describe the testing environment recommended for testing. During the initial installation of the Munis Software, a minimal of four environments will be prepared for use during the City’s implementation and in production. These environments will be available at no charge to the City for the life of your Munis contract. During Implementation, all training activities will be conducted in the Train and Test environments. As each individual phase goes into Production, these activities will shift into the Live environment, while subsequent phases continue to use the non-production environments. Planning for the use and coordination of work in all environments will be conducted during the planning stage of the project. It will be reviewed during status calls throughout the project to ensure that all tasks can be conducted without impacting other implementation activities. 82 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Below is a basic description of each environment and its use while in production. Environment Code Stream Data Uses LIVE genmunis Live Data Live Processing Only TRAIN genmunis Copy of Live Testing Prior to Running in LIVE TEST gentest Copy of Live Upgrades, Modifications, New Code VERIF gentest Munis Data Verification of Munis Functionality • Describe the user acceptance testing recommended. User Acceptance Testing (UAT) is conducted both leading up to and following end-user training. While some recommend that UAT is all performed post end-user training, Tyler supports incremental UAT through trial run processing in Financials and parallel processing in Payroll, Human Resources, Tax and Utility Billing. Early trial runs and parallels will most likely not involve end-users, once again isolating them from any issues that may be discovered through the process. Once processes are stabilized and can be completed without significant error, the User Acceptance Testing will expand to include End Users. SAMPLE MUNIS IMPLEMENTATION PLAN Please reference the Sample Munis Implementation Plan which has been submitted electronically. GANTT CHART Please reference the Gantt Chart on the following pages. 83 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation PROJECT RESOURCE ROLES Please reference the Project Resource Roles on the following pages. 84 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation PROJECT PLAN SAMPLE DELIVERABLES Please reference the Project Plan Sample Deliverables on the following pages. 85 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation 6.0 TRAINING PLAN The Proposer must provide a detailed plan for training. Include the following items: • Describe how a training environment would be created and maintained. A Training Environment will be created during the initial Munis Installation. This environment will be available during Implementation as well as once in production. The data as well as the code contained in this environment is copied from the Live environment on a periodic basis, based upon the needs of the project teams. Training on maintenance and processes surrounding this environment will be covered with the City IT/IS staff during the install, and supported throughout the project by the Tyler Project Team. • Describe your proposed approach to training for this project (i.e. on site at the City vs. at Proposer facilities, train the trainer vs. train all users), training materials, and methodologies. Please include all software (including third party products) proposed in this proposal. A key part of any implementation is training users at all levels. Fully trained users understand how to use Tyler to record and report information that helps them do their jobs better. This is critical to client acceptance and crucial to a successful implementation. Tyler offers several training formats. On-site training by Tyler staff provides hands on training in your training labs. Tyler also provides flexible alternatives including remote collaborative training technology, and video and software tutorial media. For clients with a tight budget or immediate needs, this provides a cost-effective and viable alternative. Regardless of the training logistics, clients receive training sessions that are a combination of lecture and hands-on education, using the client’s live data. In addition, managers with the organization attend training with their employees. This ensures that the manager can confirm the proper transfer of knowledge. This also allows the employees to ask the manager questions about how the system will work within their department. Tyler always tailors instruction to meet pre-defined client needs. For example, some classes are targeted for data entry personnel and other heavy system users; other classes are geared for top managers who will use the system occasionally. Our proposal assumes a “train-the-trainer” approach to services unless otherwise noted. In this approach a small group of internal “experts” can train the rest of the employees. Other clients prefer to have Tyler instruct all users. This additional service can be provided for an additional cost. Tyler provides training to Functional Leaders and Central Users throughout the implementation, as the set up knowledge is key to a self-sufficient user. End User training will be scheduled during the overall project scheduling and is usually done just prior to, or just after, going live. Tyler will provide training to the City trainer who will in turn train the End Users. Training materials will be provided and may be customized by the Northbrook prior to this training. It will be the responsibility of the City to provide training facilities for all training sessions. Tyler's training approach stipulates that Core Users be trained on major process groups after procedural decisions have been made by Functional Leaders. The goal is to expose the most sophisticated users to the system first, so setup, converted data, and new procedures are thoroughly vetted before introduction to End Users. During the Core User training phase, Tyler Implementers 86 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation not only conduct training and retention assessment, but lead users through thorough Trial Runs of Financial processes and parallels of Payroll/Human Resource, Utility Billing and other applicable procedures. The pre-live planning sessions incorporate a review of training to make sure all users are prepared to perform their daily work in the Tyler system. Tyler provides detailed documentation on new functionality introduced in new product releases, offers online sessions to review them, and can deliver onsite services to train staff on new opportunities for process efficiencies. Throughout the project, there are control points (shown in the Oshkosh - Gantt Chart which is attached) that require sign-off by the City’s Project Team before moving forward. These control points in the project ensure that knowledge transfer has been done to the City’s requirements. Training Methodology An Education Plan lays out the process of transferring knowledge between Tyler and the City. We refer to our plan as an Education Plan as opposed to a Training Plan for several reasons. First, the process of transferring knowledge is vital to the analysis phase of our project. During analysis we: review the “AS IS” environment, provide Tyler demonstrations, review questionnaires and flow charts, and ultimately arrive at a “TO BE” model. The TO BE model becomes the foundation for user training. Second, training denotes a classroom setting with teacher and pupil. While training will occur, it is a piece of the overall education needed to be a proficient Munis user. Purpose The purpose of the Education Plan is to: Communicate the process to stakeholders and Munis functional leaders Answer specific questions (where will classrooms be established, what database environment will be utilized, etc.) Establish action items link project personnel as owners. Define measurement criteria to ensure the Education Plan has been successfully followed. Process It is imperative that an Education Plan be put into practice as part of the Tyler Project. The plan should include all of the processes required to ensure that the goals for the project are fully satisfied. The overall plan will include the following: Demonstration, Analysis, and Knowledge Transfer Tyler employees will perform the following tasks: As Is review Product overview demonstration In depth analysis of Munis options Flow chart review Questionnaire review This phase will involve the functional leaders. The goal of this phase is to transfer high level knowledge between parties. The output will be policies and procedures related to the use of Munis. The policies and procedures will determine the training agenda to be delivered to the end users. For example, if commodity codes are not going to be utilized within Munis Purchasing, then the training outlines for Purchasing should remove the discussion of commodity codes. 87 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation TO BE Demonstration This process allows the Functional Leaders to see a working Munis system with client data. Tyler will process data according to the defined policies and procedures. The intended education is an overall understanding of the integration of Munis applications, a review and understanding of security options, and workflow touch points. Munis Application Training In this phase we are conducting classroom training. Pre-Live Training These repeated classes provide end users the opportunity to review Munis functionality in a classroom environment. Post Live Reconciliation Training The process of reconciling data IS reviewed during pre-live training. However, hands on training with live data provides a better overall understanding of the Munis tables and how to reconcile daily, weekly, and monthly functions. Post Live Output and Inquiry Training The output and inquire routines are reviewed during pre-live training. However, hands on training with live data provides a better overall understanding of the Munis options related to extracting needed information. Logistics Tyler and the Client will work together to define education logistics. The following table should be used as a starting point for defining logistics. The final logistics table will become part of the Education Plan. Software/Hardware How many databases will be utilized? Will we establish a Financials Training environment separate from Payroll? Who will refresh the training database? Will a second server be utilized? Facilities How many training rooms will be utilized? Where are the locations of each training room? How many workstations will be in each training room? How many printers will be in each training room? Other training room requirements (white board, phone, etc.) Who will schedule the training room? 88 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Staff How many students per teacher? How many students per workstations? What are the hours of training? Who will be trained on each Munis application? Who will conduct attendance? Will management be present for each session? Who will train the end-users (Munis versus Functional Leaders)? Schedule Who will determine the exact days for training? Who will notify staff members? How far in advance will the training schedule be built? Project Team Training The project team begins knowledge transfer at the on-set of the project, during analysis. It is through this process and subsequent hands-on set up and process training that the Functional Leaders and Subject Matter Experts build an understanding of the inner workings of the system and how parameters and tables affect the overall processing. These users should attend all applicable analysis and implementation/training sessions. Technical Training Technical training begins at the time of software installation. The Installation Engineer will teach the Technical staff how the software is configured as well as basic system maintenance such as back-ups, loading releases and refreshing training and test databases. System Administration training is conducted after software installation to show users how to update users, permissions, menu security, workflow administration, etc., from within the Munis software. The City System Administrator should attend these sessions, as scheduled. In addition, the Functional Leaders should attend to have a thorough understanding of the permissions and options available. It is a City decision as to who will perform the Munis System Administration tasks. It may be a combination of Functional Leaders and IT staff. End User Training After the Functional Leaders are trained, the system parameters and tables are set up and/or converted, and processes are defined and tested, End Users will attend applicable scheduled training. These users include central processing staff: AP department, Payroll department, Purchasing department, etc. This training will take place well in advance of go-live so these users may assist in system testing, verification, and become familiar with their new processes. Decentralized (Departmental) User Training Tyler utilizes a train-the-trainer approach for departmental training (requisition entry, budget entry, time and attendance entry, inquiries, reports, etc.). Tyler will train the City trainer(s) who will in turn schedule training, develop customized training materials, and conduct the training for the decentralized users. This assumes that the City trainer(s) will attend all End User training when delivered by Tyler. If the City prefers that Tyler conduct all training, additional implementation days will be required based on the number of training days/sessions the City requires. This should be 89 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation discussed during the project planning sessions at the onset of the project and documented in the Education Management Plan. A successful decentralized user training session is in a classroom environment with a computer for each user (minimum of one computer for every two users, but ideally one per user), a whiteboard, a printer in the room or nearby and one computer connected to a projector. The size of the class depends on the classroom size and the available computers for training. Ideally, a class size should be limited to twelve users in order to keep the session controlled and ensure all users are receiving appropriate level of personalized attention. The specific course topics will be discussed and scheduled after analysis, depending on the City’s specific training needs. Other Knowledge Transfer Tyler offers other means of training for its users to be utilized after the implementation, though they are available upon contract signing. Online Education Courses – group training conducted via Webinar. The schedule is posted on the Munis Customer Tools website (log in required). Knowledge Base – hundreds of searchable documents, videos and reports for users to view, download and modify. These include How-To documents, User Conference session documents, Best Practices and more. Tyler User Conference – annual conference providing dozens of training classes and networking opportunities. The City should budget attendees to this conference each year, after implementation, as the training and experience is invaluable. It is recommended that users attend the conference after the implementation is complete in order to ensure consistent training and keep focus on implementation goals. • Identify whether there is instructor-led, classroom training available. Yes, Tyler will conduct roughly 80% of all project days on-site in the City’s facilities. A typical day of training is from 9:00 to 4:30 (or 8:30 to 4:00), allowing for a break for lunch and short breaks in the morning and afternoon as needed. We’ve found that allowing users time to visit their desks before and after classes or sessions allows for more productivity during the session. It also allows the Tyler Implementation staff time to prepare upon arrival and follow-up afterward. The start and stop times for the City’s training will be discussed and agreed upon by Project Management during the planning portion of the project and will be published as standard session times throughout the project. • Identify whether there is computer-based training available. If so, identify what is included in this proposal. Tyler incorporates computer based training into our Training and Knowledge Transfer plan through two different tools. Tyler utilizes a Learning Management System (LMS) under the brand Tyler U (University) to deliver prerequisite and baseline information to all project participants. This approach allows Tyler’s Implementation Consultants to focus on more complex subjects and to focus on ensuring that all participants are moving along at the same pace. Tyler’s LMS, Tyler U, is included for all clients at no additional charge. 90 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Tyler also has a number of training videos and tutorials on the Munis KnowledgeBase that can be downloaded and viewed by any City resource. These items are intended to provide refresher or new employee materials to supplement the City’s internal training program. Both types of computerized training are meant as a supplement to Tyler’s preferred teaching method of in-person classroom training. They are not meant to replace any portion of the training that is conducted by Tyler’s resources while working with the City. • Identify what other tools are optionally available to the City. Tyler provides all training tools needed for successful implementation of the Munis Software. During the planning stage of the project, it is important to outline what the City will need to conduct its internal End User Training. Often, City Project Teams will request assistance in developing training materials for the end user community. Tyler’s project team is actively engaged in creating training tools, providing training assistance, and evaluating the internal trainers. Tyler U, eLearning recordings, tutorials, and KnowledgeBase documents will be utilized to supplement classroom based training. • Provide a list of the courses proposed, with the course mime, description and hours. A complete project plan is created by the Tyler and City Project Teams during the planning stage of the Project. During this time, a detailed set of agendas and classes will be put together specifically tailored to the City’s needs and requirements. In addition to the overall Project Plan, more detailed agendas for each session will be provided to the City and uploaded to the Project SharePoint site 2 weeks prior to conducting the work. These agendas will have the topics to be covered, time associated, City resources expected to attend, and any materials or homework required for the session. The following is a sample list of potential Core User classes for the Munis system offered by Tyler. Please note that these are samples only and that Munis always tailors instruction to meet pre-defined client needs. - Accounts Payable Inquiries - Budget Preparation - Fixed Assets - Monthly Reconciliation - Payroll—Job Pay and Accruals - Payroll—Tips and Advanced Topics - Personnel Management Tools – inquiries and reports - Personnel—Salary and Benefit Projections - Requisition Entry - W-2 / 1099 Processing - Fiscal Year End Processing - Service Order Creation - Creating an Account - Booking Tax to the GL - Final Billing - Meter Actions Training - System Administration 91 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation • Describe in detail how training regarding the operation and use of the ERP will be delivered to each subset of the end-user community, and what tools and materials will be employed. Tyler will train the City’s Functional Leaders and Core Users. Product Documentation, Hands on Training, Assigned Homework, Parallel Processing, and Testing Plans will all be employed to educate City resources. Tyler always training sessions to the participants, offering different levels of detail to users based on their use of the system and role within the City. The City will be responsible for conducting End User Training through the use of an internal training team. Training materials provided during Core User Training can be employed in the training of End Users. If additional materials are needed for this task, the Tyler Project Team may be able to assist the City further. For a more detailed description of the tools and materials used during the project, please consult Tyler’s Implementation Methodology and the attached Munis Sample Implementation Plan. • Describe the time commitment required of each group of trainees. City Resource allocation will vary by phase and stage of the overall project. Please see Section XX for detailed information regarding the resource allocation expected during the proposed Munis Implementation project. The attached Oshkosh – Gantt Chart has details on the timing of project tasks and activities which is helpful in understanding where time commitment is most needed throughout the project. More detailed information will not be available until after the planning stage of the project has been completed by the Tyler and City Project Teams. • Describe whether or not custom training materials will be provided by the proposer based upon the City's configurations, modifications and process decisions during the implementation. If custom training material is not recommended to be provided by the proposer (i.e. the City is responsible for custom training materials), please estimate the cost for the proposer to create the custom training materials. Tyler does not provide custom documentation to our clients as part of the Implementation process. Custom documentation is available through our optional Business Process Consulting offering. If you would like more information about this service, please ask your Sales Account Executive. Tyler’s Implementation Methodology supports the creation of custom documentation by City Project Team members as a Training Method and Tool, which helps to reinforce the transfer of knowledge to City resources during all phases of the project. The cost the City should be minimal to create this documentation, as it will be assigned as homework to all resources involved in the project and will be reviewed and improved during training sessions by Tyler’s Implementation Consultants. • Describe your technical training and knowledge transfer approach to IT personnel to support the ERP hardware, if necessary. During the Installation of the Munis Software in the Oshkosh’s data center, the Tyler Installation Engineer will provide Technical Training to the City’s IT staff. The City’s IT/IS resources will be educated on all aspects of administering and maintaining Munis. Additional Technical Training will occur throughout the project as needed. 92 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation • Describe the proposed methodology and approach for ongoing training. Address the procedures for training new users and for delivering refresher training to existing users. Tyler conducts complete training during the implementation of our software, however we know that ongoing training is important for our clients to learn about and implement additional features, learn about new software releases, train new users, and refresh the knowledge of existing users. In addition to training during the implementation, Tyler offers additional resources including contacting Product Support via phone or e-mail, a KnowledgeBase of how-to documents and videos available from our website, Release Notes accompanying every new software release, and use of the Tyler U Learning Management System. Tyler Online Education offers free group training for popular topics via the Internet. If the City is interested in on-site training after go live, Tyler’s Implementation department can be contracted to conduct additional training at Tyler’s then current billable rate. Other avenues for training and collaboration are Tyler’s annual User Conference and regional User Groups hosted by users of Tyler products. • Identify whether your system includes a user reference manual and a technical reference manual. The Munis ERP application has an integrated electronic help and documentation system. Munis programs include context-sensitive help (CSH) that provides task-related information for screens and fields. This online documentation helps you navigate through programs, providing the procedures and details needed to complete tasks. When a user clicks Help on the toolbar or press F1 on the keyboard, online help provides details that are relevant to the task that you are currently trying to accomplish. The help for each program screen is formatted to provide you with background information about the selected program (What do I need to know?), as well as with procedures on how to complete a task (What can I do?) which also includes step through tutorials for popular processes. In addition to screen-level help, our CSH provides details for the individual fields on each screen. As with screen-level help, the field level help is formatted to provide you with a description of the field, as well as with information on what you can do in that field. Because the Tyler Dashboard is built upon the industry-leading platform, Microsoft SharePoint, SharePoint document libraries can also be leveraged for collaborative document storage which can be integrated alongside ERP web parts and SRS reports. This provides an integrated platform to support custom documentation, management, and collaboration. Tyler also maintains a complete ERP knowledgebase. The Munis Knowledgebase provides users with a single, easily accessible location to find all existing documentation on the Munis product and other widely used technology products that integrate with Munis. A user-friendly search screen is located on the www.tylertech.com website. Included are procedure documents, file layouts, user guides, installation manuals, setup documents, system administrator documents, data schemas, training exercises and much more. • Identify whether the technical reference manual includes descriptions and diagrams of the relational database structure, tables and elements within the database. Please provide a sample of descriptions and diagram the relational database structure, tables and elements within the database. Identify whether all manuals are available in electronic format. Please reference response above. 93 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation • Identify whether all manuals are updated with each new release of software. With each update of the Munis Software, release notes are provided for bug fixes and product enhancements. Additionally our online context-sensitive help is updated with each release • Identify whether online help is provided. • Identify whether online tutorials are provided. The Munis ERP application has an integrated electronic help and documentation system. Munis programs include context-sensitive help (CSH) that provides task-related information for screens and fields. This online documentation helps you navigate through programs, providing the procedures and details needed to complete tasks. When a user clicks Help on the toolbar or press F1 on the keyboard, online help provides details that are relevant to the task that you are currently trying to accomplish. The help for each program screen is formatted to provide you with background information about the selected program (What do I need to know?), as well as with procedures on how to complete a task (What can I do?) which also includes step through tutorials for popular processes. In addition to screen-level help, our CSH provides details for the individual fields on each screen. As with screen-level help, the field level help is formatted to provide you with a description of the field, as well as with information on what you can do in that field. Because the Tyler Dashboard is built upon the industry-leading platform, Microsoft SharePoint, SharePoint document libraries can also be leveraged for collaborative document storage which can be integrated alongside ERP web parts and SRS reports. This provides an integrated platform to support custom documentation, management, and collaboration. Tyler also maintains a complete ERP knowledgebase. The Munis Knowledgebase provides users with a single, easily accessible location to find all existing documentation on the Munis product and other widely used technology products that integrate with Munis. A user-friendly search screen is located on the www.tylertech.com website. Included are procedure documents, file layouts, user guides, installation manuals, setup documents, system administrator documents, data schemas, training exercises and much more. • Describe whether and how the help feature can be called from the specific transaction being processes (field sensitive help). Help is available on all screens • Provide a sample training plan relevant to this implementation. Please reference the Oshkosh – Gantt Chart which details the proposed activities, tasks, assignments, and the project schedule for all aspects of the City’s Training and Knowledge Transfer. Also attached is the Munis Sample Implementation Plan which shows the typical aspects of Tyler’s Implementation of Munis. • Describe the benefits and risks to your proposed training strategy. As with any major project, there are risks inherent to Implementing an ERP Software System both large and small. That is why you need experts to guide you through the process from start to finish. Tyler has been implementing the Munis product for 25 years, and conducts an average of 70 – 90 Implementation project every year. Our vast experience and adherence to Industry Leading PMI’s approach to Project Management give Tyler the knowledge to know the risks associated and the procedures to mitigate and minimize the risk to the City. The best way to minimize the City’s risk and maximize the benefits of a Munis implementation is to communicate and document decisions as thoroughly as possible during the planning stage of the project. A Risk Management Plan, Communication Management Plan, Change Management Plan, and Risk Register will all be part of the overall Project Plan. These documents will provide a list of the 94 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation potential project risks, how to mitigate the risk that each brings, what to do in the case of a risk impacting the project, and how to compensate for that change. Communication and Planning can help the City prepare for and minimize the impact project risks will have on the overall Implementation. 95 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation 7.0 MAINTENANCE AND SUPPORT PROGRAM The proposal must specify the nature of any post-implementation and on-going support provided by the proposer including: • Describe the maintenance and support package you are proposing to the City. o Fully Describe the terms and conditions of your annual software maintenance agreements. Please reference the Sample Contract in Section 10 of this proposal response. o Please include a copy of your standard agreement. Please reference the Sample Contract in Section 10 of this proposal response. • Describe why this is the best option for the City. o Describe the ongoing support services provided, including hours of operation, procedures, and problem escalation measures available. Tyler knows that satisfied clients—more than any other single factor—determine a company’s ongoing success. We also recognize that client support is a key component of customer satisfaction. That’s why we provide our clients with support in a variety of ways. We want to ensure they maximize their use of Munis, receiving the best return on their investment. Some companies contract out application support to a third party with service background but limited product knowledge. In contrast, Tyler offers a complete solution, with all Munis customer support services provided by in-house expertise. Our mission is to deliver superior service by providing timely response and call closure, resulting in a high-level of client satisfaction. Our technical support teams are trained to maintain the professional standards of HDI, a global certification body dedicated to the technical service and support industry. Our technical support technicians earn their HDI certification to maintain the high-level of support and expertise to our clients. With more than 92 percent of our technical staff HDI certified, Munis technical support has earned the HDI Team Certification Award. The Munis support solution includes the following services, described in detail in the sections that follow: Munis Technical Support Included with Annual Support Software Development and Updates Included with Annual Support OS/DBA Support Optional Application Hosting Optional Disaster Recovery Optional Consulting Solutions Optional Customer Portal and Website Included with Annual Support Local User Groups Included with Annual Support Annual User Conference Optional MUNIS TECHNICAL SUPPORT Customer support averages a 75 percent incoming call handling response rate; three out of four incidents are worked on immediately by technical support. The remaining 25 percent of the calls are returned within one business hour, unless received at the end of the day; those calls are returned the next morning. 96 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation FOCUSED BY APPLICATION Munis technical support is divided into application-specific teams, plus a separate team for Operating System / Database Administration (OS/DBA) contract clients. Application-specific teams allow a technician to focus on a group of applications and therefore offer a high level of product expertise to our clients. Along with expertise in the Munis applications, technical support strives to understand your business needs and offer solutions that fit those needs. CALL TRACKING AND PRIORITIES Tyler records all client contacts in a customer relationship management system. This system tracks the history of each incident, including the person calling, time, priority level, problem description, support recommendations, client feedback, and resolution. A priority is assigned to each call logged based on client’s deadlines: # Description Average Days Open 1 Critical Issue – system is down <24 Hours 2 Severe issue, but there is a work around 10 days or less 3 Important issue – not severe 30 days or less 4 Lowest priority issues 60 days or less For system applications, standard phone support coverage is detailed below. The client can also contract with Tyler for support service outside of standard hours. Standard support hours Munis Financials 8:00 a.m. - 9:00 p.m. EST (Monday-Friday) Munis Payroll/HR 8:00 a.m. - 9:00 p.m. EST (Monday-Friday) Munis Tax/Other Revenue and Collections 8:00 a.m. - 6:00 p.m. EST (Monday-Friday) Munis Utility Billing and Collections 8:00 a.m. - 8:00 p.m. EST (Monday-Friday) OS/DBA 8:00 a.m. - 9:00 p.m. EST (Monday-Friday) Tyler Forms & Reporting Services 8:00 a.m. - 9:00 p.m. EST (Monday-Friday) CALL ESCALATION PROCESS Each day, support product managers and senior support analysts review open priority 1 calls in their focus area to monitor progress. Other priority calls still open are reviewed periodically and escalated as required. The priority of a given call may be modified as Tyler becomes more informed about the circumstances surrounding an issue. For example, a lower priority call may become higher priority if further research reveals a more critical issue or a previously unknown deadline or penalty. We also provide our clients with a list of support management contacts that can be reached if there is any reason you are not satisfied with support. Both email and direct extensions are published. REMOTE DIAGNOSTIC TOOL Tyler uses Citrix’s® GoToAssist™ as its remote support solution via the Internet. Our support staff can share the client’s desktop screen and view the user’s site-specific application set up. GoToAssist is a fast, easy-to-use tool that provides a highly secure connection with 128 bit, end-to-end AES encryption. Every GoToAssist session is recorded and stored for 90 days and we survey customers immediately following each session to gather valuable feedback. 97 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation ONLINE SUPPORT In addition to phone support, clients can log incidents on the Online Support Incidents tool. The tool provides 24/7 access via the Client Support website, allowing our clients to submit and update incidents. All account and incident data are available in real time via the Online Support Incident tool, which keeps our client’s information completely current. SUPPORT ACCOUNT MANAGEMENT In addition to the full spectrum of support options outlined above, Tyler provides further client direction through the use of specialized Support Account Management. Our Support Account Management (SAM) process is designed to guide new clients through the transition from implementation to production use of Munis. During the implementation process, each client develops a strong relationship with their assigned Munis implementation team. In order to facilitate the transition process to the Munis support team after go-live, Tyler developed our SAM team to help plan for key processes and build new relationships with the 100+ support team members. SAM’s proactive team members work to aid new clients with: Understanding the support tools and processes Preparing for key processes (fiscal year end, budgeting, reconciliation, first upgrade) Staying current with Munis releases and the life cycle of each version; enabling clients to take advantage of new functionality Utilizing custom modifications fully and to fulfill any unique business practices/goals post-live Each client is assigned a product SAM, who proactively works for the client on upcoming key processes, provides insight and advice for success. SOFTWARE DEVELOPMENT AND UPDATES An essential piece of Tyler’s development methodology is our Evergreen Philosophy. This approach of continual improvement provides ongoing benefit to our clients. Each Munis version consistently builds on the customers’ investment of past versions by retaining feature sets and updating their underlying technology and look and feel. In addition, as customer ideas and modifications are placed into the product, all Munis clients benefit as the new enhancements converge into a shared, single source code stream. This means there is no risk of enhancements disappearing upon upgrade, customizations being lost, areas being unique to a particular customer, or customizations being re- charged for upon upgrade. The Evergreen evolution approach provides lasting value from a product perspective as an individual site benefits from not only their own product enhancement requests, but also of those requested by other Munis users. More importantly, this guarantees greater quality control coverage, better supportability, and more consistent implementation and training. In short, the Evergreen approach has made Tyler development the leader in the industry today by creating the best of both worlds: the stability and standardization of off-the-shelf software, coupled with the flexibility, specialization and growth associated with client-focused customization. MAJOR RELEASES Software updates are made available as outlined in the Munis Support Agreement. Most commonly, Tyler distributes one major Munis release each year. Each release has a clearly defined life-cycle to allow for release planning. It is recommend that clients identify a projected upgrade path/frequency from which they can plan any necessary infrastructure upgrades, modification targets, and go-live dates. Staying current on these releases ensures that clients can take advantage of the latest enhancements, technology, and fixes. 98 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation SOFTWARE FIXES In addition to major version updates, Munis offers a mechanism by which clients may load incremental and distinct fixes on top of their installed version. These fixes are delivered via the Managed Internet Update (MIU) application. This simple, easy-to-use admin console allows administrators to pick-and-choose distinct fixes, monitor installed fixes, and schedule downloads. Fixes are made available on a daily basis as they are completed and tested. This tool puts control in your hands to selectively determine which fixes are important to you and your business processes. Custom modifications are made available via the MIU, as well. OPERATING SYSTEM/DATABASE ADMINISTRATION (OS/DBA) OS/DBA services expand the available choices of technical experts available to optimize operations. As experts to support your IT staff, OS/DBA professionals offer in-depth knowledge of proprietary Tyler technology products and work to bridge the gap with third party systems. The OS/DBA team provides enhanced database support including operating system and database management services, such as installations, upgrades, system maintenance, system administrator training and database tuning. Our team is a single resource for many functions, from server support and remote system monitoring to data recovery and upgrade services. In addition to specializing in Microsoft Operating Systems (server and workstation), SQL database engines and network configuration, our team holds industry certifications, such as Microsoft Certified Systems Engineer (MCSE) and Microsoft Certified IT Professional (MCITP). These services are available to all clients on a contract basis. For non-OSDBA clients, individual services are available on a fee-per-incident basis. CLOUD-BASED APPLICATION HOSTING Many clients elect to delegate ERP administration (software and hardware) to Tyler by subscribing to SaaS (Software as a Service) offering. With the Tyler SaaS solution, Tyler will host and manage the applications from our state-of-the-art data center. SaaS experts will provide the ongoing support, maintenance, and upgrades of the applications, hardware, and operating system. This allows a client to shift IT resources from ERP administration and support to other mission critical initiatives. The software is leased for a set annual fee and there are no server acquisition costs or upgrade charges. TYLER DATA CENTER The Tyler SaaS data centers are built with no single point of failure. SQL servers and our CISCO UCS equipment are setup for load balancing. Firewalls, VPN management, routers, and storage are all setup in a highly available configuration. Multiple ISPs are present with diverse paths to the Internet. The data center utilizes multiple Internet Service Providers for redundancy and has a diesel generator designed to power the entire data center independently for multiple days if necessary. In the case of a complete failure of the primary data center, an off-site mirrored center, located in Dallas, TX, is available. DISASTER RECOVERY Disaster Recovery (DR) services ensure a Tyler client’s critical processes and information are never compromised or lost. Tyler provides the servers, the operations staff and secures client data in Tyler’s data centers in Yarmouth, ME and Dallas, TX. 99 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Utilizing Tyler’s secure data centers, the Disaster Recovery team copies client data each night, thereby ensuring all critical users always have access to data via the Internet using a SSL (Secure Sockets Layer) VPN client or by traveling to one of the two Tyler locations in an emergency. The Disaster Recovery team works with each client to identify critical business processes, as well as define and document recovery procedures. CONSULTING SOLUTIONS Tyler Consulting Services provides resources to increase performance and productivity for their client. Each service offers a unique tool to clients in order to facilitate on-going support, as listed below: Tyler Process Solution helps clients determine how they can improve and streamline processes utilizing recommended best business practices and client decision requirements Desk Procedures service provides specific and tailored user manuals to the client Tyler Change Management Services work to eliminate the uncertainty associated with implementing a new software system Tyler experts in Consulting Services will provide a proposal based on the project’s unique scope and demands to meet the needs and requirements of each client. CUSTOMER PORTAL AND WEBSITE Like most websites, www.tylertech.com is designed to provide information to clients, employees, and prospects. One aspect that stands apart is Customer Tools. This section provides valuable information of specific interest to the client base. For example, clients can: Research server requirements and hardware installation instructions through the Operating System / Database Administration (OSD/BA) wiki on Tyler Community Review and register to attend the annual user conference or regional user group meetings Download information about Munis releases, online manuals, trouble saving tips, and Microsoft Sequel Server Report Service® templates via the KnowledgeBase Log and review support incidents via the Online Support Incidents tool Communicate with other Munis users on our various user forums within Tyler Community Tyler’s website offers several portals for support, including ordering tax forms from Tyler Business Forms, accessing FAQs and product information sheets, and more TYLER COMMUNITY Tyler Community provides a secure, online setting where clients can go to find answers to common problems, connect with other Tyler users to share ideas, answer posted questions, and communicate information that is available anytime. Based on a social networking platform, Tyler Community includes blogs, forums, files, and wikis where both clients and Tyler employees can contribute. Clients and employees use Tyler Community as a dynamic way to troubleshoot problems and share best practices with Tyler's vast Munis community. Additional benefits include: 100 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation State user groups create an environment for clients to easily communicate legislative changes and state-specific subject matter Easy access to current information on critical issues Helpful technical tips from subject matter experts Powerful search capabilities across forums, wikis, files and people TYLER UNIVERSITY Tyler University is an eLearning solution to enhance support and training of your employees. Through this learning management system developed by Tyler Technologies, new and existing employees are provided an on-demand solution to acquire and refresh the skills needed to successfully implement and use Munis day-to-day. Tyler University’s core modules include: financials, human resources, payroll and technology. Employees in the finance department can train on a wide range of topics from req-to- check, including requisition entry, creating a change order for a purchase order and purchase order receiving. For the human resources and payroll staff, Tyler University offers courses on the complete payroll process, the power of employee building and applicant tracking. For system administrators, courses include topics on role based security design, administering the dashboard and role synchronization from Munis into Tyler Content Manager. Courses are being added continuously into Tyler University, making it a vital resource for new employees and cross training your team. ONLINE HELP Munis applications include an online help function that provides field and procedural information to assist you in completing program tasks. When you are in a program and click the help button, the program displays support topics for that program. It is formatted to provide you with a general overview of the program or the selected program screen, descriptions of the fields on the screen, and procedures for completing the tasks within the program. The online help function also includes a table of contents, from which you can select help for other programs within a product, as well as information for accessing the Munis KnowledgeBase and the technical support group. RELEASE NOTES Release notes provide a brief description of each product change, along with a list of programs affected by the changes. Release notes are organized by product so that clients can easily find the changes that affect their organization. By accessing the Release Administration program within Munis, clients can review enhancements, open issues and fixes for a specific release by module and program in real time detail. MUNIS KNOWLEDGEBASE The Munis KnowledgeBase provides users with a single, easily accessible location to find all available documentation on the Munis products and other widely used technology products that integrate with Munis. A user-friendly search screen is located on the www.tylertech.com website. Included are procedure documents, file layouts, user guides, installation manuals, setup documents, system administrator documents, data schemas, training exercises, eLearning classes and much more. 101 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation LOCAL USER GROUPS AND ANNUAL USERS CONFERENCE LOCAL USER GROUPS Tyler clients benefit from networking and peer-to-peer collaboration through local Munis user groups. The majority of user groups are run by clients, who set the meeting agenda, location and frequency, assign topics, and involve the Tyler resources they need. In large states, there may be several user groups or different sessions planned. Tyler provides staff to demonstrate new functionality, and assist with materials and collateral. During the sessions, Tyler representatives collect important feedback and report back to Munis product managers. Many clients form lasting connections with other Munis users within these groups, and help to make each other better users of Munis. ANNUAL USER CONFERENCE Each year Tyler hosts an annual user conference, which brings together staff and clients from across all Tyler products, including Munis. Tyler has appropriately named our conference Connect, and each year thousands of clients come to learn about Tyler, our products, and to connect with peers and staff. This premier event helps clients get the maximum use of their Tyler software. Clients can learn more about existing or proposed functionality through dozens of classes over several days. Development product managers attend the event to share their plans for the next upgrade and to solicit feedback from clients. Client input from past conferences continues to impact significantly the direction of software enhancements and changes. Client attendance each year ensures that appropriate needs are reflected in product development strategies. Connect is held in different locations every year to accommodate our geographically diverse client base and to provide fresh and exciting activities for our clients outside of the classes and labs. o Describe the ratio of customers to support personnel. Customer service personnel = 120 ERP customers = 1400 o Describe your customer support locations and hours of operation in terms of CST/DST. Munis customer support is located in Falmouth, Maine. For system applications, standard phone support coverage is detailed below. The client can also contract with Tyler for support service outside of standard hours. Standard support hours Munis Financials 8:00 a.m. - 8:00 p.m. CST (Monday-Friday) Munis Payroll/HR 8:00 a.m. - 8:00 p.m. CST (Monday-Friday) Munis Tax/Other Revenue and Collections 8:00 a.m. - 5:00 p.m. CST (Monday-Friday) Munis Utility Billing and Collections 8:00 a.m. - 7:00 p.m. CST (Monday-Friday) OS/DBA 8:00 a.m. - 8:00 p.m. CST (Monday-Friday) Tyler Forms & Reporting Services 8:00 a.m. - 8:00 p.m. CST (Monday-Friday) o Describe the committed support time for support questions. We commit to respond to all support incidents with one business hour. 102 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation o Describe your average response time for support questions. Customer support averages a 75 percent incoming call handling response rate; three out of four incidents are worked on immediately by technical support. The remaining 25 percent of the calls are returned within one business hour, unless received at the end of the day; those calls are returned the next morning. The Q3-2014 response time average was 44 minutes. o Describe your range of response time for support questions. Our department goal is to respond to any incident within one business hour and 82% of the time we meet this criterion. Range of response time can be immediate (0 hours) to several business hours. o Describe a typical customer support call based on an application error. The technician receiving the customer call opens an incident and documents all details regarding the issue including, but not limited to, the specific application and steps leading to the error, the full error message and associated logs, the anticipated results versus the achieved results, the business impact and urgency of the issue, the priority of the issue, the customer’s description of the issue, the environment for which the incident exists, and all information pertaining to any attempted resolutions. The issue described is referenced against the technician’s knowledge, previous issues or knowledgebase articles; if a match is found, the resolution is communicated to the customer. A remote diagnostics session with the customer may be initiated by the technician to observe the issue and continue diagnosis, or to implement the solution. A remote diagnostics session with the IT department / application server may be initiated by the technician to review application installation and/or environment, if required, or to implement the solution. A link to a knowledgebase article may be sent to the customer if the error was based on an operational consideration. The incident will be linked to a work ticket if the issue is determined to be resolved by an application code change; the information will be communicated to the customer. If the code change is available at the time of the call, procedures for obtaining that update will be communicated to the client. If the code change is in the queue to be completed, the status of the incident will be changed to allow the customer to monitor the status of the code change through the Tyler Client Portal. Functional escalation is employed when required. After the issue is resolved, the customer uses the Online Support Incidents tool to close the incident. o Describe a typical customer support call based on a data error (interface not working, data not replicating). The technician receiving the customer call opens an incident and documents all details regarding the issue including, but not limited to, the specific application and steps leading to the error, the full error message and associated logs, the anticipated results versus the achieved results, the business impact and urgency of the issue, the priority of the issue, the customer’s description of the issue, the environment for which the incident exists, and all information pertaining to any attempted resolutions. The issue described is referenced against the technician’s knowledge, previous issues or knowledgebase articles; if a match is found, the resolution is communicated to the customer. A remote diagnostics session with the customer may be initiated by the technician to observe the issue and continue diagnosis, or to implement the solution. A remote diagnostics session with the IT department / application server may be initiated by the technician to review application installation and/or environment, if required, or to implement the solution. A link to a knowledgebase article may be sent to the customer if the error was based on an operational consideration. If the issue is determined to be based upon specific data in the customer system, one of two actions may take place. If the data correction is minor, permission is obtained by the client and that work will be 103 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation scheduled and executed. If the data correction is major, a professional services engagement will be initiated. The incident will be linked to a work ticket if the data issue is determined to be resolved by an application code change; the information will be communicated to the customer. If the code change is available at the time of the call, procedures for obtaining that update will be communicated to the client. If the code change is in the queue to be completed, the status of the incident will be changed to allow the customer to monitor the status of the code change through the Tyler Client Portal. Functional escalation is employed when required. After the issue is resolved, the technician sends an email to the customer to confirm incident closure. o Describe a typical customer support call based on report not working properly or displaying incorrect data. The technician receiving the customer call opens an incident and documents all details regarding the issue including, but not limited to, the specific report and report options selected, the anticipated results versus the achieved results, the business impact and urgency of the issue, the priority of the issue, the customer’s description of the issue, the environment for which the incident exists, and all information pertaining to any attempted resolutions. The issue described is referenced against the technician’s knowledge, previous issues or knowledgebase articles; if a match is found, the resolution is communicated to the customer. A remote diagnostics session with the customer may be initiated by the technician to observe the issue and continue diagnosis, or to implement the solution. A remote diagnostics session with the IT department / application server may be initiated by the technician to review application installation and/or environment, if required, or to implement the solution. A link to a knowledgebase article may be sent to the customer if the error was based on an operational consideration. If the issue is determined to be based upon specific data in the customer system, one of two actions may take place. If the data correction is minor, permission is obtained by the client and that work will be scheduled and executed. If the data correction is major, a professional services engagement will be initiated. The incident will be linked to a work ticket if the data issue is determined to be resolved by an application code change; the information will be communicated to the customer. If the code change is available at the time of the call, procedures for obtaining that update will be communicated to the client. If the code change is in the queue to be completed, the status of the incident will be changed to allow the customer to monitor the status of the code change through the Tyler Client Portal. Functional escalation is employed when required. After the issue is resolved, the technician sends an email to the customer to confirm incident closure. o Describe the follow-up process with a client after resolution of a help desk call. The technician initiates an automated e-mail to the primary contact on the support incident to confirm the successful resolution of the incident. The customer is not required to take any action if the closure is confirmed. The customer can take this opportunity to share with us any feedback they have on the support they have received. If the resolution is not successfully confirmed by the client, the customer reopens the incident for the technician to revisit the incident and further troubleshoot the issue. The client may receive a client satisfaction survey from an independent 3rd party we contract with for our incident customer satisfaction feedback. 104 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation o Identify whether the support is available seven (7) days a week, 24 hours a day. If so, identify the cost above your recommended support. The rate for support outside of normal business hours is $200 per hour with a ½ day minimum ($800). This rate does not included travel expenses, which would be paid for by the client if on-site support is required (this rarely is necessary). Tyler asks for one weeks’ notice (or a long as possible) for scheduling staff o Describe your support staff's ability to "log in" to the customer system for certain types of support. Explain the process and the security supporting the process. Tyler uses Citrix’s® GoToAssist™ as its remote support solution via the Internet. Our support staff can share the client’s desktop and see what the end users see and view the site-specific application set up. GoToAssist is a fast, easy-to-use tool that provides a highly secure connection with 128 bit, end- to-end AES encryption. Every GoToAssist session is recorded and stored for 90 days and we survey customers immediately following each session to gather valuable feedback. o Identify whether onsite support is available if needed. Describe how onsite support costs are handled. Any onsite support is billable and travel expenses are paid by the client. o Describe the available web-based support options. Clients can log support incidents via the Online Incident web portal. Technical Support responds via e-mail within 1 business hour to Online Incidents. The tool provides 24/7 access via the Client Support website, allowing our clients to submit and update incidents. All account and incident data are available in real time via the Online Support Incident tool, which keeps our client’s information completely current. Clients can also use the Tyler Community to join forums based on specific Munis applications. Tyler Community provides a secure, online setting where clients can go to find answers to common problems, connect with other Tyler users to share ideas, answer posted questions, and communicate information that is available anytime. Based on a social networking platform, Tyler Community includes blogs, forums, files, and wikis where both clients and Tyler employees can contribute. Clients and employees use Tyler Community as a dynamic way to troubleshoot problems and share best practices with Tyler's vast Munis community. Additional benefits include: State user groups create an environment for clients to easily communicate legislative changes and state-specific subject matter Easy access to current information on critical issues Helpful technical tips from subject matter experts Powerful search capabilities across forums, wikis, files and people The Munis KnowledgeBase provides Munis users with a single, easily accessible location to find all existing documentation on the Munis product and other widely used technology products that integrate with Munis. A user-friendly search screen is located on the www.tylertech.com website. Included are procedure documents, file layouts, user guides, installation manuals, setup documents, 105 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation system administrator documents, data schemas, training exercises, eLearning courses and much more. o Describe any web-based reporting tools available to review open/pending support issues. We provide our clients with an Online Support tool that provides them with 24x7 web access to all their support issues. They can log new incidents, update existing incidents, view closed incidents and attach supporting documentation to incidents. • Describe the other maintenance and support packages available to the City that are not proposed (including Helpdesk type support). As a Tyler client, you'll have comprehensive, 360-degree accessibility with our in-house support services. 106 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation 8.0 CLIENT REFERENCES The City considers references for both the software and implementation services to be important in its decision to award a contract. Using the Reference Form (Attachment A) provided please provide three (3) public sector client references. At least one of the references should be similar in size to the City and have a similar implementation scope. Regional clients are preferred but the City understands this may be difficult and an inability to provide regional references will not negatively impact the evaluation process. If the software proposer is different from the implementation firm, three (3) references should be provided for each. Lastly, please provide three (3) references for any third- party software firms. All references should be for fully completed (live) installations. ATTACHMENT A / REFERENCE FORM Please reference Attachment A / Reference Form on the following pages. 107 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation WISCONSIN CLIENTS Please reference Wisconsin Clients on the following pages. 108 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation RECENT TYLER / MUNIS NEW CLIENTS Please reference Recent Tyler / Munis New Clients on the following pages. 109 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation 9.0 EXCEPTIONS TO THE RFP All requested information in this RFP must be supplied. Proposers may take exception to certain requirements in this RFP. All exceptions shall be clearly identified in this section and a written explanation shall include the scope of the exceptions, the ramifications of the exceptions for the City, and the description of the advantages or disadvantages to the City as a result of the exceptions. The City, at its sole discretion, may reject any exceptions or specifications within the proposal. Exceptions to the City of Oshkosh, Wisconsin Request for Proposals: Enterprise Resource Planning (ERP) Software System & Implementation Tyler’s contract negotiation philosophy is to balance the rights and responsibilities of both Tyler and the client, taking into account issues of special importance to each party. The following exceptions are based on our standard contract. We reserve the right to negotiate any and all terms to the mutual satisfaction of the parties. Pricing (Section I, page 4): Tyler will hold rates for optional products and additional services in place for a mutually agreed period of time. For a Tyler-hosted client, Tyler will not increase the SaaS fees for the duration of the then-current term. For a self-hosted client, Tyler reserves the right to increase annual maintenance fees once per year upon the renewal date. Contractual Agreement (Section I, page 6): Tyler prefers to use the standard Tyler contract as the basis for beginning contract negotiations, as it contains language specific to the software industry, such as license grant and intellectual property infringement. Tyler recognizes that there may be clauses of particular importance to the City that are not included in the Tyler contract. Tyler is amenable to accommodating the City’s contract requests by incorporating mutually agreed clauses into the contract. Tyler shall indemnify and hold harmless the City from and against any and all direct claims, losses, liabilities, damages, costs and expenses (including reasonable attorney's fees and costs) for personal injury or property damage arising from Tyler's negligence or willful misconduct. Tyler’s Insurance Agent uses a standard Acord Form which states “Should any of the above described policies be cancelled before the expiration date thereof, notice will be delivered in accordance with the policy provisions.” Prime/Sub Relationship Structure and Project Resources Resumes (Section IV, page 12): Tyler will provide information on Tyler personnel likely to be assigned to the City’s project. We are unable to assign personnel to a project until Tyler is selected and a contract is signed, in an effort to most effectively use resources. Implementation Plan (Section IV, page 13): Tyler’s Proposal includes a sample project plan. Tyler will deliver the actual project plan upon obtaining further information from the City once implementation is underway. Professional Liability Insurance Requirements (Attachment B): The City cannot be listed as an additional insured until the contract is signed. Tyler’s insurance can be primary as between the City and Tyler for claims which Tyler is liable. Tyler’s Commercial General Liability policy will not include contractual liability, explosion collapse and underground. The aggregate will not apply separately to the contract. We reserve the right to set any deductibles. 110 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Cancelation notice is as stated on our ACORD certificate. Tyler’s insurance agent will use its own additional insured endorsement forms. Sample City of Oshkosh Consultant Agreement (Attachment C): As noted, Tyler prefers to use the standard Tyler contract as the basis for beginning contract negotiations. If the City insists on using the Sample City of Oshkosh Consultant Agreement as the starting point, Tyler reserves the right to negotiate those terms with the City. A non-exhaustive list of terms that conflict with Tyler’s standard provisions, and which Tyler would expect to negotiate with the City, is provided below for exemplary purposes only: Witnesseth Clause: In the event of conflict among the contract documents, the following order of precedence shall apply: 1) final, mutually agreed contract; 2) Tyler’s Proposal; 3) City’s Request for Proposals. Changes in Project Manager (Article I (B): Because Tyler assigns staff based on experience and availability, Tyler cannot the City to preapprove staff. Termination (Article VI): The City may terminate the contract for cause in the event Tyler fails to cure a material breach within thirty days of receiving notice from the City. The City will make payment to Tyler for all undisputed products, services and expenses delivered or incurred prior to the date Tyler received the City’s termination notice. Payment for disputed products, services and expenses, and the City’s remedies, will be determined through the mutually agreed dispute resolution process. The City may terminate the contract for convenience on thirty days’ prior written notice. Upon termination, the City shall remit payment for all products and services delivered to the City and all expenses incurred by Tyler prior to Tyler's receipt of the termination notice. The City will not be entitled to a refund or offset of previously paid license and other f 111 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation 10.0 SAMPLE DOCUMENTS Proposers should include sample copies of the following documents. Although they are sample forms, the documents must contain all material terms so that the City can fairly evaluate the proposer's forms. SAMPLE SOFTWARE LICENSING AGREEMENT Please reference Sample Contract on the following pages. 112 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation SAMPLE MAINTENANCE AGREEMENT Please reference the Sample Contract. SAMPLE IMPLEMENTATION SERVICES AGREEMENT Please reference the Sample Contract. SAMPLE STANDARD REPORTS Please reference the Sample Reports enclosed electronically. SAMPLE DOCUMENTATION (USER GUIDES, TRAINING MATERIALS, ETC.) The Munis KnowledgeBase provides users with a single, easily accessible location to find all available documentation on the Munis products and other widely used technology products that integrate with Munis. A user-friendly search screen is located on the www.tylertech.com website. Included are procedure documents, file layouts, user guides, installation manuals, setup documents, system administrator documents, data schemas, training exercises, eLearning classes and much more. SAMPLE IMPLEMENTATION PROJECT PLAN Please reference the Sample Implementation Plan enclosed electronically. MASTER ESCROW AGREEMENT Please reference the Master Escrow Agreement on the following pages. 113 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation CORPORATE RESOLUTION Please reference the Corporate Resolution on the following pages. 114 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation 11.0 RFP SUBMITTAL CHECKLIST Proposers should review the RFP Submittal Checklist (Attachment D) and must include this with their proposal. ATTACHMENT D / RFP SUBMITTAL CHECKLIST Please reference Attachment D / RFP Submittal Checklist on the following pages. 115 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation 12.0 RESPONSES TO FUNCTIONAL/TECHNICAL REQUIREMENTS: PRICE PROPOSAL FORM Proposers must complete and submit the Responses to Functional/Technical Requirements: Price Proposal Form (Attachment E) in a separate and sealed packet according to the format provided. The City reserves the right to contact proposers on price and scope clarification at any time throughout the selection process and negotiation process. It is important that proposers use the format presented in this RFP even if another format is provided. Attachment E should include the costs for all software, services, and additional costs to acquire all software and services referenced in each of the individual modules, including third party prices. In addition, Attachment E should also include the total costs of all software, services and additional costs to acquire all software and services referenced within the ERP, including third-party prices. If third-party products or services are included, do not provide separate versions for each third- party product. Do NOT use "To Be Determined" or similar annotations in the lines for each of the functional/technical requirements listed on Attachment E. The City is asking proposers to estimate prices for all categories with the understanding that they may have to make assumptions. Such assumptions should be stated. Proposers may submit additional pricing sheets as an addendum Attachment E; however the cost template within Attachment E MUST be completed. The City may award a purchase contract, based on initial offers received without discussion of such offers. A proposer's initial offer should, therefore, be based on the most favorable terms available. It may also require revised pricing offers from such proposers, and make an award and/or conduct negotiations thereafter. ATTACHMENT E / PRICE PROPOSAL FORM Per instructions of the RFP, please reference Attachment E / Price Proposal Form under separate cover. 116 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation INVESTMENT SUMMARY Please reference the Investment Summary on the following pages. 117 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation ATTACHMENT E / FUNCTIONAL / TECHNICAL REQUIREMENTS Tyler Reporting Services Wherever Tyler Technologies, Inc. has responded affirmatively to certain functional checklist questions/requirements/specifications as requiring the use of Tyler Reporting Services, (SSRS), the City is solely responsible for development of the necessary/required report(s), unless specifically indicated otherwise. Interfaces / Customizations Interface requirements agreed to by Tyler within this response will depend on the customer maintaining an active support agreement with the identified third party system as well as a current version actively supported by the manufacturer/developer of the product installed. ATTACHMENT E / FUNCTIONAL / TECHNICAL REQUIREMENTS CHECKLIST Please reference Attachment E / Functional / Technical Requirements checklist on the following pages. 118 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation ATTACHMENT E / FUNCTIONAL / TECHNICAL REQUIREMENTS CHECKLIST COMMENTS Please reference Attachment E / Functional / Technical Requirements Checklist Comments on the following pages. 119 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation 13.0 IMPLEMENTATION Implementation is the set of activities that will take the City of Oshkosh from software installation to daily production on the proposed Tyler system. Tyler’s goal is to provide the best software, services, and support to our clients. The City will benefit from the fact that we perform our own implementations—we know our software better than anyone. Your project team will receive guidance throughout implementation from Tyler’s experienced professionals. The desired results is the City being not only satisfied with our service and products, but would be willing to recommend them in the future. METHODOLOGY Tyler’s methodology is straightforward. We’ve taken the successful approach to public sector software implementation that we’ve used for over 25 years and integrated it with the proven principles of the Project Management Institute (PMI), a globally recognized organization dedicated to the project management profession. Tyler has integrated PMI’s Project Management Body of Knowledge (PMBOK) principles with Tyler’s public sector implementation experience to yield a methodology that is tailored for the public sector and Tyler’s software products. The result is Tyler will create an implementation plan that is designed specifically to meet the City’s needs. Tyler’s resources will perform and/or guide all aspects of the implementation for the City. Our staff consists of seasoned professionals with unique and proprietary skills and years of experience, focused into teams by product and module. Our project managers are trained to follow the professional standards of PMI and employ their recommended practices on each and every project. Through PMI, our Project Managers earn their Project Management Professional (PMP) certification, a qualification program that signifies that the Project Manager has satisfied very rigorous requirements and demonstrated their knowledge of the profession by passing the certification exam. Our implementation process emphasizes the importance of cultural change management. This is how we guide clients such as the City through the changes that accompany implementation of a new software system. Our implementation staff is experienced in analyzing policies, procedures, and organizational needs. They carefully review and test to ensure policies and procedures are well defined and effective. For Tyler clients, the proof of our approach is in the outcome—a successful implementation. Throughout the project, we establish control points (critical review points) to ensure the City’s Project Team fully understands and accepts the activities that occur throughout the project. It is at these check points that organizational stakeholders monitoring the overall project must formally accept the project to date. Once there is formal acceptance, the project will proceed to the next step. Tyler takes its contractual obligations seriously. We have a proven record of delivering software solutions on time and on budget. We take pride in our ability to partner to deliver successful projects that stay in scope, and are deployed, and up and running when promised. This is precisely what differentiates our implementation process from our competitors and why the City should select Tyler. 120 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation IMPLEMENTATION METHODOLOGY OVERVIEW The Tyler approach utilizing PMI process groups is depicted in the following high level illustration. Implementation Methodology Planning and Analysis Training and Conversion Deployment •Internal Project Planning •Transition to Imp •Discovery Process •Project Planning •System Planning •Joint Kick-off •Install Hardware •Install Software •Arrange training facility •Complete Questionnaires •Client Sign-off •Software Verification •Implementation Plan Review Authorization to Proceed Detail Project Plan •Data Review •Forms Review •Site Fit (As-is / To- Be) •Modification and Conversion Analysis •Pilot Setup •Static Test •Operations Review •Finalize Plan •Client Sign-off Go-Live AuthorizationAuthorization to Proceed •Cut-Over Plan •Contingency Plan •Finalize Schedule and Resources Schedule Resources •End User Training •Final Conversion •Cut-Over Process •Productive Use •Post-Live Training and Enhancement •Complete System Configuration Training •Complete System/Data Setup •Data Conversion •Train-the-Trainer •Execute Parallel Process Live Process Verification •Parallel Data Reconciliation •Confirm Parallel results •System Testing •System Acceptance test •Lessons Learned •Transition to Support •Client Sign-off Go / No-Go Decision INITIATE PLAN EXECUTE CONTROL CLOSE 121 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation WORK BREAKDOWN STRUCTURE PMI utilizes a Work Breakdown Structure to depict overall project work. Tyler’s custom Work Breakdown Structure is specific to each module that will be implemented at the City: INITIATION 1.0 PROJECT PLANNING 2.0 STRUCTURAL FOUNDATION 3.0 KNOWLEDGE TRANSFER & ANALYSIS 4.0 STATIC ENV TEST (SET) OF TO BE MODEL 5.0 IMPLEMENTATION 6.0 LIVE PREPARATION 7.0 LIVE PROCESSING 8.0 PHASE CLOSURE 10.0 CONTRACT SIGNING 1.1 PROJECT KICK-OFF 1.2 TRANSITION TO SUPPORT & CUSTOMER CARE 10.1 LESSONS LEARNED 10.2 CONTROL POINT: PHASE or PROJECT CLOSURE 10.3 PROJECT MANAGER SIGN-OFF 10.3.1 CUSTOMIZE TYLER IMPLEMENTATION MANAGEMENT PLANS 2.1 SCHEDULE MANAGEMENT PLAN 2.1.2 QUALITY MANAGEMENT PLAN 2.1.3 COMMUNICATION MANAGEMENT PLAN 2.1.4 RISK MANAGEMENT PLAN 2.1.5 CHANGE MANAGEMENT PLAN 2.1.6 RESOURCE MANAGEMENT PLAN 2.1.7 CONVERSION MANAGEMENT PLAN 2.1.9 FINALIZE TYLER IMPLEMENTATION MANAGEMENT PLANS 2.2 DEVELOP SCHEDULE FOR PROJECT PHASE 2.3 CONTROL POINT: PROJECT PLANNING 2.4 CLIENT ACCEPTANCE OF TYLER IMPLEMENTATION MANAGEMENT PLANS DELIVERY 2.4.1 CHART OF ACCOUNTS ANALYSIS AND DESIGN 3.1 SOFTWARE INSTALLATION 3.2 VERIFICATION TEST 3.3 SYSTEM ADMIN TRAINING 3.4 CONTROL POINT: STRUCTURAL FOUNDATION 3.5 VERIFICATION TEST SCRIPT SIGN-OFF 3.5.1 COA DESIGN ACCEPTANCE 3.5.2 AS-IS AND TO-BE ANALYSIS CONDUCTED BY TYLER SME, TCS OR BOTH 4.1 KNOWLEDGE TRANSFER: Tyler to FUNCTIONAL LEADERS 4.3 KNOWLEDGE TRANSFER: CLIENT FUNCTIONAL LEADERS to Tyler 4.2 PRODUCT OVERVIEW DEMONSTRATION 4.3.1 IN DEPTH ANALYSIS OF SOFTWARE OPTIONS 4.3.2 PROCESS FLOW CHARTS AND QUESTIONNAIRES 4.2.1 DESIRED CHANGES IN BUSINESS POLICIES 4.2.2 BEST PRACTICES DEVELOPMENT (IF TCS) 4.5 BEST BUSINESS PRACTICES “TO BE” DELIVERED & REVIEWED (IF TCS) 4.5.1 DESKTOP PROCEDURES MANUALS (IF TCS) 4.6 DESKTOP PROC DEVELOPMENT & DELIVERY (IF TCS) 4.6.1 STATIC ENVIRONMENT TEST PLAN 4.7 CONTRACT MODIFICATION / INTERFACE ANALYSIS 4.8 CONVERSION ANALYSIS 4.9 FORMS ANALYSIS 4.10 CONTROL POINT: KNOWLEDGE TRANSFER & ANALYSIS 4.13 CLIENT FINALIZATION OF BEST BUSINESS PRACTICES (IF TCS) 5.5.2AUTHORIZATION TO PROCEED TO SET 4.13.2 HAND ENTER DATA CONTROL SET 5.1 PROCESS “LIVE” TRANSACTIONS 5.2 PERFORM 5-DAY TRANSACTION TEST 5.2.2 PERFORM RECONCILIATION TEST 5.3 VALIDATE PROCESS FLOW 5.4 CONTROL POINT: STATIC ENVIRONMENT TEST 5.5 CLIENT ACCEPTANCE OF SET PERFORMANCE 5.5.1 FORMAL TRANSITION FROM TCS TO IMPLEMENTATION (IF TCS) 5.5.3 AUTHORIZATION TO PROCEED TO TRAINING 5.5.5 CREATE FORM DESIGN(S) 6.1.1 MERGE DATA WITH FORM DESIGN(S) 6.1.2 LOAD FORM(S) ON TYLER FORMS SERVER 6.1.3 TEST FORM PRINT ON TYLER FORMS PRINTER 6.1.4 CREATE & SEND DATA PROOF(S) TO CLIENT/TYLER PM 6.1.5 DATA PROOF(S) ACCEPTANCE 6.1.6 AUTHORIZATION TO LOAD FORM(S) ON TYLER FORMS SERVER 6.5.1 DATA POPULATION 6.2 TRAINING 6.3 CONTROL POINT: IMPLEMENTATION 6.5 CONVERSION 6.2.1 COMPLETE AUX TABLES 6.2.2 COMPLETE WORKFLOW 6.2.3 TEST AGAINST QUALITY PLAN 6.4.3 TEST AGAINST POLICIES 6.4.4 TYLER FORMS/GO DOCS INSTALL 6.1.7 FUNCTIONAL LEAD TRAINING 6.3.1 ON-SITE FORM TESTING 6.4.1 TEST MODS & INTERFACES 6.4.2 CLIENT AUTHORIZATION TO PROCEED TO LIVE PREPARATION 6.5.2 GO-LIVE PLANNING 7.1 FINAL CONVERSION 7.4 STRESS TESTING 7.2 CONTROL POINT: LIVE PREPARATION 7.5 PERFORM LIVE TRANSACTIONS IN MUNIS 8.1 CONVERSION ACCEPTANCE 7.5.1 CLIENT SIGN-OFF TO BEGIN LIVE PROCESSING 7.5.2 POST LIVE REVIEW 9.1 CONTROL POINT: LIVE PROCESSING 8.3 RECONCILIATION 9.1.1 POLICY REVIEW 9.1.2 REPORTING 9.1.3 CLIENT LIVE ON MUNIS 8.3.1 Work Breakdown Structure Tyler Implementation Repeated for each project phase AUXILIARY TABLE ANALYSIS 4.4 TEST BEST PRACTICES DECISIONS (IF TCS) 5.2.1 CLIENT COMMUNICATES DRAFT BEST PRACTICES DECISIONS (IF TCS) 4.13.1 CLIENT SIGN-OFF ON DELIVERY OF DESKTOP DOCS (IF TCS) 5.5.4 CORE USER TRAINING 6.3.2 POST LIVE PROCESSES 9.0 ON-SITE GO LIVE SUPPORT 8.2 WORKFLOW ANALYSIS 4.11 SECURITY ANALYSIS 4.12 TYLER FORMS 6.1 CLIENT INTERNAL REVIEW OF BEST PRACTICES (IF TCS) 4.5.2 CONTROL POINT: INITIATION PHASE 1.3 AUTHORIZATION TO PROCEED TO PLANNING PHASE 1.3.1 CONTROL POINT: POST LIVE PROCESSES 9.3 AUTHORIZATION TO PROCEED TO PHASE CLOSURE 9.3.1 SCOPE MANAGEMENT PLAN 2.1.1 EDUCATION MANAGEMENT PLAN 2.1.8 PROCESS DATA AND TRIAL RUNS 6.4 TRAIN-THE-TRAINER TRAINING 6.3.3 CLIENT ACCEPTANCE OF PHASE SCHEDULE 2.4.2 END USER TRAINING 7.3 122 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation PLANNING AND ANALYSIS This portion of the implementation process commences once a contract has been signed. Project stakeholders from the City are identified. This group will be responsible for monitoring the project and providing formal acceptance of each phase. Once the City’s stakeholders have been determined, functional leaders are chosen for the project. Management plans are formed regarding the scope, schedule, quality/testing, communication, and risk of the project. This is accomplished in cooperation with the City’s Project Team. The process of transferring knowledge to and from the functional leaders begins. Tyler’s consultants then review policies and procedures related to software functionality. Finally, scripts are tested based on decisions made and formal acceptance from the City’s Project Team is obtained before moving to the next phase. As part of the planning phase, project stakeholders within your organization must be identified. These stakeholders monitor the overall project and are an essential ingredient to a successful implementation. They ensure that the product ultimately adds value and is aligned with your organization’s goals. One method Tyler has developed to verify stakeholder commitment and understanding of a project is to set up periodic critical stops. These checkpoints make certain the stakeholders have kept pace with the project and are fully aware and accepting of the implementation process to date. Before proceeding to the next step, the stakeholders must approve the project’s status. This critical stop guarantees that your stakeholders are on the same page as Tyler implementation staff. The end result is a smooth implementation for the City—one that is on time and on budget. Once your stakeholders have been determined, functional leaders within the organization must be identified. Functional leaders will be the first members of your organization to learn the new system. They will help decide the best policies and practices in coordination with Tyler consultants. In addition, they will eventually recommend to stakeholders when they are prepared to advance to the next phase of implementation. See figure 1.1.2.1. 123 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Figure 1.1.2.1 INITIATION 1.0 PROJECT PLANNING 2.0 STRUCTURAL FOUNDATION 3.0 KNOWLEDGE TRANSFER & ANALYSIS 4.0 STATIC ENV TEST (SET) OF TO BE MODEL 5.0 CONTRACT SIGNING 1.1 PROJECT KICK-OFF 1.2 CUSTOMIZE TYLER IMPLEMENTATION MANAGEMENT PLANS 2.1 SCHEDULE MANAGEMENT PLAN 2.1.2 QUALITY MANAGEMENT PLAN 2.1.3 COMMUNICATION MANAGEMENT PLAN 2.1.4 RISK MANAGEMENT PLAN 2.1.5 CHANGE MANAGEMENT PLAN 2.1.6 RESOURCE MANAGEMENT PLAN 2.1.7 CONVERSION MANAGEMENT PLAN 2.1.9 FINALIZE TYLER IMPLEMENTATION MANAGEMENT PLANS 2.2 DEVELOP SCHEDULE FOR PROJECT PHASE 2.3 CONTROL POINT: PROJECT PLANNING 2.4 CLIENT ACCEPTANCE OF TYLER IMPLEMENTATION MANAGEMENT PLANS DELIVERY 2.4.1 CHART OF ACCOUNTS ANALYSIS AND DESIGN 3.1 SOFTWARE INSTALLATION 3.2 VERIFICATION TEST 3.3 SYSTEM ADMIN TRAINING 3.4 CONTROL POINT: STRUCTURAL FOUNDATION 3.5 VERIFICATION TEST SCRIPT SIGN-OFF 3.5.1 COA DESIGN ACCEPTANCE 3.5.2 AS-IS AND TO-BE ANALYSIS CONDUCTED BY TYLER SME, TCS OR BOTH 4.1 KNOWLEDGE TRANSFER: Tyler to FUNCTIONAL LEADERS 4.3 KNOWLEDGE TRANSFER: CLIENT FUNCTIONAL LEADERS to Tyler 4.2 PRODUCT OVERVIEW DEMONSTRATION 4.3.1 IN DEPTH ANALYSIS OF SOFTWARE OPTIONS 4.3.2 PROCESS FLOW CHARTS AND QUESTIONNAIRES 4.2.1 DESIRED CHANGES IN BUSINESS POLICIES 4.2.2 BEST PRACTICES DEVELOPMENT (IF TCS) 4.5 BEST BUSINESS PRACTICES “TO BE” DELIVERED & REVIEWED (IF TCS) 4.5.1 DESKTOP PROCEDURES MANUALS (IF TCS) 4.6 DESKTOP PROC DEVELOPMENT & DELIVERY (IF TCS) 4.6.1 STATIC ENVIRONMENT TEST PLAN 4.7 CONTRACT MODIFICATION / INTERFACE ANALYSIS 4.8 CONVERSION ANALYSIS 4.9 FORMS ANALYSIS 4.10 CONTROL POINT: KNOWLEDGE TRANSFER & ANALYSIS 4.13 CLIENT FINALIZATION OF BEST BUSINESS PRACTICES (IF TCS) 5.5.2AUTHORIZATION TO PROCEED TO SET 4.13.2 HAND ENTER DATA CONTROL SET 5.1 PROCESS “LIVE” TRANSACTIONS 5.2 PERFORM 5-DAY TRANSACTION TEST 5.2.2 PERFORM RECONCILIATION TEST 5.3 VALIDATE PROCESS FLOW 5.4 CONTROL POINT: STATIC ENVIRONMENT TEST 5.5 CLIENT ACCEPTANCE OF SET PERFORMANCE 5.5.1 FORMAL TRANSITION FROM TCS TO IMPLEMENTATION (IF TCS) 5.5.3 AUTHORIZATION TO PROCEED TO TRAINING 5.5.5 AUXILIARY TABLE ANALYSIS 4.4 TEST BEST PRACTICES DECISIONS (IF TCS) 5.2.1 CLIENT COMMUNICATES DRAFT BEST PRACTICES DECISIONS (IF TCS) 4.13.1 CLIENT SIGN-OFF ON DELIVERY OF DESKTOP DOCS (IF TCS) 5.5.4 WORKFLOW ANALYSIS 4.11 SECURITY ANALYSIS 4.12 CLIENT INTERNAL REVIEW OF BEST PRACTICES (IF TCS) 4.5.2 CONTROL POINT: INITIATION PHASE 1.3 AUTHORIZATION TO PROCEED TO PLANNING PHASE 1.3.1 SCOPE MANAGEMENT PLAN 2.1.1 EDUCATION MANAGEMENT PLAN 2.1.8 CLIENT ACCEPTANCE OF PHASE SCHEDULE 2.4.2 124 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation SETUP, TRAINING AND CONVERSION This portion of the implementation begins with data conversion, forms design, table and preference setup, and primary-user training. System testing follows the completion of these tasks. This testing will determine the success of the knowledge transfer to end users. Formal acceptance from stakeholders is required before advancing to the next phase. See figure 1.1.2.2 125 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation LIVE PREPARATION, GO-LIVE AND PHASE CLOSURE This portion of the implementation begins with a pre-live process review, proceeds to final training and conversion to be followed by quality assurance testing. The phase closes with a transition to Tyler’s Technical Support department and formal acceptance from your organization’s stakeholders. See figure 1.1.2.3 Figure 1.1.2.3 LIVE PREPARATION 7.0 LIVE PROCESSING 8.0 PHASE CLOSURE 10.0 TRANSITION TO SUPPORT & CUSTOMER CARE 10.1 LESSONS LEARNED 10.2 CONTROL POINT: PHASE or PROJECT CLOSURE 10.3 PROJECT MANAGER SIGN-OFF 10.3.1 GO-LIVE PLANNING 7.1 FINAL CONVERSION 7.4 STRESS TESTING 7.2 CONTROL POINT: LIVE PREPARATION 7.5 PERFORM LIVE TRANSACTIONS IN MUNIS 8.1 CONVERSION ACCEPTANCE 7.5.1 CLIENT SIGN-OFF TO BEGIN LIVE PROCESSING 7.5.2 POST LIVE REVIEW 9.1 CONTROL POINT: LIVE PROCESSING 8.3 RECONCILIATION 9.1.1 POLICY REVIEW 9.1.2 REPORTING 9.1.3 CLIENT LIVE ON MUNIS 8.3.1 POST LIVE PROCESSES 9.0 ON-SITE GO LIVE SUPPORT 8.2 CONTROL POINT: POST LIVE PROCESSES 9.3 AUTHORIZATION TO PROCEED TO PHASE CLOSURE 9.3.1 END USER TRAINING 7.3 126 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation CLIENT SHAREPOINT SITE Tyler understands that current, accurate information that is easily accessible is a key component in an ERP Implementation Project. As part of Implementation, each new Tyler client will be provided a Project SharePoint Web site. The purpose of this site is to furnish the City and Tyler Project Teams with a central location to plan, store and access pertinent documentation and information relating to the your Implementation project. The Tyler ERP Implementation SharePoint site will ensure that all project stakeholders have an easy-to-use tool that will provide an integrated location to inquire, review and update any and all project information. It is Tyler’s goal to have the site available for introduction to the City during the Project Manager’s on-site Kick-Off meeting. At this meeting, the PM will provide an overview of the site and distribute a brief video that further explains the site and its available tools. This site will be jointly maintained by the Tyler and City Project Teams for the duration of the implementation. Once the client has gone live, the site will be maintained by Tyler’s assigned Support Account Manager for the first year of live processing. Each Project SharePoint site will utilize standards and defaults set by Microsoft SharePoint software. The site will be easy to navigate and provide text “breadcrumbs” for backtracking and/or return to the home page. Tools of the site will include, but are not limited to: Documents & Links; Announcements; Calendar; Project Task List; Issues & Action Items; Project Schedule; Modifications& Enhancements; Versioning; Client Alerts. PROJECT HOME PAGE The project “Home Page” displays an overview of the entire ERP Implementation Project. In this example, a shared calendar is displayed, as well as links to Project Plans, Task Lists and Issues & action items. Tabs, seen at upper left, are also available for various project phases (Financials, Payroll, and so forth) to provide greater details. 127 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation PROJECT PLAN This screen shows a detailed project plan that is developed using Microsoft Project and displayed through the Project SharePoint Site. Users can access a global view of the project, or can drill down to the phase and task for more details. The Project SharePoint site ensures that any project-related information is accessible from a single location for all stakeholders. 128 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation TYLER DATA CONVERSION DATA CONVERSION COSTS Tyler delivers all conversions at a flat rate. Conversions are billed as the work is completed, therefore, the City will only be charged for those data conversions that are executed in the implementation of the software. Tyler makes the following assumptions in providing a fixed-price data conversion approach: Legacy system data to be converted is provided in a non-proprietary format, such as fixed ASCII, CSV or character-delimited Each legacy system data file submitted for conversion includes all associated records in a single file layout Each legacy system data file layout submitted for conversion remains static for all subsequent data submissions. File layout changes required for additional subsequent data passes not previously provided are acceptable, provided the changes and placement of the data have been mutually agreed upon Legacy system data validation and control reports are provided with each data submission to ensure data files are complete and accurate DATA CONVERSION METHODOLOGY The data conversion process can be the most time critical element of the City of Oshkosh’s project plan. It is the City’s responsibility to provide Tyler with readable conversion data, including file layouts and control totals where applicable, by the deadlines set forth in the project plan. Failure to meet conversion deadlines can directly impact the live date(s). For the Conversion Department, the first step in the conversion process is receiving the City’s data file(s), data layout(s), supporting documentation, and screen prints or other specific examples. Data files are the actual information from your current (legacy) system. If the current system consists of spreadsheets or other simple databases, those may be sent. If the current system is already set up in more sophisticated data files, the City may have parameter files, code table files, master data files, temporary and work files, and transaction files. The City will want most of the master data and some transaction data converted, depending upon the contract, but not parameters or code tables. Examine those files that have the module ID as part of their key (for instance, employee number in payroll), and send those that seem appropriate for the conversions purchased. (For more on the format and transfer of data files, see Data Formats and Timing and Data sections.) A data layout is a document that details how the data is arranged into records and fields within the data file. It includes record lengths (if fixed) and field names; field sizes (if fixed) or delimiters; field types (character, number, date, Boolean, and so on); and field positions (either absolute or relative) within the data record. Two common examples are the COBOL “fd” and the Informix 4gl “schema”. For spreadsheet data, the layout is implied from column headings and sizes. Without some type of data layout, the data file is useless. Supporting material is often necessary for decoding and converting the data. First, field names may need further description—for example, will the programmer know that ‘MAST-TITLE’ means ‘payroll position’ in the old system? Or perhaps the programmer needs to be told to use ‘FTE-HOW-MANY’ as 129 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation the number of active FTE array elements. Second, codes may need translation (e.g., in the field ‘MAST-DED-TYPE’, 1 might stand for Dollar Amount, 2 for Percentage). Finally, and most important, data may need a crosswalk that shows the translation of old system codes to new Tyler codes. The most common application of a code crosswalk is when payroll deduction codes are being converted, and the old system’s codes do not fit into the Tyler deduction code scheme. Other common crosswalks include 1099 box codes, parcels, departments, employee numbers, locations, and GL accounts. These crosswalks are typically entered into a spreadsheet, but the Conversion Department can open and use any document that is supported by Microsoft® Word or Microsoft® Excel®. Tyler’s conversion programmer will examine your data files and layouts, and use the supporting materials to interpret, crosswalk, and generally re-arrange the data from the old system into the new format. If specific examples have been sent to check, the programmer will look closely at the converted data for these people/ items before sending the data back to the client for intensive proofing. DATA FORMATS Data files may be submitted in a variety of formats including: ASCII (Line Sequential)—types include: Fixed Length (preferred) Delimited BINARY - Data must be in fixed length records, but may include: Zoned and packed decimal, floating point, and binary numbers ASCII or EBCDIC character sets Spreadsheets, Databases and other Applications: Tyler’s data conversion staff can convert data directly from a number of applications, as opposed to exporting data to a generic format. The City should not export files to another format unless specifically requested. Tyler’s conversion department will match the City’s data formats to the Tyler file layouts. TIMING AND REPORTS In addition to sending data, the City should run a number of reports that will later be used to proof the conversion. The City and Tyler Project Managers will decide which reports are required. For verification purposes, it is imperative that reports for proofing be run at the same time that data is created for transfer to Tyler. There should be no intervening transactions posted between the data transfer and the reporting. We emphasize this point as it is difficult to match the data to the output on the report in these circumstances. The City should not send these proofing reports to the Conversion Department—they should be kept until the converted data is returned, at which time City resources will use them to verify the integrity of the conversion. DATA SUBMISSION METHODS Speed, simplicity and reliability make electronic transfers the preferred method of submitting conversion data and supporting materials. Tyler Conversion Department staff will work with the City in preparing to use Tyler’s sFTP folder for all files and documents. sFTP: 130 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation This method requires a direct Internet connection or access to an Internet Service Provider. A direct Internet connection is preferable, as very large files can then be transferred efficiently. Access through an Internet Service Provider is relatively slow as it generally requires a modem transfer. In many cases, initial data transfers to and from Tyler may be performed on physical media due to the volume of data being transferred. However, near the end of the conversion/ implementation process, there is often a need to transfer smaller files (e.g., corrections, amendments, additions). Having an electronic transfer option available at this stage of the implementation is invaluable to the success of the implementation. In the case of physical transferring of conversion data, all packages should be addressed to: Tyler Technologies, Inc. Munis Data Conversion Department One Tyler Drive Yarmouth, ME 04096 Telephone No. 207-781-2260 (required on some Air Bills) To prevent damage, all diskettes and tapes should be packed in sturdy containers or envelopes reinforced with stiff cardboard. Unless specifically instructed, all materials should be sent via an air express carrier (Federal Express, Airborne, UPS, Express Mail, etc.), overnight or second day (when available). It is a good idea to go with a service that lets the City track your packages. PLEASE DO NOT SHIP MATERIALS VIA U.S. POSTAL SERVICE DATA CONVERSION NOTES Below are some general notes and suggestions for easing the conversion process: Each time data is sent to Tyler’s conversion department, the City should remember to get from the original system any reports and/or screen prints that will later help to verify the converted data At each conversion step, the City will be sent one or more Error Report(s)—text file(s) containing “err” somewhere in the name, xx_err.txt. These warning messages should be read carefully, as they indicate problems encountered when converting the data, and often hold the explanation for discrepancies in the verification process. In addition, many of the messages indicate a situation that will require manual maintenance later, when the City goes live with the converted data. If a Readme text file is also received, it may include further explanations of error messages and conversion decisions Converted data is generally loaded to a Training database first, and not loaded to the Live database until verified and accepted by the City. However, because parameters (control data) and code tables are entered on-site, it is important to handle this in such a way that manual data entry is mostly done in only one database. The City Project Manager should discuss this with their Tyler counterpart, and verify that those responsible know where to load conversion data at each step and have the ability to copy live to test Conversion of the same data again with requested changes (repeated conversion steps) will completely overwrite the files/tables involved, in whichever database(s) they are loaded, so clients should not begin maintenance of any data until satisfied that the corresponding conversion step is done. If the City wants to begin data entry and is not sure whether this 131 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation area of data will be affected by further conversions, they should ask the conversion programmer The City should notify the conversion programmer if any maintenance of a converted master table is begun before all conversion steps for that module are done, as the programmer then needs to consider how adds, drops, and changes in the master will affect the other conversion steps. (Employee Master, for instance, is often taken over by the City before many other payroll tables are converted, but this requires program changes and additional information sent by the City.) Processes and reports recommended by the conversion department for each module are only the minimum; in all cases, additional verification is needed. This may include spot- checking several individual IDs through all screens; browsing through a single screen for a selected group of IDs; verifying various data fields, counts, and amounts for selected groups through screens and/or reports; and processing additional transactions. All data and processes critical to the City should be checked carefully TYLER TESTING PLAN A Quality Management / Testing Plan establishes processes and activities to ensure that project objectives outlined within the Scope Management Plan are successfully implemented. Any Quality Management / Testing Plan must work to address both the project and the product. Quality Management includes: Quality Planning Quality Assurance Quality Control PURPOSE The purpose of the Quality Management / Testing Plan is to define and monitor critical milestones. Failure to meet critical milestones will negatively impact the project scope. A Quality Management / Testing Plan will provide a controlled environment for high level product testing, taking into account full module integration, import and export interface integrity, functional flow and reliability. PROCESS It is imperative that a Quality Management Plan and System Testing Plan be put into practice as part of the Project. The plan should include all of the processes required to ensure that the goals for the project are fully satisfied. The overall plan will include the following: Verification Testing Baseline module test script completion, performed after installation (site optional). Static Environment Test Policies and Procedures; Conclusion of Analysis with Functional Leaders, Knowledge Transfer, Stakeholder acceptance is required to move forward. 132 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Education Policies and Procedures; Conclusion of End-User Training, User Sign Off and Stakeholder acceptance is required to move forward. System Testing Completion of scenario processing throughout individual Modules, interfaces, and modifications, monitoring data integrity, process flow and integration. Repeat Testing (only if needed) Performance of system testing once corrections to issues have been delivered. Integration Testing Observation of inter-module data flow and effect, especially as it relates to the General Ledger. Interface Testing Observation of interface data flow and effect, especially as it relates to the General Ledger. Stress Testing Testing the system under heavy user loads, repetition of heavy processing deliberate invalid data entry which should return error messages, and attempts by multiple users to edit the same record. Pre-Live Verification Incorporates Final Conversions and all Training. The Benefits of Testing As an expected benefit from the completion of these tests, the following will also be achieved. End-users will gain extensive product experience, develop a high-level of confidence in Tyler’s Product and understand their specific functions within the system. The infrastructure of hardware and network design will be thoroughly tested. Modifications and Interfaces are fully integrated into the product. A managed Issues List will be fully quantified. Software Environments Modifications, interfaces, conversions and other data and programmatic elements will be tested in the Training environment. This environment will also serve as the User Acceptance Test environment. The testing environment will provide the structure and supporting programs for User Testing to be performed throughout the duration of the Project. The desired result of the User Testing process is Functional Goal Acceptance achieved through managed issue identification, resolution, and testing. Existing Plan Document the City’s existing Quality Management / Testing Plan in this space if there is one. Action Plan Plan Approach The following outlines Tyler’s test planning approach: Work with the City Project Team to determine which processes, interfaces, and modifications need to be tested within the appropriate scenario processing. Work with the City Project Team to create a Testing Outline that details step by step procedures for testing data integrity across all application processes. 133 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Work with the City Project Team to identify Project Team members, and functional leaders, to define roles and responsibilities in performing scenario processing. Sample documents for tracking the detail and progress of the testing process are provided at the end of this section. Both the City Project Team and Tyler Implementation Team will provide results of all testing to the City Project Manager. In addition, tracking of all issues and their resolution will be maintained in an Issues Tracking Register. The City Project Team, may choose, with the support of the Tyler Implementation Staff to develop written Test Cases for selected processes utilizing, as the starting point, the City’s Desktop Documents. The City’s Project Team will Identify and communicate to select Product Specialists the assigned testing scenarios to be executed with assistance from Tyler Implementation Staff. The City’s Staff and Tyler Project Team will review and assign priorities for response to identified program or procedural issues that result from completed testing scenarios. The City’s Project Team may choose to assign a Test Coordinator to work with Tyler Project Team. The responsibilities include: Working with Tyler Project Team to oversee all functions of the testing process. Monitoring the quality and timeliness of the overall testing effort. Facilitating testing completion by maintaining momentum during process. Checking that tests are completed in the order necessary to thoroughly sign-off on process. Ensuring that all reports of issues are submitted to the Tyler and the City Project Manager in a complete and timely manner. Review scenario processes and modify as necessary to align with any changes to policies and procedures. Expectations of Tyler related to successful completion of Testing Phase are identified as follows: Provide training to the City staff. Develop baseline scenario processes Measurement & Tracking Priority 1 Critical Issue: Cannot proceed without correction Priority 2 High Issue: Can proceed but needs correction before Live Priority 3 Medium Issue: Can proceed with Live Processing but fix needs to be delivered to comply with ERP goals Priority 4 Low Priority Issue: Can proceed with Live, new desired functionality. Once corrections have been delivered, the City and Tyler Project Managers will determine if Repeat Testing can continue from stopped point or, if it must be restarted. The City’s Project Team will schedule and outline Stress Testing scenarios. Tyler will require a final sign-off prior to going live on any module. This sign-off document will outline the status of any remaining open issues related to the module, confirming the issue status and the associated Priority Code. The City’s Project Team and the Tyler Project Team will review all items and make a decision as to the ability to begin Live Processing in Munis. The sign off will signify the end of 134 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation system test phase for the module. The decision to delay Live Processing should not be based on Issues whose status is a Priority 2 or 3. TESTING CONCLUSION Clear communication, recordkeeping, and analysis between the City’s Project Team, Tyler Project Manager and Tyler Implementation Teams are critical in order to move through the Testing Phase both successfully and in a timely manner. A member of these teams will need to identify the issues and then determine what type of issue resolution is necessary. Most issues can be categorized as they relate to the following: Module Design or Setup Best Practice Re-engineering Change in scope Software modification requests Issue tracking, resolution accountability, timely testing, and completed issue resolution are absolutely necessary in successfully completing the City’s Project. The Testing Phase is a shared responsibility and must be recognized as such. TRAINING APPROACH A key part of any implementation is training users at all levels. Fully trained users understand how to use Tyler to record and report information that helps them do their jobs better. This is critical to the City’s acceptance of the system and crucial to a successful implementation. Tyler offers several training formats to accommodate our diverse client’s needs. On-site training by Tyler staff provides hands on training in your training labs. Tyler also provides flexible alternatives including remote collaborative training technology, and video and software tutorial media. For clients with a tight budget or immediate needs, these options provide a cost-effective and viable alternative. Regardless of the training logistics, your resources receive training sessions that are a combination of lecture and hands-on education, using the City’s live data. In addition, managers with the City will attend training with their employees. This ensures that the managers can confirm the proper transfer of knowledge. This also allows employees to ask the manager questions about how the system will work within their department. Tyler always tailors instruction to meet pre-defined client needs. For example, some classes are targeted for data entry personnel and other heavy system users; other classes are geared for top managers who will use the system occasionally. Our proposal assumes a “train-the-trainer” approach to services unless otherwise noted. In this approach a small group of internal “experts” can train the rest of the employees. Other clients prefer to have Tyler instruct all users. This additional service can be provided for an additional cost. Tyler provides training to Functional Leaders and Central Users throughout the implementation, as the set up knowledge is key to a self-sufficient user. End User training will be scheduled during the project and is usually done just prior to, or just after, going live. Tyler will provide training to your internal trainers who will in turn train the End User community. Training materials will be provided and may be customized by the City prior to this training. It will be the responsibility of the City to provide training facilities for all training sessions. 135 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Tyler's training approach stipulates that Core Users be trained on major process groups after procedural decisions have been made by Functional Leaders. The goal is to expose the most sophisticated users to the system first, so setup, converted data, and new procedures are thoroughly vetted before introduction to End Users. During the Core User training phase, Tyler Implementers not only conduct training and retention assessment, but lead users through thorough Trial Runs of Financial processes and parallels of Payroll / Human Resource, Utility Billing and other applicable procedures. The pre-live planning sessions incorporate a review of training to make sure all users are prepared to perform their daily work in the Tyler system. Tyler provides detailed documentation on new functionality introduced in new product releases, offers online sessions to review them, and can deliver onsite services to train staff on new opportunities for process efficiencies. Throughout the project, there are control points (shown in the Munis Sample Implementation Plan which is attached) that require sign-off by the City’s Project Team before moving forward. These points in the project ensure that knowledge transfer has been done to the City’s requirements. TRAINING METHODOLOGY An Education Plan lays out the process of transferring knowledge between Tyler and the City. We refer to our plan as an Education Plan as opposed to a Training Plan for several reasons. First, the process of transferring knowledge is vital to the analysis phase of our project. During analysis we: review the “AS IS” environment, provide Tyler demonstrations, review questionnaires and flow charts, and ultimately arrive at a “TO BE” model. The TO BE model becomes the foundation for user training. Second, training denotes a classroom setting with teacher and pupil. While training will occur, it is a piece of the overall education needed to be a proficient Tyler user. Purpose The purpose of the Education Plan is to: Communicate the process to stakeholders and functional leaders Answer specific questions (where will classrooms be established, what database environment will be utilized, etc.) Establish action items link project personnel as owners Define measurement criteria to ensure the Education Plan has been successfully followed Process It is imperative that an Education Plan be put into practice as part of the Tyler Project. The plan should include all of the processes required to ensure that the goals for the project are fully satisfied. The overall plan will include the following: Demonstration, Analysis, and Knowledge Transfer Tyler employees will perform the following tasks: As-Is review Product overview demonstration In depth analysis of Munis options Flow chart review Questionnaire review 136 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation This phase will involve the functional leaders. The goal of this phase is to transfer high level knowledge between parties. The output will be policies and procedures related to the use of the system. The policies and procedures will determine the training agenda to be delivered to the end users. For example, if commodity codes are not going to be utilized within Purchasing, then the training outlines for Purchasing should remove the discussion of commodity codes. TO BE Demonstration This process allows the Functional Leaders to see a working software system with the City’s data. Tyler will conduct processes according to the defined policies and procedures agreed to during analysis. The intended education is an overall understanding of the integration of the applications, a review and understanding of security options, and workflow touch points. Munis Application Training In this phase we are conducting classroom training. Pre-Live Training These repeated classes provide end users the opportunity to review system functionality in a classroom environment. Post Live Reconciliation Training The process of reconciling data is reviewed during pre-live training. However, hands on training with live data provides a better overall understanding of the system tables and how to reconcile daily, weekly, and monthly functions. Post Live Output and Inquiry Training The output and inquire routines are reviewed during pre-live training. However, hands on training with live data provides a better overall understanding of the options related to extracting needed information. Logistics Tyler and the City will work together to define education logistics. The following table should be used as a starting point for defining logistics. The final logistics table will become part of the Education Plan. Software / Hardware How many databases will be utilized? Will we establish a Financials Training environment separate from Payroll? Who will refresh the training database? Will a second server be utilized? Facilities How many training rooms will be utilized? Where are the locations of each training room? How many workstations will be in each training room? How many printers will be in each training room? Other training room requirements (white board, phone, etc.) Who will schedule the training room? 137 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Staff How many students per teacher? How many students per workstations? What are the hours of training? Who will be trained on each application? Who will conduct attendance? Will management be present for each session? Who will train the end users (Tyler versus City)? Schedule Who will determine the exact days for training? Who will notify staff members? How far in advance will the training schedule be built? PROJECT TEAM TRAINING The Tyler project team begins knowledge transfer at the onset of the project, during analysis. It is through this process and subsequent hands-on set up and process training that the Functional Leaders and Subject Matter Experts build an understanding of the inner workings of the system and how parameters and tables affect the overall processing. These users should attend all applicable analysis and implementation / training sessions. TECHNICAL TRAINING Technical training begins at the time of software installation. The Installation Engineer will teach the Technical staff how the software is configured as well as basic system maintenance such as backups, loading releases and refreshing training and test databases. System Administration training is conducted after software installation to show users how to update users, permissions, menu security, workflow administration, etc., from within Tyler’s software. The City System Administrator should attend these sessions, as scheduled. In addition, the Functional Leaders should attend to have a thorough understanding of the permissions and options available. It is a City decision as to who will perform System Administration tasks. It may be a combination of Functional Leaders and IT staff. END USER TRAINING After the Functional Leaders are trained, the system parameters and tables are set up and/or converted, and processes are defined and tested, End Users will attend applicable scheduled training. These users include central processing staff: AP department, Payroll department, Purchasing department, etc. This training will take place well in advance of go-live so these users may assist in system testing, verification, and become familiar with their new processes. DECENTRALIZED (DEPARTMENTAL) USER TRAINING Tyler utilizes a train-the-trainer approach for departmental training (requisition entry, budget entry, time and attendance entry, inquiries, reports, etc.). Tyler will train the City trainer(s) who will in turn schedule training, develop customized training materials, and conduct the training for the decentralized users. This assumes that the City trainer(s) will attend all End User training that are delivered by Tyler. If the City prefers that Tyler conduct all training, additional implementation days 138 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation will be required based on the number of training days / sessions the City requires. This should be discussed during the project planning sessions at the onset of the project and documented in the Education Management Plan. A successful decentralized user training session is in a classroom environment with a computer for each user (minimum of one computer for every two users, but ideally one per user), a whiteboard, a printer in the room or nearby and one computer connected to a projector. The size of the class depends on the classroom size and the available computers for training. Ideally, a class size should be limited to twelve users in order to keep the session controlled and ensure all users are receiving appropriate level of personalized attention. The specific course topics will be discussed and scheduled after analysis, depending on the City’s specific training needs. OTHER KNOWLEDGE TRANSFER Tyler offers other means of training for its users to be utilized after the implementation, though they are available upon contract signing. Online Education Courses: Group training conducted via Webinar. The schedule is posted on the Tyler Community website (log in required). KnowledgeBase: Hundreds of searchable documents, videos and reports for users to view, download and modify. These include How-To documents, User Conference session documents, Best Practices and more. Tyler User Conference: Dozens of training classes and networking opportunities. The City should budget attendees to this conference each year, after implementation, as the training and experience is invaluable. It is recommended that users attend the conference after the implementation is complete in order to ensure consistent training and keep focus on implementation goals. TRAINING COURSES The following is a sample list of potential end-user classes for the system offered by Tyler. Please note that these are samples only and that training sessions are always tailored to meet the pre-defined City’s needs. Accounts Payable Inquiries Budget Preparation Fixed Assets Monthly Reconciliation Payroll—Job Pay and Accruals Payroll—Tips and Advanced Topics Personnel Management Tools—Inquiries and Reports Personnel—Salary and Benefit Projections Requisition Entry W-2 / 1099 Processing Fiscal Year End Processing System Administration 139 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation TRAINING RESPONSIBILITIES Tyler and the City will collaborate on all aspects of training which will be discussed and documented during the planning stage of the project. The below chart outlines the proposed responsibilities of the Tyler and City project teams during each major training task. Changes to these expectations can be discussed during project planning, and will be based upon the Client’s specific business environment and resources. TRAINING RESPONSIBILITY CHART Responsibility Description TYLER City Development of Training Materials LEAD PARTICIPATE Planning Training Sessions LEAD ASSIST Coordinating Training Sessions (location, attendees, projector, computers, laptops, etc.) PARTICIPATE LEAD Execution of Training ASSIST LEAD Knowledge Transfer ASSIST LEAD Refreshing of Training Database PARTICIPATE LEAD User ID and Passwords PARTICIPATE LEAD Surveys LEAD ASSIST 140 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation 14.0 TECHNOLOGY FULLY INTEGRATED ERP SOLUTION Munis is an Enterprise Resource Planning (ERP) system solely designed for the public sector. ERP is application software that integrates information across all facets of an organization, including finance, operations, and human resources. In the public sector market, specific areas of integration include: Finance/Accounting Budgeting Procurement/Contracts Asset management Projects Inventory Payroll/Personnel Billing Accounts Receivable Other related operations Master records are shared across multiple products throughout the system. This ensures a single data record is maintained across multiple applications, eliminating the need to “sync” or manually entering duplicate data in multiple areas. For example, an Employee Master record is accessible from Payroll, HR and Financials modules. With integration information, users can “drill down” from summary to details, and “drill across” to related information in other applications. With Munis, users can even access directly any program from the menu by specifying its name. Finally, integrated applications have the same “look and feel” across programs—so users learn just one set of conventions that apply everywhere. The Munis screens are logically organized and visually appealing, making it easier to enter information and find it quickly. FOCUSED FOR THE PUBLIC SECTOR Tyler delivers software and services specifically for the public sector market. It is the company’s exclusive focus. All resources are dedicated to serving these clients. Therefore, Tyler products are ready to go “out of the box”—since they’ve been designed exclusively for this market. Product functionality is deep, requiring fewer customizations. This leads to implementations that take less time and are less expensive. Market sector focus also leads to what Tyler calls a “Consortium of Development.” We listen closely to our clients, and update our system accordingly, building in best business practices. All improvements are included in each updated release and made available to all clients. This allows all users to receive the benefits of new features that each user requests. 141 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation EVERGREEN PHILOSOPHY Tyler’s evergreen philosophy is really a commitment to our clients. It means that their investment in Tyler solutions is for the long-term. It means that Tyler applications will continue to evolve and remain a market leader. It means that we are continuously enhancing our products with underlying technology. And it means that we are continuously adding new features that add value and increase efficiency in the public sector workplace. We deliver this without additional license fees. Product upgrades are released as part of maintenance agreements and are immediately available. Perpetual Upgrades Tyler deploys industry leading technology and features that are continually enhanced through a process of perpetual upgrades—a steady stream of significant yet manageable changes deployed over the life of the application with minimal disruption to our clients’ operations—with no re- licensing fees and minimal changes to our core business logic. This is a much better experience for our clients than deploying massive changes every 5-7 years that require retraining and costly upgrades. Clients can incorporate these changes and advancements when they are ready without disruption of ongoing work. Benefits of Evergreen Availability of current technology and functionality Lower cost of ownership — you won’t need to pay re-licensing fees when new versions of your licensed software are released Minimal disruptions during deployment of new functionality Minimizes the need for retraining after a significant update FULLY SCALABLE SOLUTION Tyler provides fully scalable solutions to meet the requirements of all organizations, regardless of size, and can grow to meet increasing demands. Tyler’s applications perform well on modest networks with a handful of users—or on large, distributed networks with hundreds of users. Tyler applications have features to ensure large organizations run effectively. And smaller clients don’t outgrow Tyler solutions—they easily expand to meet clients changing needs. Tyler applications are based on an n-tier architecture and can scale both vertically or horizontally eliminating limitations for user growth. Based on client feedback and experience, internal testing and running our own SaaS hosting service, we have learned to tailor Tyler applications specific to a client based on their size and needs. DECENTRALIZED ACCESS AND PROCESSING Tyler applications are workstation agnostic by storing all user settings on the server. This feature, combined with all primary user access being browser based, allows for completely decentralized access from any authorized user on any workstation with access to the system. Combining integrated role-based application security to protect private or sensitive information and integrated Workflow to automate data review and approval allows data access and maintenance to be pushed out to end-users rather than just managers. Data entry doesn’t have to be performed in just a few, centralized processing centers. This is a tremendous benefit allows individuals to own the 142 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation information for which they are responsible, resulting in more accurate data entry. In turn, operations that rely on accurate information are more efficient and productive. SYSTEM ARCHITECTURE AND REQUIREMENTS SYSTEM ARCHITECTURE OVERVIEW Tyler applications are multi-tiered, typically consisting of a 3-tier architecture utilizing web, application, and database tiers. Hardware requirements can vary depending on the many variables such as the clients’ deployment practices, Tyler products purchased, and whether virtualization and/or high-availability will be utilized. Tyler applications are developed to run exclusively on Microsoft Windows Server operating systems utilizing Microsoft SQL Server. All top tier hardware manufacturers are supported such as Dell, HP, and IBM in a number of server deployment types including high availability configurations, virtualized environments and separate testing environments. Train and Test environments are installed on production hardware, unless otherwise specified by the client. 143 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation TECHNOLOGY FRAMEWORK DIAGRAM – MUNIS APPLICATION ENVIRONMENTS Tyler’s standard application deployment includes live (production), train and test environments. Traditionally these environments co-exist on the same server environment, however clients can choose to split them out to separate server environments. The train environment shares the same code-base as the production environment, but uses a separate database to store information. This mirrored environment of production provides new users learning processes and existing users needing a refresher on existing processes a virtual "sandbox" to play in prior to performing tasks in the production system. The test environment includes a separate code base from the other environments in addition to a separate database. This environment it typically utilized by administrators to test new versions of application software prior to installing into production. While it's not required, some clients opt to host this environment on a separate server host. This provides the ability to also test platform updates such as operating system and RDBMS updates without effecting the production environment. 144 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Tools are provided to easily "refresh" application data and code from one environment to another. This can be performed on-demand or automated to occur on a schedule. Tyler will work with every client to discuss their current and desired business practices to determine the best configuration that will meet their infrastructure needs. SERVER REQUIREMENTS – MUNIS ERP (100 USERS) The primary metric in sizing server specifications is the number of estimated concurrent users of each system. The following outlines server infrastructure required for a Tyler Munis ERP implementation sized up to 100 concurrent Tyler Munis users. Server Function Qty . CPU (P) CPU (V) Memor y Storage Software Munis App & Database 1 (2) Intel quad core 2.0Ghz+ 4 Virtual CPUs 24GB 250GB to 500GB Windows Server 2012 R2 Standard SQL Server 2012 Standard SharePoint 2013 Foundation Content Management 1 (1) Intel quad core 2.0Ghz+ 2 Virtual CPUs 18GB 75GB Windows Server 2012 R2 Standard External Web 1 (1) Intel quad core 2.0Ghz+ 2 Virtual CPUs 12GB 75GB Windows Server 2012 R2 Standard CPU (P): CPU configuration for physical configuration only. CPU (V): Minimum virtual CPU allocation for virtual configuration only. Tyler recommends VMware vSphere for server virtualization. 145 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation D M Z In t e r n e t U s e r s C o n t e n t M a n a g e m e n t Se r v e r Ty l e r T e c h n o l o g i e s Pr o d u c t i o n E n v i r o n m e n t I n f r a s t r u c t u r e D i a g r a m Ty l e r M u n i s E R P : U p t o 1 0 0 c o n c u r r e n t u s e r s Mu n i s A p p / D B S e r v e r Fi r e w a l l Ex t e r n a l W e b S e r v e r Fi r e w a l l ` In t r a n e t U s e r s HP N e t w o r k P r i n t e r ( s ) Sc a n n e r ( s ) ` 146 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation END USER REQUIREMENTS MICROSOFT WINDOWS WORKSTATIONS Minimum* Recommended Operating System Windows 7 (32-bit or 64-bit) Windows 8.1 (64-bit) Memory 2 GB 4+ GB Disk Space 50 MB 100 MB Screen Resolution 1024 x 768 1280 x 800 * Meeting the minimum PC requirements will ensure the Tyler applications will operate, but will not guarantee performance. All performance and benchmark testing is done with PC’s that meet (or exceed) the ‘recommended’ hardware configuration. Required PC Software / Components: Microsoft .NET Framework v3.5 SP1 Microsoft .NET Framework v4.0 (required for Tyler Cashiering) Microsoft Silverlight 5.1 Java Runtime Environment version 7, update 11+ (required for Tyler Content Manager power users only) Supported Windows Workstation Web Browsers 32-bit Microsoft Internet Explorer 11** 32-bit Microsoft Internet Explorer 10 32-bit Microsoft Internet Explorer 9*** 32-bit Google Chrome version 31 or higher** 32-bit Mozilla Firefox (latest version)**** ** Munis version 11.0 and higher only *** Munis version 10.5 and earlier only **** Munis Self Service only Supported Microsoft Office for Windows 32-bit Microsoft Office 2013 32-bit Microsoft Office 2010 32-bit Microsoft Office 2007***** ***** Excel export supported only. Office client add-ins are not supported. 147 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation APPLE MAC OS WORKSTATIONS Minimum* Recommended Operating System Mac OS X 10.6 (64-bit) Mac OS X 10.8+ (64-bit) Processor 1.8 Ghz Intel 2.5+ Ghz Intel Memory 2 GB 4+ GB Disk Space 50 MB 100 MB Screen Resolution 1024 x 768 1280 x 800 * Refer to Mac OS Notes section below for details on Mac OS support. * Meeting the minimum PC requirements will ensure the Tyler applications will operate, but will not guarantee performance. All performance and benchmark testing is done with PC’s that meet (or exceed) the ‘recommended’ hardware configuration. Required Mac Software / Components: Microsoft Silverlight 5.1 Supported Mac Workstation Web Browsers 32-bit Apple Safari 6.1.1 or higher (with auto-updates enabled) 32-bit Mozilla Firefox** ** Munis Self Service only Supported Microsoft Office for Mac 32-bit Microsoft Office for Mac 2011* Mac OS Notes For optimal user experience, Tyler highly recommends all Mac workstations used for back office access (non Self Service) are members of the same Active Directory domain as Tyler servers or configured with Microsoft Forefront. Workstations configured in this manner ensures single sign-on to all back office applications. Refer to Networking Requirements for more information on Active Directory. Tyler Munis ERP is fully supported on Mac OS X with the following exceptions. This functionality can be obtained using alternative solutions such as RDS to a Windows environment or “Windows on Mac” virtualization (e.g. VMware Fusion). Microsoft Office for Mac does not support connections to SQL OLAP cubes. Due to this Microsoft limitation, Mac users cannot access Tyler Cubes. In addition to the alternative access methods mentioned previously, Excel Services with Microsoft SharePoint Enterprise Edition can also be used as a work around to this Mac limitation. The Munis Next Year Budget Entry (NYBE) for Excel is a Microsoft Excel add-on allowing department managers and those responsible for maintaining budgets. Using a web service to the Munis application, this add-on allows users to download, modify and upload budgetary information directly from Microsoft Excel without ever opening a Munis application screen. This add-on is only available for Microsoft Office (2007 and higher) on Windows platforms. 148 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation MUNIS REPORTING OPTIONS MUNIS REPORTING OVERVIEW Public sector entities need multiple ways to get information out of their ERP software. That’s why Munis provides more than just traditional paper-based reports for accessing and using critical information. It is designed to provide you with the information you need in the format you want— instantly. Nearly every application screen throughout the ERP suite includes the ability to create a report of the current data using a variety of output options (print, PDF, Word, Excel). An integrated “query wizard” can be used to guide users through the selection process to create complex queries. These queries can be saved for future and even shared with fellow users to quickly and easily access pre-defined searches at moment’s notice. Leveraging the integrated Munis Scheduler, reports can also be scheduled to automate delivery, printing or archival. Based on Microsoft SharePoint, the Tyler Role-Tailored Dashboard provides an easy-to-use, simplified way of finding, accessing and sharing information by aggregating the data you deem important into one or more customizable views. Web parts display information from different parts of Munis and other Web-based tools. Each user can personalize his or her dashboard views, tailoring it to the information that’s critical for their role. Simply click on hyperlinks embedded in the Web part to access specific records or files. Munis also offers full bi-directional integration between your Munis database and Microsoft Excel through SQL Data Cubes. The Munis database provides a user-friendly, multi-dimensional view of your data across many platforms including Excel, SQL Server Reporting Services (SSRS) and your Tyler Dashboard. Analyze and report on trends, track key performance indicators, create charts and graphs, generate reports and more using the tools you’re already comfortable with. Embedded hyperlinks point to the originating record stored in Munis for fast access to detailed information. Choose from our library of report templates or use Tyler Reporting Services for more customized reporting. Powered by SSRS, Tyler Reporting Services enables users to create custom, complex reports using powerful wizards and built-in tools such as Microsoft Business Intelligence Development Studio and Visual Studio. Add charts, drill downs, parameters and hyperlinks to turn reports into interactive documents or Web content. Users can also use analysis tools—including charts, field highlighting, running totals and sorting—to examine trends, expose relationships and zero in on important facts. Reports can easily be published and shared to end users by integrating directly with the Munis SharePoint Dashboard. Finally, Tyler Reporting Services uses database views for standard reporting and report models for ad-hoc reporting. These views/models are easy to use, incorporate security and permissions set within the Munis application, and are an efficient way to connect to the database. INTEGRATED QUERY WIZARD Tyler understands that getting information out of an ERP system is as important to our clients as getting information into it. Many users struggle to find information that they know is in the system simply because they don’t know how to access it. Query Wizard solves this issue for Munis users. Our unique Query Wizard alleviates this frustration by providing users with an advanced tool that helps create a query. The wizard guides the user through the selection process and lets them save and 149 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation name successful search criteria, allowing them to reuse it in the future without remembering specifically how the information was located. BUSINESS INTELLIGENCE The right business intelligence solution is crucial for effective data analysis and strategic decision making. That’s why we created the Munis Business Intelligence toolkit specifically for our clients’ needs, leveraging the decades of experience we have serving only the public sector. By utilizing Microsoft SharePoint, SQL Server Analysis Services and OLAP cubes provided with the Munis system, this advanced toolkit provides administrators with tools for “what if” scenario analysis, monitoring of key performance indicators based on business rules, and reporting, charting and publishing. Full integration with the Tyler Role-Tailored Dashboard provides users with editable charts when they log into the system. Custom Web parts built on SharePoint servers access cube data, meaning users don’t need to know how to do anything more than browse a Web page in order to access, analyze and report on key information. Modify measurements, change chart type, export to Excel and drill down into any data the cube offers, including a decomposition tree that provides a detailed breakdown of measurements. When you’re done the Dashboard refreshes back to your main setting the next time you log into the system. SharePoint Server Excel Services: Extends the capabilities of Microsoft Excel by allowing broad sharing of spreadsheets, improved security and the ability to re-use spreadsheet models. Munis SharePoint Dashboard and Report Center: Create interactive dashboards that display business information by using built in Web Parts. These Web Parts include dynamic key performance indicators (KPI), Office Excel spreadsheets, Microsoft SQL Server Reporting Services. SQL Server Analysis Server (SSAS) OLAP Cubes: Built with Munis Data Mart dimensional data, OLAP Cubes provide for quick response reporting of high level summary information with the ability to quickly drill down to the lowest detail level in areas such as General Ledger and Payroll/Human Resources modules. KPI (Key Performance Indicator) lists are also included in individual OLAP cubes which can be easily surfaced and used in Microsoft Excel. Some examples include: ADMINISTRATION TOOLS MUNIS ADMINISTRATION TOOLS OVERVIEW The Munis ERP system has a number of built in programs and tools for application based administration, configuration, monitoring, and debugging. A System Administrator’s menu options include setup programs, parameter files, program activity logs, and diagnostic and run time information utilities. These tools allow administrators to dictate and monitor how the system operates. User defined configuration files allow customizations to be managed on select screens. Diagnostic utilities allow administrators to turn on tracing levels and see stepped execution output from user activity. These trace logs can easily be submitted to customer support for assistance in troubleshooting issues. Additional third-party tools, sometimes used but not required, include Windows Performance Monitor, SQL Server RDBMS tools such as Activity Monitor and, for virtual environments, programs such as Microsoft System Center Virtual Machine Manager. 150 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation SECURITY ADMINISTRATION APPLICATION AUTHENTICATION The Munis ERP system uses Microsoft Active Directory exclusively for end-user authentication. Through the Munis SharePoint Dashboard, users are automatically authenticated through single sign on (SSO) eliminating the need to remember and maintain separate login credentials. Once a user is authenticated as a valid Active Directory / Munis account, the Munis role based security system determines what programs, screens, menus, processes, records and fields the user has access to. External users such as Vendors, Citizens and Employees can access the Munis ERP system using the web based Self Service product. Vendor and Citizen Self Service utilizes form based authentication and a client can choose to create and maintain these user accounts themselves or enable the ability for end users to register to create their own accounts. Employee Self Service can use either forms based authentication or Integrated authentication with Active Directory. Munis Self Service includes a number of password controls including password complexity, password expiration, invalid login attempt account lockout and the ability for end users to reset their own passwords. INTEGRATED ROLE BASED SECURITY Munis features a comprehensive Role Based Access Control (RBAC) security model for centrally granting access to the system across all Munis applications. Based on the standards written by the National Institute of Standards and Technology, RBAC facilitates the management of application access through groups of permissions—roles—and assigning those roles to any number of users. This allows administrators to maintain access for multiple users who may share common responsibilities simultaneously rather than on an individual, user basis. Administrators create and customize an unlimited number of roles, consisting of permissions and parameters. Users are then added to the system, either manually or imported from Active Directory. Finally, any number of roles can be assigned to a user, providing access to the Munis system. All of this is done using easy-to-use, integrated applications, requiring very little technical expertise. Traditionally, application security is centrally administered by a sites IT department. While this is still possible with Munis, a unique and useful feature commonly employed by Munis clients, is the ability to decentralize security administration by Munis module to specific users or groups of users. For example, a Finance Director can be configured with permissions to maintain access specific to Munis General Ledger and Budgeting program, process and data in any role and then assign those roles to end-users requiring such access. This ensures those most familiar with the fields, flags and processes are responsible for maintaining appropriate security rather than those in IT who may be less familiar with specific user tasks. Roles can be customized to offer an extremely flexible level of access control to all aspects of the Munis suite. This includes product, module and menu item access (i.e. what programs can users open), functional access (i.e. what processes can users perform) and data and, where applicable, field level access (i.e. what data can users see). Role permissions can also span multiple modules providing easy administration for those individuals who may “wear multiple hats.” If overlapping or conflicting permissions are applied to a user, the highest priority / least restrictive access is granted to that user. No role or user has access to a function or data unless explicitly assigned by the site’s administrator. When role permissions are changed, those changes are immediately applied to all users that role is assigned to. In addition, effective dates can also be applied to any role assigned to a user. This is 151 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation extremely useful for times when a user may be filling in for another user during a known period of time. Rather than manually adding / removing roles to a user, an administrator can set effective start and end dates when the role permissions will automatically be applied and revoked. Finally, in addition to importing user accounts from Active Directory, user attributes can also be synchronized between Active Directory and Munis. The end result for clients is greater overall security, reduced IT administration costs and enhanced workflow. The RBAC security approach and unique ability to decentralize administration streamlines the process of adding new users and maintaining access, saving Munis users valuable time. AUDITING The Munis ERP system features a comprehensive auditing suite integrated directly within the application. This assists clients in supporting internal control requirements and includes system and program level auditing. Process auditing allows an administrator to see who ran what, when, where, and for how long. Change audits allow the viewing of who changed what, where, when, and both the old and new values. Query audits can also optionally be enabled to log who looked at what and when. MUNIS SCHEDULER The Munis Scheduler makes the system more efficient for Tyler clients by allowing them to schedule CPU intensive jobs for times of the day when their users will be least impacted. Our powerful recurrence capabilities allow clients to “set and forget” recurring jobs like file imports or periodic (weekly, monthly, etc.) reports. A number of processes can also be scheduled including applying late fees, rolling to a new period, printing routines (PO’s, checks, bills, etc.). The Scheduler Engine receives submissions for scheduled programs or jobs and arranges their execution at designated times. Results are automatically printed or spooled, and the program sends e-mail notifications to alert recipients to events such as a start, completion, expiration or failure of a job. MUNIS WORKFLOW Munis Workflow is a comprehensive system engineered to meet the needs of the Public Sector. It extends the functionality and productivity of the Munis system by automatically notifying the end user when action is needed, rather than requiring a user manually look it up. The Munis Workflow system includes an extensive approval engine, monitoring more than 200 processes throughout the ERP system. Approvals, Alerts, and Notifications are dynamically generated to users based on the rules created in the visual Work Flow Command Center module. Flexible business rule creation allows for universal rules, sequential and parallel, pre-approvals and “one or all” rules. Catchall rules can also be created to ensure that some approval is generated even when no rules apply. Workflows for key processes such as payroll processing and tax bill production are configurable based on your business rules and will prevent users from doing things “out of order”. Routing and Approval criteria include: Commodity Codes Commodity + Amount Dollar Amount Ranges 152 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Over Budget conditions Any GL Segment GL Segment + Amount Verify Features comprehensive “and/or” logic for building complex rules Approvals, notifications, or alerts can be sent to standard e-mail, Munis Workflow Assistant, or SharePoint dashboard “My Work” web part. This adds to productivity and improves the overall efficiency of internal processes. To see more detail for a workflow, users can simply launch the associated Munis application directly from the Workflow Assistant or SharePoint Dashboard. Finally, Munis Workflow logs every action taken, including when items are moved through workflow as well as any changes to the workflow system itself, and holds a history that can be reviewed at any time. Administrators can also analyze workflow performance with management tools integrated into the Munis SharePoint Dashboard to assist with process reengineering. WORKFLOW ADMINISTRATION Munis Workflow is different from other workflow products in the market today. With it, the work has already been done for you—ensuring our Munis system works hard for your users, rather than the other way around. Using our “building blocks” approach, we provide you with template business rules out-of-the-box—meaning there is absolutely no coding or programming needed to set up, use or modify workflow processes. Any authorized user can easily learn how to modify or configure a business rule—so IT staff is free to concentrate on other important tasks. In addition, due to the modular nature in which the Munis Workflow system has been engineered, creation of rules can be centralized (managed by IT) or decentralized (managed by domain experts). At Tyler, we recognize that our clients know their business better than anyone else. That’s why we developed our preconfigured business rules based on best business practices and direct feedback from our more than 1,100 ERP clients. In fact, with Munis Workflow you have access to over 200 pre- defined business rules designed with the relevant fields and functions already in place. All you have to do is tailor them to work the way you run your organization—by defining how each task is structured, who performs each task, in what order tasks are performed, how approvals or re-routing is handled. 153 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation TYLER DISASTER RECOVERY Disasters happen. When one strikes, having a viable recovery plan to implement makes all the difference as you work to get back on your feet. Many Tyler customers have found a simple solution to planning for the unexpected—Tyler Disaster Recovery Services. The high cost of replication has inhibited widespread data protection and left risk of slow or failed recovery from a disaster. Most IT departments have been forced to rely on tape-based disaster recovery. Tyler Disaster Recovery Services enables a rapid return to normal business operations. This is because the data and images are recovered from high speed disk rather than being dictated by the pace of the slow tape based recovery. Getting data and images restored quickly enables all other aspects of recovery to be complete sooner. Recovery refers to the restoration of Tyler application data. Our dedicated disaster recovery team helps you identify critical business processes. They help you define and document recovery procedures to create an overall response plan that meets your organization’s unique needs. So when a disaster strikes, your organization—and our response team— has the right policies and procedures in place to quickly restore your data. With your data’s security our priority, your IT personnel are free to focus on other strategic initiatives and employees can focus on what’s really important— meeting the needs of citizens. Using an efficient and secure “sync” process, your encrypted archive log files are transferred to our servers within minutes, without the time-consuming manual involvement of your employees. How It Works Utilizing our state-of-the-art Data Center, Tyler can transparently retrieve a copy of your data every night, thereby ensuring your critical users can always process work via internet or by traveling to one of two Tyler locations. The Disaster Recovery team helps you identify critical business processes and users, define and document recovery procedures, printing solutions, etc. Tyler provides disaster recovery services for your Tyler applications, including: off-site backup, recovery server, alternate processing location & remote access A database export is transferred every night to a server in Maine using a network efficient ‘sync’ process that enables the transfer to be completed in minutes, even for extremely large databases In the event of a disaster your live database is loaded into a Tyler application environment on the Recovery Server and your critical users are setup to access that server You can access your Tyler Disaster Recovery Environment using an SSL (Secure Sockets Layer) VPN client from any remote location with an Internet connection, or come to one of our offices and utilize our facilities. Backup Process Tyler uses a utility to perform a differential transfer of the database and critical files, meaning that only the differences between one nights snapshot and the previous night’s snapshot actually go over the wire. There is not a minimum bandwidth requirement. Even for sites with large databases the transfers are very small. The process typically yields a 10-1 compression ratio meaning most differential transfers only consist of a few megabytes. 154 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Not to be confused with a traditional differential backup, in which a ‘full’ backup is required followed by many ‘differential’ backups to re-establish the data; the net result of our transfer utility is that every night a full backup is obtained. Only the differences between the current night’s full backup and the previous night’s full back up are transferred over the wire. Disaster Declaration A disaster is an unplanned event that shuts down your system, threatening your financial standing or public image. It does not include hardware or network failures that are covered by standard service agreements, or repairs that can be made within 24 hours. Provided we have your data, we guarantee you'll be back in business within 12 business hours. A disaster may be declared between the hours of 8AM and 6PM, EST Monday-Friday Post-Disaster Services Tyler delivers an export of your database Our OSDBA Department provides on-site installation services free of charge to customers with a current OSDBA contract. Otherwise, this is a billable service. OSDBA SUPPORT SERVICES Tyler’s OSDBA service provides operating system and database administration services, such as installations, upgrades, routine maintenance, and database tuning. These services are available to all customers on a contract basis OSDBA staff is trained specifically for Tyler products and the range of technology standards critical to Tyler applications. We know you rely on your system data and by partnering with OSDBA Support Services you effectively broaden the available range of technical experts available to ensure smooth day-to-day operations. OSDBA specializes in Microsoft Operating Systems (server and workstation), SQL database engines and network configuration. OSDBA experts excel at bridging the gap between proprietary Tyler technology products and integrated third party standards. Cost Effective. Price is often a fraction of the cost of hiring/training in-house personnel. Reliability and Performance. Proactive server analysis and regular maintenance reduces downtime and ensures reliable and consistent performance. Better Utilize Internal Personnel. Frees your staff to focus on other higher value tasks in your organization. Extended Support Hours. Monday — Friday: 8:00am-9:00pm EST. Weekend Support for Live Upgrades. Available on the second Saturday of every month to minimize or eliminate production downtime. Server Support Server tuning New user setup & Active Directory integration Printer installation & configuration Service pack & security patch installations Microsoft IIS configuration & troubleshooting 155 City of Oshkosh Enterprise Resource Planning (ERP) Software System & Implementation Microsoft SharePoint Foundation configuration and troubleshooting for Tyler’s Role-Tailored Dashboard Database Software Support Database administration Software upgrade & installation assistance Data recovery Database tuning Database refreshes, imports and exports Database mirroring and high availability solutions PC Support Windows 7® & Windows 8® Macintosh® OS X Lion Client installations Microsoft Business Intelligence Development Studio installations Installation Services Free Tyler application release upgrades (e.g. Munis, Dashboard, Content Manager, Self Service, Cashiering, CAFR Statement Builder, Tyler Pulse, Tyler Reporting Services, Tyler Incident Management) Free server transfers available every two years System Maintenance OSDBA Check Script. With installation of the Tyler OSDBA check script we monitor vital information on your Tyler servers (disk space, database backups, server uptime and database engine availability and disk integrity via Microsoft Check Disk). If the check script detects a problem it automatically opens a Priority 1 support call for Tyler to address. General System Maintenance: Operating system review and maintenance (O/S patches & service packs) File system cleanup Database refreshes Printer & user cleanup Database analysis Database backup verifications Remote system administration training System review and analysis Adding printers and users Printing custom forms, duplex printing, tray selection Database refreshes LDAP Synchronization What and how to backup critical data Client installation, configuration and troubleshooting